9–10–10 Friday Vol. 75 No. 175 Sept. 10, 2010

Pages 55255–55452

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Contents Federal Register Vol. 75, No. 175

Friday, September 10, 2010

Agency for Healthcare Research and Quality Commodity Futures Trading Commission NOTICES RULES Request for Nominations for AHRQ Study Section Regulation of Off-Exchange Retail Foreign Exchange Members, 55333–55334 Transactions and Intermediaries, 55410–55452 NOTICES Agricultural Marketing Service Performance of Registration Functions by National Futures RULES Association with Respect to Retail Foreign Exchange Egg Research and Promotion Order: Dealers, etc., 55310–55312 Referendum Procedures, 55255–55257 PROPOSED RULES Consumer Product Safety Commission Egg Research and Promotion Order and Regulations: NOTICES Amendment to Increase Rate of Assessment and Meetings; Sunshine Act, 55312 Referendum Order, 55292–55295 Defense Department Agriculture Department See Army Department See Agricultural Marketing Service Education Department Army Department NOTICES NOTICES Meetings: Environmental Impact Statements; Availability, etc.: Advisory Committee on Student Financial Assistance, Grow the Army Actions at Fort Lewis and Yakima 55314 Training Center (YTC), WA, 55313 Growth, Realignment, and Stationing of Army Aviation Election Assistance Commission Assets, 55312 NOTICES Record of Decision: Charter Renewals: Conversion of 3rd Armored Cavalry Regiment (3rd ACR) Technical Guidelines Development Committee, 55314– to Stryker Brigade Combat Team (SBCT) at Fort 55315 Hood, TX, 55313–55314 Meetings; Sunshine Act, 55315 Blind or Severely Disabled, Committee for Purchase From People Who Are Employment and Training Administration See Committee for Purchase From People Who Are Blind or NOTICES Severely Disabled Agency Information Collection Activities; Proposals, Submissions, and Approvals, 55357–55359 Centers for Disease Control and Prevention NOTICES Energy Department Meetings: See Federal Energy Regulatory Commission Board of Scientific Counselors, National Center for Health, 55333 Environmental Protection Agency RULES Centers for Medicare & Medicaid Services Change of Address for Region 5 State and Local Agencies; NOTICES Technical Correction, 55274–55277 Agency Information Collection Activities; Proposals, Outer Continental Shelf Air Regulations Consistency Submissions, and Approvals, 55329–55331 Update for California, 55277–55280 NOTICES Coast Guard Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Safety Zones: 2011 Drinking Water Infrastructure Needs Survey and Mississippi River, Mile 212.0 to 214.5, 55272–55274 Assessment, 55324–55326 NASSCO Launching of USNS Washington Chambers, San Environmental Impact Statements; Availability, etc.: Diego Bay, San Diego, CA, 55270–55272 Weekly Receipt, 55326 Proposed Administrative Settlements Pursuant to CERCLA, Commerce Department 55326–55327 See Foreign-Trade Zones Board Requests to Voluntarily Amend Registrations to Terminate See International Trade Administration Certain Uses: See National Institute of Standards and Technology Tetrahydro–3,5–dimethyl–2H–1,3,5–thiadiazine–2–thione See National Oceanic and Atmospheric Administration (Dazomet), 55327–55329

Committee for Purchase From People Who Are Blind or Federal Aviation Administration Severely Disabled RULES NOTICES Airspace Designations; Incorporation By Reference, 55267– Procurement List; Additions and Deletions, 55309–55310 55269

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NOTICES Federal Railroad Administration Meetings: NOTICES Aviation Rulemaking Advisory Committee, 55393–55394 Program for Capital Grants for Rail Line Relocation and Petitions for Exemptions; Summary of Petition Received, Improvement Projects, 55394–55401 55394 Requests To Release Airport Property: Federal Trade Commission Air Park South Airport (2K2), Ozark, MO, 55401–55402 RULES Requests to Release Airport Property: Telemarketing Sales Rule Fees, 55269 Dallas/Fort Worth International Airport, DFW Airport, Texas, 55401 Food and Drug Administration NOTICES Federal Communications Commission Determination of Regulatory Review Period for Purposes of PROPOSED RULES Patent Extensions: Further Inquiry into Two Under-Developed Issues in the SAPHRIS, 55331–55332 Open Internet Proceeding, 55297–55300 ULORIC, 55332–55333 Withdrawal of Approval of Five New Drug Applications: Federal Election Commission Schmid Laboratories, Inc. et al., 55334–55335 RULES Definition of Federal Election Activity, 55257–55267 Foreign-Trade Zones Board NOTICES Federal Emergency Management Agency Reorganizations under Alternative Site Framework: RULES Foreign-Trade Zone 170, Jeffersonville, IN, 55309 Suspension of Community Eligibility, 55280–55286 NOTICES Health and Human Services Department Agency Information Collection Activities; Proposals, See Agency for Healthcare Research and Quality Submissions, and Approvals: See Centers for Disease Control and Prevention Request for the Site Inspection and Landowners See Centers for Medicare & Medicaid Services Authorization/Ingress-Egress Agreement, 55339– See Food and Drug Administration 55340 Homeland Security Department Recovery Fact Sheets; Availability, etc.: See Coast Guard Mold Remediation, 55340–55341 See Federal Emergency Management Agency Recovery Policies; Availability , etc.: PROPOSED RULES Debris Operation, Hand-Loaded Trucks and Trailers, Privacy Act; Implementation of Exceptions: 55341 Information Sharing Environment Suspicious Activity Recovery Policies; Availability, etc.: Reporting Initiative System of Records, 55290–55292 Mutual Aid Agreements for Public Assistance and Fire NOTICES Management Assistance, 55341–55342 Privacy Act; Systems of Records, 55335–55339 Federal Energy Regulatory Commission Housing and Urban Development Department NOTICES NOTICES Amended Designations of Commission Staff as Non- Buy American Exceptions under the American Recovery decisional, 55315 and Reinvestment Act of 2009, 55342 Amended Designations of Commission Staff as Non- Federal Property Suitable as Facilities to Assist the Decisional, 55315 Homeless, 55342–55343 Applications: Central Vermont Public Service Corp., 55317 Interior Department FirstLight Hydro Generating Company, City of Norwich See Land Management Bureau Department of Public Utilities, 55317–55318 See National Indian Gaming Commission Rentricity, Inc., 55316 Combined Filings, 55318–55322 Internal Revenue Service Complaints: NOTICES Jeffers South, LLC v. Midwest Independent Transmission Agency Information Collection Activities; Proposals, System Operator, Inc, 55323 Submissions, and Approvals, 55402–55403 Environmental Assessments; Availability, etc.: Meetings: Ha-Best, Inc., 55323 Area 1 Taxpayer Advocacy Panel, 55403–55404 Petitions for Declaratory Orders: Area 2 Taxpayer Advocacy Panel, 55407 Alta Wind Holdings, LLC, 55323–55324 Area 3 Taxpayer Advocacy Panel, 55405 Requests Under Blanket Authorizations: Area 4 Taxpayer Advocacy Panel, 55406 Columbia Gas Transmission, LLC, 55324 Area 5 Taxpayer Advocacy Panel, 55404 Area 6 Taxpayer Advocacy Panel, 55404 Federal Maritime Commission Area 7 Taxpayer Advocacy Panel, 55406 NOTICES Taxpayer Advocacy Panel Earned Income Tax Credit Ocean Transportation Intermediary License; Reissuances, Project Committee, 55406–55407 55329 Taxpayer Advocacy Panel Joint Committee, 55407 Taxpayer Advocacy Panel Notice Improvement Project Federal Mine Safety and Health Review Commission Committee, 55404 NOTICES Taxpayer Advocacy Panel Small Business/Self Employed Meetings; Sunshine Act, 55329 Project Committee, 55405

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Taxpayer Advocacy Panel Tax Forms and Publications/ National Indian Gaming Commission MLI Project Committee, 55404–55405 RULES Taxpayer Advocacy Panel Taxpayer Assistance Center Minimum Internal Control Standards for Class II Gaming, Committee, 55405 55269–55270 Taxpayer Advocacy Panel Volunteer Income Tax Assistance Issue Committee, 55406 National Institute of Standards and Technology NOTICES International Trade Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals Agency Information Collection Activities; Proposals, Manufacturing Extension Partnership Expanded Services Submissions, and Approvals: Client Impact Survey, 55301 Commercial Service Annual Customer Satisfaction Agency Information Collection Activities; Proposals, Survey, 55303 Submissions, and Approvals: Request for Duty-Free Entry of Scientific Instrument or Manufacturing Extension Partnership Expanded Services Apparatus, 55302–55303 Center Information and Reporting System, 55303– Preliminary Intentions to Rescind New Shipper Reviews: 55304 Honey from People’s Republic of China, 55307–55309 Meetings: Smart Grid Advisory Committee, 55306 International Trade Commission NOTICES National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 55351 Fisheries of the Exclusive Economic Zone Off Alaska: Northern Rockfish in the Bering Sea and Aleutian Islands Justice Department Management Area, 55288–55289 See Parole Commission Pollock in Statistical Area 620 in the Gulf of Alaska; NOTICES Closure, 55288 Filing of Settlement Agreements, 55351–55352 Fisheries of the Northeastern United States; Northeast Multispecies Fishery: Labor Department Adjustment to Fishing Year 2010 Georges Bank See Employment and Training Administration Yellowtail Flounder Total Allowable Catch, 55286– See Labor Statistics Bureau 55288 NOTICES NOTICES Delegation of Authorities and Assignment of Agency Information Collection Activities; Proposals, Responsibilities to the Administrator, Wage and Hour Submissions, and Approvals: Division, 55352–55354 Atlantic Sea Scallops Amendment 10 Data Collection, Delegation of Authority and Assignment of Responsibilities 55304–55305 to the Employee Benefits Security Administration, Northeast Region Gear Identification Requirements, 55354–55355 55301–55302 Delegation of Authority and Assignment of Responsibility Social Impacts of the Implementation of a Catch Shares to the Assistant Secretary for Occupational Safety and Program in the Mid-Atlantic, 55305–55306 Health, 55355–55356 Meetings: New England Fishery Management Council, 55306–55307 Labor Statistics Bureau Permits: NOTICES Marine Mammals; File No. 15014, 55307 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 55356–55357 National Science Foundation NOTICES Land Management Bureau Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 55359–55360 Alaska Native Claims Selection, 55344 Meetings: Environmental Impact Statements; Availability, etc.: Advisory Committee for Geosciences, 55360 Cedar City Field Office, UT, 55344–55345 Networking and Information Technology Research and Socorro Field Office Resource Management Plan, New Development Program: Mexico, 55345–55346 Draft 2010 Strategic Plan, 55360 Meetings: Proposed Land Withdrawal, South Dakota, 55346–55347 Nuclear Regulatory Commission Realty Actions: NOTICES Competitive Sale of Public Land Near Aztec in San Juan License Reovcations: County, NM, 55347–55349 Mattingly Testing Services, Inc., Molt, MT, 55360–55365 Modified Competitive Sealed Bid Sale of Public Lands in Meetings: Rio Arriba County, NM, 55349–55351 ACRS Subcommittee on Planning and Procedures, 55366 Advisory Committee on Reactor Safeguards Mine Safety and Health Federal Review Commission Subcommittee on Plant Operations and Fire See Federal Mine Safety and Health Review Commission Protection, 55365 Advsiory Committee on Reactor Safeguards Joint National Council on Disability Subcommittee, 55365–55366 NOTICES Orders Prohibiting Involvement in NRC-Licensed Activities: Meetings; Sunshine Act, 55359 Mark M. Ficek, 55366–55370

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Parole Commission State Department NOTICES NOTICES Meetings; Sunshine Act, 55352 Determinations under Section 1010(a) of 2010 Supplemental Appropriations Act, 55393 Securities and Exchange Commission PROPOSED RULES Transportation Department List of Rules to be Reviewed Pursuant to the Regulatory See Federal Aviation Administration Flexibility Act, 55295–55297 NOTICES See Federal Railroad Administration Agency Information Collection Activities; Proposals, Submissions, and Approvals, 55370–55371 Treasury Department Applications: See Internal Revenue Service Transamerica Asset Management, Inc. et al., 55376–55381 Tudor Employee Investment Fund LLC and Tudor Investment Corp., 55372–55376 Separate Parts In This Issue Joint Industry Plans: EDGA Exchange, Inc. and EDGX Exchange, Inc., 55381 Meetings; Sunshine Act, 55382 Part II Self-Regulatory Organizations; Proposed Rule Changes: Commodity Futures Trading Commission, 55410–55452 Chicago Board Options Exchange, Inc., 55383–55385 EDGA Exchange, Inc., 55386–55387 EDGX Exchange, Inc., 55385–55386 Reader Aids National Stock Exchange, Inc, 55389–55390 Consult the Reader Aids section at the end of this page for New York Stock Exchange LLC, 55391–55392 phone numbers, online resources, finding aids, reminders, NYSE Amex LLC, 55388–55389 and notice of recently enacted public laws. NYSE Arca, Inc., 55382–55383 State of Municipal Securities Market Field Hearings, 55392 To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http:// Social Security Administration listserv.access.gpo.gov and select Online mailing list NOTICES archives, FEDREGTOC-L, Join or leave the list (or change Employment Network Report Card, 55392–55393 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.

6 CFR Proposed Rules: 5...... 55290 7 CFR 1250...... 55255 Proposed Rules: 1250...... 55292 11 CFR 100...... 55257 14 CFR 71...... 55267 16 CFR 310...... 55269 17 CFR 1...... 55410 3...... 55410 4...... 55410 5...... 55410 10...... 55410 140...... 55410 145...... 55410 147...... 55410 160...... 55410 166...... 55410 Proposed Rules: Ch. II ...... 55295 25 CFR 542...... 55269 543...... 55269 33 CFR 165 (2 documents) ...... 55270, 55272 40 CFR 52...... 55274 55...... 55277 60...... 55274 61...... 55274 44 CFR 64...... 55280 47 CFR Proposed Rules: Ch. 1 ...... 55297 50 CFR 648...... 55286 679 (2 documents) ...... 55288

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Rules and Regulations Federal Register Vol. 75, No. 175

Friday, September 10, 2010

This section of the FEDERAL REGISTER Executive Order 12866 finance promotion, research, and contains regulatory documents having general The Office of Management and Budget consumer information programs applicability and legal effect, most of which designed to increase consumer demand are keyed to and codified in the Code of (OMB) has waived the review process required by Executive Order 12866 for for eggs in domestic and international Federal Regulations, which is published under markets. At the current rate of 10 cents 50 titles pursuant to 44 U.S.C. 1510. this action. per case, assessments generate about The Code of Federal Regulations is sold by Executive Order 12988 $20 million in annual revenues. The the Superintendent of Documents. Prices of This final rule has been reviewed Order is administered by AEB under new books are listed in the first FEDERAL under Executive Order 12988, Civil supervision of the U.S. Department of REGISTER issue of each week. Justice Reform. This rule is not intended Agriculture (USDA). to have a retroactive effect. In 13 CFR part 121, the Small The Egg Research and Consumer Business Administration (SBA) defines DEPARTMENT OF AGRICULTURE Information Act (7 U.S.C. 2701–2718) small agricultural producers as those Agricultural Marketing Service (Act) provides that administrative having annual receipts of no more than proceedings must be exhausted before $750,000 and small agricultural service 7 CFR Part 1250 parties may file suit in court. Section 14 firms as those having annual receipts of of the Act allows those subject to the no more than $7 million. Under this Order to file a written petition with the definition, the vast majority of the egg [Doc. No. AMS–PY–09–0116] Secretary of Agriculture (Secretary) if producers that will be affected by this Egg Research and Promotion Order; they believe that the Order, any rule would not be considered small Referendum Procedures provision of the Order, or any obligation entities. Producers owning 75,000 or imposed in connection with the Order, fewer laying hens are exempt from this AGENCY: Agricultural Marketing Service, is not in accordance with the law. In program. USDA. any petition, the person may request a Given that a laying hen produces ACTION: Final rule. modification of the Order or an approximately 22 dozen eggs per year, exemption from the Order. The production from 75,000 laying hens SUMMARY: This final rule establishes petitioner will have the opportunity for would result in 1.65 million dozen eggs. procedures that the Agricultural a hearing on the petition. Afterwards, an With a farmgate price of $0.837 per Marketing Service (AMS) will use in Administrative Law Judge (ALJ) will dozen, total annual receipts would be conducting a referendum to determine issue a decision. If the petitioner $1.38 million, which is well above the whether egg producers favor increasing disagrees with the ALJ’s ruling, the definition used to describe a small farm. the assessment they pay to the petitioner has 30 days to appeal to the The wholesale price of eggs would need American Egg Board (AEB) from a rate Judicial Officer, who will issue a ruling to drop to approximately $0.45 per of 10 cents per 30-dozen case of on behalf of the Secretary. If the dozen before a producer with 75,000 commercial eggs to 15 cents per case. petitioner disagrees with the Secretary’s hens could be classified as a small farm An amendment to increase the ruling, the petitioner may file, within 20 under the SBA definition. assessment rate in the Egg Research and days, an appeal in the U.S. District This final rule establishes procedures Promotion Order (Order) will be Court for the district where the under which egg producers vote on implemented if it is approved by two- petitioner resides or conducts business. whether they favor an increase in the thirds of the egg producers voting in the Regulatory Flexibility Act Analysis and assessments they pay to AEB. This rule referendum or by a majority of Paperwork Reduction Act adds a new subpart and establishes producers voting if they produced two- In accordance with the Regulatory procedures to conduct this referendum thirds of the eggs produced by all voters. as well as future referenda. The subpart These procedures will also be used for Flexibility Act (RFA) [5 U.S.C. 601– 612], AMS has considered the economic covers definitions, voting, instructions, subsequent referenda. AEB, which use of subagents, ballots, the administers the Order, recommended impact of this action on the small producers that will be affected by this referendum report, and confidentiality this action to sustain and expand its of information. national promotion, research, and rule. The purpose of the RFA is to fit consumer information program. regulatory action to scale on businesses AMS will keep egg producers who are subject to such action so that small eligible to vote informed throughout the DATES: Effective Date: September 13, referendum process to ensure that they 2010. businesses will not be disproportionately burdened. are aware of and are able to participate. FOR FURTHER INFORMATION CONTACT: According to AEB, approximately 245 AMS will also publicize information Angela C. Snyder, Research and producers are subject to the provisions regarding the referendum process so Promotion; Standards, Promotion & of the Order, including paying that trade associations and related Technology Branch; Poultry Programs, assessments. Under the current Order, industry media can be kept informed. AMS, USDA, 1400 Independence producers in the 48 contiguous United Voting in the referendum is optional. Avenue, SW., Room 3932–S, Stop 0256; States and the District of Columbia who However, if egg producers choose to Washington, DC 20250–0256; telephone: own more than 75,000 laying hens each vote, the burden of voting is minimal. (202) 720–4476; fax (202) 720–2930; or pay a mandatory assessment of 10 cents AMS considered electronic voting, but e-mail: [email protected]. per 30-dozen case of eggs. Assessments the use of computers is not universal. SUPPLEMENTARY INFORMATION: under the program are used by AEB to Conducting the referendum from one

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central location by mail ballot would be covers definitions, voting, instructions, employee of the Department to whom more cost-effective and reliable. use of subagents, ballots, the authority has been delegated or may In accordance with OMB regulation 5 referendum report, and confidentiality hereafter be delegated to act in the CFR part 1320 that implements the of information. Administrator’s stead. Paperwork Reduction Act of 1995 [44 Pursuant to 5 U.S.C. 553, it is found (c) Egg producer or producer means U.S.C. Chapter 35], the information and determined that good cause exists any person who either is an egg farmer collection requirements contained in for not postponing the effective date of who acquires and owns laying hens, this rule have been approved previously the rule until 30 days after publication chicks, and/or started pullets for the under OMB control number 0581–0093. in the Federal Register in order to purpose of and is engaged in the This rule does not result in a change to conduct a referendum on whether production of commercial eggs; or is a those information collection and producers favor increasing the person who supplied or supplies laying recordkeeping requirements. assessment rate as soon as possible. hens, chicks, and/or started pullets to an There are no Federal rules that egg farmer for the purpose of producing duplicate, overlap, or conflict with this List of Subjects in 7 CFR Part 1250 commercial eggs pursuant to an oral or rule. Administrative practice and written contractual agreement for the We have performed this Regulatory procedure, Advertising, Agricultural production of commercial eggs. Such Flexibility Analysis regarding the research, Eggs and egg products, person is deemed to be the owner of impact of these referendum procedures Reporting and recordkeeping such laying hens unless it is established on small entities, and we invited requirements. in writing, to the satisfaction of the comments concerning potential effects ■ For the reasons set forth in the Secretary or the Egg Board, that actual of these amendments on small preamble, 7 CFR part 1250 is amended ownership of the laying hens is in some businesses. No comments were as follows: other party to the contract. In the event received. the party to an oral contract who PART 1250—EGG RESEARCH AND Background supplied or supplies the laying hens PROMOTION cannot be readily identified by the The Act established a national egg Secretary or the Egg Board, the person research and promotion program— ■ 1. The authority citation of Part 1250 continues to read as follows: who has immediate possession and administered by AEB—that is financed control over the laying hens at the egg through industry assessments and Authority: 7 U.S.C. 2701–2718 and 7 production facility shall be deemed to subject to oversight by AMS. This U.S.C. 7401. be the owner of such hens unless program of promotion, research, and ■ 2. Part 1250 is amended by adding a written notice is provided to the consumer information is designed to new subpart consisting of §§ 1250.200 Secretary or the Egg Board, signed by strengthen the position of eggs in the through 1250.207 and titled the parties to said oral contract, clearly marketplace and to establish, maintain, ‘‘Referendum Procedures’’ to read as stating that the eggs are being produced and expand markets for eggs. follows: under a contractual agreement and This program is financed by identifying the party (or parties) under assessments on egg producers owning Subpart—Referendum Procedures said contract who is the owner of the more than 75,000 laying hens. The Sec. hens. Order specifies that handlers are 1250.200 Referenda. 1250.201 Definitions. (d) Order means the order or any responsible for collecting and remitting amendment thereto promulgated the producer assessments to AEB, 1250.202 Voting. 1250.203 Instructions. pursuant to the act with respect to reporting their handling of eggs, and 1250.204 Subagents. which the Secretary has directed that a maintaining records necessary to verify 1250.205 Ballots. referendum be conducted. their reports. 1250.206 Referendum report. (e) Person means any individual, Only producers in the contiguous 1250.207 Confidential information. group of individuals, partnership, United States and the District of corporation, association, cooperative, or Columbia are subject to the program, Subpart—Referendum Procedures any other entity. and producers owning 75,000 or fewer (f) Referendum agent means the laying hens are eligible to obtain an § 1250.200 Referenda. individual or individuals designated by exemption from paying assessments. Referenda for the purpose of the Secretary to conduct the This final rule establishes procedures ascertaining whether the issuance by the referendum. under which egg producers may vote on Secretary of Agriculture of an Egg (g) Representative period means the whether they want to increase the rate Research and Promotion Order, or the period designated by the Secretary of assessments they pay to AEB from 10 continuance, termination, or suspension pursuant to section 9 of the Act (7 cents to 15 cents per 30-dozen case of of such an order, is approved or favored U.S.C. 2708). eggs. These procedures will also be used by producers shall, unless (h) Secretary means the Secretary of for any future referenda. A proposed supplemented or modified by the Agriculture or any other officer or rule and request for comments was Secretary, be conducted in accordance employee of the Department of published in the Federal Register on with this subpart. Agriculture to whom there has September 28, 2009 (74 FR 49342), with heretofore been delegated, or to whom a 60-day comment period. No comments § 1250.201 Definitions. there may be hereafter delegated, the were received. A separate proposed rule (a) Act means the Egg Research and authority to act in the Secretary’s stead. to increase the assessment rate was Consumer Information Act and as it may published in the September 25, 2009, be amended (Pub. L. 93–428, 7 U.S.C. § 1250.202 Voting. issue of the Federal Register (74 FR 2701 et seq.). (a) Each person who is a producer, as 48865). (b) Administrator means the defined in this subpart, at the time of This final rule adds a new subpart administrator of the Agricultural the referendum, who was engaged in the and establishes procedures to be used in Marketing Service, with power to production of commercial eggs during this and future referenda. This subpart redelegate, or any other officer or the representative period, and who is

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not exempt from the provisions of the referendum on the termination or appropriate, into the eligibility of such order as provided for in § 1250.348 continuance of an order, a summary of persons to vote in the referendum. thereof, shall be entitled to only one the terms and conditions of the order: vote in the referendum. Provided, that no person who claims to § 1250.205 Ballots. (b) Proxy voting is not authorized, but be qualified to vote shall be refused a The referendum agent and subagents an officer or employee of a corporate ballot. shall accept all ballots cast; but should producer, or an administrator, executor, (f) If the ballots are to be cast by mail, they, or any of them, deem that a ballot or trustee of a producing estate, or an cause all the material specified in should be challenged for any reason, the authorized representative of any other paragraph (e) of this section to be agent or subagent shall endorse above entity may cast a ballot on behalf of mailed to each eligible producer whose their signature, on the ballot, a such producer or estate. Any individual name and address are known to the statement to the effect that such ballot so voting in a referendum shall certify Secretary or the referendum agent. was challenged, by whom challenged, that such individual is an officer or (g) If the ballots are to be cast at the reasons therefore, and the results of employee of the corporate producer, or polling places or meetings, determine any investigations made with respect an administrator, executor, or trustee of the necessary number of polling or thereto, and the disposition thereof. the producing estate, or an authorized meeting places, designate them, Invalid ballots shall not be counted. representative of such other entity, and announce the time of each meeting or § 1250.206 Referendum report. that such individual has the authority to the hours during which each polling take such action. Upon request of the place will be open, provide the material Except as otherwise directed, the referendum agent, the individual shall specified in paragraph (e) of this Administrator shall prepare and submit submit adequate evidence of his section, and provide for appropriate to the Secretary a report on the results authority. custody of ballot forms and delivery to of the referendum, the manner in which (c) Each producer shall be entitled to the referendum agent of ballots cast. it was conducted, the extent and kind of cast only one ballot in the referendum. (h) At the conclusion of the public notice given, and other referendum, canvass the ballots, information pertinent to analysis of the § 1250.203 Instructions. tabulate the results, and except as referendum and its results. The referendum agent shall conduct otherwise directed, report the outcome § 1250.207 Confidential information. the referendum, in the manner herein to the Administrator and promptly provided, under supervision of the thereafter submit the following: The ballots cast or the manner in Administrator. The Administrator may (1) All ballots received by the agent which any person voted and all prescribe additional instructions, not and appointees, together with a information furnished to, compiled by, inconsistent with the provisions hereof, certificate to the effect that the ballots or in the possession of the referendum to govern the procedure to be followed listed are all of the ballots cast and agent shall be regarded as confidential. by the referendum agent. Such agent received by the agent and appointees The ballots and other information or shall: during the referendum period; reports that reveal, or tend to reveal, the (a) Determine the time of (2) A tabulation of all challenged vote of any person covered under the commencement and termination of the ballots deemed to be invalid; and Order and the voter list shall be strictly period of the referendum, and the time (3) A report of the referendum confidential and shall not be disclosed. when all ballots must be received by the including a detailed statement Dated: September 3, 2010. referendum agent. explaining the method used in giving David R. Shipman, (b) Determine whether ballots may be publicity to the referendum and Acting Administrator, Agricultural Marketing cast by mail, at polling places, at showing other information pertinent to Service. meetings of producers, or by any the manner in which the referendum [FR Doc. 2010–22644 Filed 9–9–10; 8:45 am] combination of the foregoing. was conducted. (c) Provide ballots and related BILLING CODE 3410–02–P material to be used in the referendum. § 1250.204 Subagents. Ballot material shall provide for The referendum agent may appoint recording essential information for any person or persons deemed FEDERAL ELECTION COMMISSION ascertaining whether the person voting necessary or desirable to assist the agent or on whose behalf the vote is cast, is in performing such agent’s functions of 11 CFR Part 100 this subpart. Each individual so an eligible voter, and the total volume [Notice 2010–18] of commercial eggs produced during a appointed may be authorized by the representative period. agent to perform, in accordance with the Definition of Federal Election Activity (d) Give reasonable advance notice of requirements herein set forth, any or all the referendum: of the following functions (which, in the AGENCY: Federal Election Commission. (1) By utilizing available media or absence of such appointment, shall be ACTION: Final rules. public information sources, without performed by said agent): incurring advertising expense, to (a) Give public notice of the SUMMARY: The Federal Election publicize the dates, places, method of referendum in the manner specified Commission is revising its rules as to voting, eligibility requirements, and herein; the activities that constitute ‘‘Federal other pertinent information. Such (b) Preside at a meeting where ballots election activity’’ under the Federal sources of publicity may include, but are to be cast or as poll officer at a Election Campaign Act of 1971, as are not limited to, print and radio; and polling place; amended. Specifically, these final rules (2) By such other means as the agent (c) See the ballots and the aforesaid modify the definitions of ‘‘voter may deem advisable. texts are distributed to producers and registration activity’’ and ‘‘get-out-the- (e) Make available to producers receive any ballots which are cast; and vote activity,’’ in response to the instructions on voting, appropriate (d) Record the name and address of decision of the U.S. Court of Appeals for registration, ballot, and certification each person casting a ballot with said the District of Columbia Circuit in Shays forms, and, except in the case of a subagent and inquire, as deemed v. FEC.

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DATES: These rules are effective on registration activity’’—Type I Federal danger that Federal contribution limits December 1, 2010. election activity—and GOTV activity— could be evaded by diverting funds to FOR FURTHER INFORMATION CONTACT: Ms. Type II Federal election activity. See 2 State and local parties, which then use Amy L. Rothstein, Assistant General U.S.C. 431(20)(A)(i) and (ii), 441i(b); 11 those funds for Federal election Counsel, or Attorney Mr. David C. CFR 100.24(a)(2) and (3).4 activity.’’ See 148 Cong. Rec. S2138 Adkins or Attorney Mr. Neven F. Application of BCRA’s Federal (daily ed. Mar. 20, 2002) (statement of Stipanovic, 999 E Street, NW., election activity funding restrictions for Sen. McCain). Washington, DC 20463, (202) 694–1650 Types I and II Federal election activity The Supreme Court upheld BCRA’s or (800) 424–9530. is conditioned upon the timing of the Federal election activity provisions in SUPPLEMENTARY INFORMATION: The activity. Voter registration activity (Type McConnell v. FEC, 124 S. Ct. 619, 670– Bipartisan Campaign Reform Act of I), for example, constitutes Federal 77 (2003). The Court found that non- 2002 1 (‘‘BCRA’’) contained extensive election activity, and therefore is subject Federal funds given to State, district, and detailed amendments to the Federal to BCRA’s funding restrictions, only if it and local party committees could have Election Campaign Act of 1971, as is conducted ‘‘120 days before the date the same corrupting influence as non- amended, 2 U.S.C. 431 et seq. (‘‘the a regularly scheduled Federal election is Federal funds given to the national Act’’). The Federal Election Commission held.’’ 2 U.S.C. 431(20)(A)(i). Similarly, parties and therefore held that BCRA’s (‘‘Commission’’) is revising its voter identification, GOTV activity, and Federal election activity restrictions regulations at 11 CFR 100.24 regarding generic campaign activity are Federal were justified by an important ‘‘Federal election activity,’’ including the election activity only if they are government interest. Id. at 672–73. The definitions of the terms ‘‘voter conducted ‘‘in connection with an Court held that BCRA’s Federal election registration activity’’ and ‘‘get-out-the- election in which a candidate for activity provisions were likely necessary vote activity’’ (‘‘GOTV activity’’). The Federal office appears on the ballot,’’ a to prevent ‘‘corrupting activity from Court of Appeals for the District of phrase that is defined in terms of a shifting wholesale to state committees 5 Columbia Circuit found aspects of these specific time window. 2 U.S.C. and thereby eviscerating [the Act].’’ Id. rules invalid in Shays v. Federal 431(20)(A)(ii) and 11 CFR 100.24(a)(1). at 673. Election Commission, 528 F.3d 914 (DC In BCRA, Congress chose to restrict In reaching its decision, the Court Cir. 2008) (‘‘Shays III’’). Accordingly, the the funds which State, district, and local noted that BCRA regulated only ‘‘those Commission is revising its rules at 11 party committees could use for Federal contributions to state and local parties CFR 100.24 to comply with the Shays III election activity because it determined that can be used to benefit Federal decision. that these activities affect Federal candidates directly’’ and therefore posed elections. See 148 Cong. Rec. S2139 the greatest threat of corruption. Id. at Transmission of Final Rules to (daily ed. Mar. 20, 2002) (statement of 673–74. As such, the Court found Congress Sen. McCain) (noting, for example, that BCRA’s regulation of voter registration Under the Administrative Procedure ‘‘get-out-the-vote and voter registration activities, which ‘‘directly assist the Act, 5 U.S.C. 553(d), and the drives * * * are designed to, and do party’s candidates for federal office,’’ Congressional Review of Agency have an unmistakable impact on both and GOTV activities, from which Rulemaking Act, 5 U.S.C. 801(a)(1), Federal and non-Federal elections’’). Federal candidates ‘‘reap substantial agencies must submit final rules to the Restrictions on the funding of Federal rewards,’’ to be permissible methods of Speaker of the House of Representatives election activity by State, district, and countering both corruption and the and the President of the Senate and local party committees are critical appearance of corruption. Id. at 674; see publish them in the Federal Register at because they prevent evasion of BCRA’s also id. at 675 (finding that voter least thirty calendar days before they restrictions on the raising and spending registration activities and GOTV take effect. The final rules that follow of non-Federal funds by national party activities ‘‘confer substantial benefits on were transmitted to Congress on committees and Federal candidates and federal candidates’’ and ‘‘the funding of September 7, 2010. officeholders. See Final Rules on such activities creates a significant risk Prohibited and Excessive Contributions: of actual and apparent corruption,’’ Explanation and Justification Non-Federal Funds or Soft Money, 67 which BCRA aims to minimize). I. Background Information FR 49064, 65 (July 29, 2002) (‘‘2002 Final Rule’’). Indeed, in passing BCRA’s B. Rulemakings A. BCRA Federal election activity provisions, Although BCRA defines Federal The Act, as amended by BCRA, and Congress had in mind ‘‘the very real election activity to include ‘‘voter Commission regulations provide that a registration activity’’ and ‘‘GOTV State, district, or local committee of a 4 In addition to GOTV activity, Type II Federal activity,’’ it does not specifically define election activity also includes ‘‘voter identification’’ those underlying terms. See 2 U.S.C. political party must pay for certain and ‘‘generic campaign activity.’’ See 2 U.S.C. ‘‘Federal election activities’’ with either 431(20)(A)(ii); 11 CFR 100.24 and 100.25. Types III 431(20)(A)(ii)–(iii). Accordingly, the entirely Federal funds 2 or, in other and IV Federal election activity are outside the Commission promulgated definitions of instances, a mix of Federal funds and scope of this rulemaking and are not discussed. these terms. 3 They pertain to public communications that refer to Levin funds. See 2 U.S.C. 441i(b); 11 a clearly identified Federal candidate and promote, 1. 2002 Rulemaking CFR 300.32. The Act identifies four support, attack or oppose a candidate for Federal types of activity that are subject to these office (Type III) and services provided by an The Commission first promulgated funding restrictions, including ‘‘voter employee of a State, district, or local committee of definitions of ‘‘voter registration a political party who spends more than 25 percent activity’’ and ‘‘GOTV activity’’ on July of his or her compensated time on activities in 1 Public Law 107–155, 116 Stat. 81 (2002). connection with a Federal election (Type IV). Types 29, 2002. See 2002 Final Rule, 67 FR at 2 ‘‘Federal funds’’ are funds subject to the I and II Federal election activity may be funded 49067. The 2002 Final Rule defined limitations, prohibitions, and reporting with a combination of Federal and Levin funds; ‘‘voter registration activity’’ as requirements of the Act. See 11 CFR 300.2(g). Types III and IV Federal election activity must be ‘‘contacting individuals by telephone, in 3 ‘‘Levin funds’’ are funds raised and disbursed by funded entirely with Federal funds. State, district, or local party committees pursuant 5 Commission regulations define ‘‘in connection person, or by other individualized to certain restrictions. See 2 U.S.C. 441i(b); see also with an election in which a candidate for Federal means to assist them in registering to 11 CFR 300.2(i). office appears on the ballot’’ at 11 CFR 100.24(a)(1). vote.’’ Id. at 49110. The Explanation and

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Justification (‘‘E&J’’) accompanying the the definition of ‘‘voter registration substantially similar to those rule noted that the definition was activity,’’ which required actual promulgated in 2002. The final rules limited to ‘‘individualized contact for assistance, was neither inconsistent were accompanied by an E&J that sought the specific purpose of assisting with congressional intent nor an to address many of the Shays I court’s individuals with the process of impermissible construction of BCRA. concerns. See Final Rules on Definition registering to vote.’’ Id. at 49067. The See Shays I, 337 F. Supp. 2d at 100 of Federal Election Activity, 71 FR 8926, Commission expressly rejected an (applying Chevron U.S.A., Inc. v. 8928 (Feb. 22, 2006) (‘‘2006 Final Rule’’). approach whereby mere encouragement Natural Res. Def. Council, Inc., 467 U.S. The Commission’s decision to leave to register to vote would have 837 (1984)). The court further held that unchanged the core aspects of the constituted voter registration activity. the ‘‘exact parameters’’ of the regulatory definitions of ‘‘voter registration The Commission was concerned that definition were unclear and, therefore, it activity’’ and ‘‘GOTV activity’’ was based taking such an approach would result in was unable to determine if the on its continued concern that ‘‘thousands of political committees and definition ‘‘unduly compromised’’ definitions which captured ‘‘mere grassroots organizations that merely BCRA’s purpose. Id. Nevertheless, the encouragement[s]’’ would be ‘‘overly encouraged voting as a civic duty, who court found that the Commission’s broad,’’ were unnecessary ‘‘to effectively have never been subject to Federal definition was promulgated without implement BCRA,’’ and ‘‘could have an regulation for such conduct, [being] adequate notice and opportunity for adverse impact on grassroots political swept into the extensive reporting and comment, contrary to the activity.’’ 6 Accordingly, the 2006 filing requirements mandated under Administrative Procedure Act, see 5 definitions were designed to encompass Federal law.’’ Id. U.S.C. 553, and remanded the regulation activities that actually registered The Commission similarly defined to the Commission. See Shays I, 337 F. persons to vote and resulted in voters ‘‘GOTV activity’’ in 2002 as ‘‘contacting Supp. 2d at 100. going to the polls. Id. at 8928–29. Thus, registered voters by telephone, in The court reached similar conclusions the Commission sought to ‘‘regulate the person, or by other individualized as to the definition of ‘‘GOTV activity,’’ funds used to influence Federal means to assist them in engaging in the holding that the definition, which elections’’ and not ‘‘incidental speech.’’ act of voting.’’ Id. at 49111. In adopting required actual assistance, was neither Id. this construction, the Commission inconsistent with congressional intent The Commission noted in its 2006 E&J sought to distinguish GOTV activity nor an impermissible construction of that its regulations would not lead to the from ‘‘ordinary or usual campaigning,’’ BCRA. Id. at 103, 105 (applying circumvention of the Act precisely to avoid ‘‘federaliz[ing] a vast Chevron). The court also concluded that because they captured ‘‘the use of non- percentage’’ of the campaign activity there was ‘‘ambiguity as to what acts are Federal funds for disbursements that that a State, district, or local party encompassed by the regulation,’’ which State, district, and local parties make for committee may conduct on behalf of its rendered the court unable to determine those activities that actually register candidates. Id. at 49067. The whether the definition of ‘‘GOTV individuals to vote.’’ Id. Moreover, Commission’s definition focused on activity’’ unduly compromised BCRA. ‘‘many programs for widespread actions directed toward registered voters Id. at 105. As it had with the definition encouragement of voter registration to that had the particular purpose of of ‘‘voter registration activity,’’ though, influence Federal elections would be ‘‘assisting registered voters to take any the court found that the Commission’s captured as public communications and all steps to get to the polls and cast definition was promulgated without under Type III [Federal election their ballots, or to vote by absentee adequate notice and opportunity for activity].’’ Id. The 2006 E&J also ballot or other means provided by law.’’ comment and remanded the regulation provided a nonexclusive list of Id. The definition was not intended to to the Commission. See id. at 106. examples of activity that would—and cover activity aimed at ‘‘generally The court also found that the would not—constitute voter registration increasing public support for a exemption from the GOTV activity activity. Id. definition for communications made by candidate or decreasing public support C. Shays III for an opposing candidate.’’ Id. associations or groups of State or local The Commission’s 2002 definition of candidates or officeholders ran contrary The revised definitions of voter GOTV activity also expressly excluded to Congress’s clearly expressed intent. registration activity and GOTV activity ‘‘any communication by an association See id. at 104. The court found that were challenged again in Shays v. FEC, or similar group of candidates for State BCRA provided no support for such an 508 F. Supp. 2d. 10, 63–70 (D.D.C. and local office or of individuals exemption, and it rejected all federalism 2007). Analyzing the definitions of holding State or local office if such concerns raised by the Commission in ‘‘voter registration activity’’ and ‘‘GOTV communication refers only to one or defense of the exemption, holding that activity,’’ the district court noted that more [S]tate or local candidates,’’ in ‘‘Congress was sensitive to federalism the Commission’s 2006 E&J addressed order to keep ‘‘State and local concerns in drafting BCRA’’ and that the only the most obvious instances of what candidates’ grassroots and local political Supreme Court in McConnell had was—and was not—covered activity but activity a question of State, not Federal, rejected the general federalism not the ‘‘vast gray area’’ of activities that law.’’ Id. The Commission declined to challenge brought against BCRA’s State and local parties may conduct and read BCRA as extending ‘‘to purely State Federal election activity provisions. Id. that may benefit Federal candidates. and local activity by State and local candidates’’ and concluded that such ‘‘a 2. 2005 Rulemaking 6 The Commission did change other aspects of the vast federalization of State and local The Commission commenced a GOTV activity definition in response to the Shays I court decision. The Commission removed from the activity’’ required ‘‘greater direction rulemaking in 2005 to address the definition of ‘‘GOTV activity’’ the exemption for from Congress.’’ Id. court’s concerns, rather than appeal communications by associations and groups of State The Commission’s 2002 definitions of these aspects of Shays I. Following or local candidates or officeholders. See 2006 Final voter registration activity and GOTV another notice and period for comment, Rule, 71 FR at 8931. The Commission also removed from the examples of GOTV activity the phrase activity were challenged in Shays v. the Commission promulgated ‘‘within 72-hours of an election,’’ to clarify that the FEC, 337 F. Supp. 2d 28 (D.D.C. 2004) definitions of ‘‘voter registration definition covered activity conducted more than 72 (‘‘Shays I’’). The district court held that activity’’ and ‘‘GOTV activity’’ that were hours before an election. See id. at 8930–31.

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Shays v. FEC, 508 F. Supp. 2d at 65, activities [were] covered’’ by the rules. for with Federal funds or with a mix of 69–70. Id. Accordingly, the Court of Appeals Federal and Levin funds, as appropriate. Regarding GOTV activities, in concluded that the definitions would In addition, these final rules clarify that particular, the district court focused on ‘‘allow the use of soft money for many GOTV activity and voter identification Advisory Opinion 2006–19, issued to efforts that influence federal elections,’’ conducted solely in connection with a the Los Angeles County Democratic which is directly counter to BCRA’s non-Federal election are not subject to Party Central Committee, in which the purpose. Id. the Commission’s Federal election Commission concluded that a local The court rejected the Commission’s activity funding restrictions, and party committee’s mass mailing and pre- justifications for the definitions—to provide that certain de minimis recorded, electronically dialed exclude mere exhortations from activities are not subject to the Federal telephone calls (‘‘robocalls’’) to the coverage and to give clear guidance as election activity funding restrictions. party’s registered voters would not to the scope of the rules—finding the constitute GOTV activity.7 The district Commission could craft definitions that II. Final Rules court stated that Advisory Opinion exclude routine exhortations and that A. 11 CFR 100.24(a)(2)—Definition of 2006–19 had announced a much provided clear guidance to State, ‘‘Voter Registration Activity’’ narrower interpretation of the scope of district, and local party committees in a To comply with the Court of Appeals’ GOTV activity than ‘‘might otherwise way that is more consistent with BCRA. decision in Shays III, the Commission is [have been] presumed on the face of the Id. at 932. Accordingly, the Court of revising the definition of ‘‘voter ’’ Appeals remanded the regulations to the definition. Id. at 69. ’’ The district court held that the Commission. registration activity at 11 CFR Commission’s failure to address these In response to the court of appeal’s 100.24(a)(2). The Commission’s new vast gray areas, and to explain whether decision, the Commission published a definition covers activities that assist, activities falling within them would Notice of Proposed Rulemaking on encourage, or urge potential voters to affect Federal elections, unduly October 20, 2009. See Notice of register to vote. The definition compromised BCRA’s purposes. Id. at Proposed Rulemaking on the Definition continues to cover contacting potential 65–66, 69–70. Accordingly, the court of Federal Election Activity, 74 FR voters by individualized means but, as remanded the definitions to the 53674 (Oct. 20, 2009) (‘‘NPRM’’). The revised, it now also covers contacts Commission. Id. at 70–71. NPRM proposed possible modifications directed to potential voters by any The Court of Appeals upheld the to the definitions of ‘‘voter registration means to urge or encourage them to lower court’s decision invalidating the activity’’ and ‘‘GOTV activity,’’ as well as register to vote. As explained further Commission’s definitions of ‘‘voter a modification to the ‘‘exceptions’’ below, the new definition excludes registration activity’’ and ‘‘GOTV paragraph of the definition of ‘‘Federal brief, incidental exhortations to register activity,’’ although on slightly different election activity.’’ The public comment to vote, consistent with the court’s grounds. See Shays v. FEC, 528 F.3d period for the NPRM closed on decision. 914, 931 (DC Cir. 2008). The Court of November 20, 2009. The Commission 1. 11 CFR 100.24(a)(2)(i)—Covered Appeals recognized that the received written comments from 14 Activities Commission had discretion to commenters, including a comment from New paragraph (a)(2)(i) of 11 CFR promulgate definitions that left the Internal Revenue Service indicating 100.24 lists the activities that constitute unaddressed large gray areas of activity that the proposed rules did not appear voter registration activity. The new and to fill them in later through to present a conflict with the Internal definition identifies the following enforcement actions and the advisory Revenue Code or the regulations activities as voter registration activity: opinion process. See Shays III, 528 F.3d thereunder. The Commission held a • Encouraging or urging potential at 931. public hearing on December 16, 2009, at Nevertheless, the Court of Appeals which seven witnesses testified. After voters to register to vote by mail held that the Commission’s definitions the hearing, the Commission accepted (including direct mail), e-mail, in of ‘‘voter registration activity’’ and four supplemental comments expanding person, by telephone (including pre- ‘‘GOTV activity’’ were deficient because on issues raised during the hearing. All recorded telephone calls, phone banks, they served to ‘‘create ‘two distinct comments and a public transcript of the and messaging such as SMS and MMS), loopholes.’ ’’ Id. The flaws in both hearing are available at http:// or by any other means (11 CFR definitions were: (1) The ‘‘assist’’ www.fec.gov/law/ 100.24(a)(2)(i)(A)); _ • requirements, which excluded efforts law rulemakings.shtml#FEAShays3. For Preparing and distributing that ‘‘actively encourage people to vote purposes of this document, the terms information about registration and ‘‘comment’’ and ‘‘commenter’’ apply to voting (11 CFR 100.24(a)(2)(i)(B)); or register to vote’’ and (2) the • ‘‘individualized means’’ requirements, both written comments and oral Distributing voter registration forms which excluded ‘‘mass communications testimony at the public hearing. or instructions to potential voters (11 ‘‘ targeted to many people,’’ and had the These final rules define voter CFR 100.24(a)(2)(i)(C)); ’’ ‘‘ • effect of ‘‘dramatically narrowing which registration activity and GOTV Answering questions about how to activity’’ for purposes of the complete or file a voter registration form

7 Commission’s Federal election activity (11 CFR 100.24(a)(2)(i)(D)); The proposed communications would have been • made four or more days before the election, would regulations. These new definitions cover Assisting potential voters in have informed recipients of the date of the election, activities that urge, encourage, or assist completing voter registration forms (11 would have urged them to vote for local, but not potential voters to register to vote or to CFR 100.24(a)(2)(i)(D)); Federal, candidates, and would not have included • additional information such as the hours and vote, regardless of whether the message Submitting or delivering completed location of the individual voter’s polling place. The is delivered individually or to a group voter registration forms (11 CFR Commission concluded that the communications of people via mass communication. 100.24(a)(2)(i)(E)); would provide neither actual assistance nor Brief, incidental exhortations to register • Offering or arranging to transport, sufficiently individualized assistance to constitute or actually transporting, potential voters GOTV activity and that, as a result, the to vote or to vote are, however, exempt communications could be funded exclusively with from the new definitions. Activities to a board of elections or county clerk’s non-Federal funds. meeting these definitions must be paid office for them to fill out voter

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registration forms (11 CFR suggested that the Commission could committees and could prove difficult for 100.24(a)(2)(i)(F)); and subsequently amend its regulations. the Commission to administer and • Any other activity that assists This approach, according to the enforce. potential voters to register to vote (11 commenter, was preferable to adopting The Commission has reorganized the CFR 100.24(a)(2)(i)(G)). a broad definition at the outset covering definition of voter registration activity Accordingly, the revised definition of all activities that encourage potential in section 100.24 in light of comments ‘‘voter registration activity’’ covers the voters to register to vote. received. Whereas the proposed rule following examples: (1) Sending a mass The Commission also received would have set forth a general definition mailing of voter registration forms; and comments addressing its proposal to of ‘‘voter registration activity’’ with a (2) submitting completed voter expand the definition of voter non-exhaustive list of examples, the registration forms to the appropriate registration activity to include new rule defines ‘‘voter registration State or local office handling voter communications made by ‘‘any other activity’’ by providing a comprehensive registration. means’’ that urge or encourage potential list of covered activities. The Commission received multiple voters to register to vote. Two Notwithstanding this change in form, comments on its proposal to expand the commenters thought that the court’s the new definition covers the same definition of voter registration activity decision did not require the universe of activities as the definition to include encouraging potential voters Commission to adopt a definition proposed in the NPRM. to register to vote. Almost all the covering all mass communications, and This change is responsive to commenters agreed that expanding the that the definition could simply be commenters who indicated that the definition in this manner would be amended to cover certain specific structure of the proposed definition was responsive to the Shays III court. activities, including phone banks and ‘‘confusing’’ and unhelpful. The Commenters offered a range of opinions, direct mail. Another commenter argued Commission has concluded that the new though, on whether this expansion was that the Commission should exempt definition, which lists both specific and required by the court’s decision or if from the definition of voter registration general activities, provides clear and there was a narrower approach that activity all Internet communications, effective guidance while capturing those might satisfy the court. stating that such communications are activities that Congress and the courts Two commenters stated that the made at ‘‘virtually no cost.’’ By contrast, identified as being ‘‘voter registration Commission could not do ‘‘anything one commenter asserted that the activity.’’ short of including encourage[ment]’’ in ‘‘ ’’ definition’s any other means standard 2. 11 CFR 100.24(a)(2)(ii)—Brief, the definition and ‘‘still satisfy the ‘‘ ’’ was not inclusive enough and that the Incidental Exhortations concerns of the circuit court.’’ In definition should list ‘‘the multiple contrast, others that commented on this methods of electronic communication New paragraph (a)(2)(ii) of 11 CFR issue argued that a definition of voter used today.’’ 100.24 states that an activity is not registration activity that included As discussed above, the Shays III ‘‘voter registration activity’’ solely activities that only encourage people to court identified ‘‘two distinct loopholes’’ because it includes a brief exhortation to register to vote (regardless of the means) in the Commission’s prior definitions of register to vote, so long as the was unnecessary. Some commenters voter registration activity. See Shays III, exhortation is incidental to a asserted that such a definition would 528 F.3d at 931–32. The court communication, activity, or event. This subject to regulation all of the activities determined that these ‘‘two distinct exception from the definition of ‘‘voter of State and local party committees, loopholes’’—which required that voter registration activity’’ ensures that contrary to the intent of Congress. registration activity ‘‘assist’’ voters in activities that are not otherwise voter Instead, the majority of commenters registering to vote and that contacts registration activity do not become voter advocated for a narrower definition that with potential voters be registration activity simply because they would not apply to activities that, in ‘‘individualized’’—conflicted with include a brief, incidental reminder to their opinion, are not appropriately BCRA’s purpose. Id. at 932. Moreover, register to vote. characterized as voter registration the Shays III court suggested that the To qualify for the exception, the activity. Commenters suggested Commission’s regulations should reach exhortation to register to vote must be definitions covering only activities that both efforts that ‘‘encourage people to both brief and incidental. Exhortations actively encourage voter registration vote or to register to vote’’ as well as to register to vote that go on for many (which would be informed by a time/ ‘‘mass communications’’ that are minutes of a speech, for example, or that space analysis), that were primarily directed to a significant number of occupy a large amount of space in a aimed at increasing voter registration, or people. Id. at 931. The Commission mailer are not brief and will not qualify that facilitate voter registration. Another concludes that the definition of voter for the exception. Similarly, commenter proposed a definition that registration activity adopted in this exhortations, however brief, must also would cover only activities understood rulemaking best addresses the court’s be incidental to the communication, by a ‘‘reasonable person engaged in concerns. activity or event. For example, a one- political campaign management’’ to be For these reasons, the Commission line exhortation to ‘‘Register to vote!’’ voter registration activity. Multiple has decided not to adopt any of the appearing at the end of a campaign flier commenters wanted the Commission to other proposals suggested by the would be incidental to the larger adopt a definition of voter registration commenters. Whatever the individual communication, whereas a activity that would exclude ‘‘persuasion merits of these proposals, in the current communication stating only ‘‘Register to communications,’’ which commenters rulemaking the Commission is charged Vote by October 1st!’’ and containing no characterized as communications that with adopting a definition of voter other text would not be incidental and, are intended to secure a vote for a registration activity that addresses the thus, would not come within the specific candidate but that are not ‘‘two distinct loopholes’’ identified by exception from the definition of ‘‘voter effective at mobilizing potential voters the Shays III court. Furthermore, many registration activity.’’ to register to vote. of the alternative proposals suggested by The exception applies to brief, If any of these narrower approaches the commenters will not provide clear incidental exhortations regardless of the proved under-inclusive, one commenter guidance to State and local party forum or medium in which they are

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made. The exception covers an exception, pointing out that the court’s how to register to vote would not exhortation offered in a speech at a opinion specifically referenced only qualify under the exception at new 11 rally, for example, as well as one ‘‘routine or spontaneous speech-ending CFR 100.24(a)(2)(ii). Instead, the appearing in an e-mail. exhortations.’’ Several commenters, exception is intended to ensure that Two examples of activities that would though, believed that there was no communications that would not be covered under the exception appear reason to limit the exception by the otherwise be voter registration activity at new paragraphs (a)(2)(ii)(A) and medium in which the communication do not become voter registration activity (a)(2)(ii)(B) of 11 CFR 100.24. The first was delivered or the forum in which it merely because they include a brief, example is a mailer praising the public was made. One of these commenters incidental exhortation encouraging service record of a mayoral candidate stated that ‘‘[n]othing in the court’s listeners to register to vote. and/or discussing the candidate’s decisions [could] reasonably be read to campaign platform. The mailer mean that exhortations are to be B. 11 CFR 100.24(a)(3)—Definition of concludes by reminding recipients: excluded only if made in a speech or at ‘‘GOTV Activity’’ ‘‘Don’t forget to register to vote for [the a rally but not if made by other means To comply with the Court of Appeals’ mayoral candidate] by October 1st.’’ The of communications.’’ Another decision in Shays III, the Commission is second example involves a phone call commenter pointed out that limiting the revising the definition of ‘‘GOTV for a State party committee fundraising exception in this way would render it activity’’ at 11 CFR 100.24(a)(3). The event. The call provides recipients with functionally meaningless, because Commission’s revised definition covers information about the event, solicits parties rarely rely on speakers at rallies activities that assist, encourage, or urge donations, and concludes by reminding to encourage people to register to vote. potential voters to vote. The definition the listener: ‘‘Don’t forget to register to Two commenters discussed the continues to cover contacting potential vote.’’ proposed requirement in the NPRM voters by individualized means but, as The new exception at 11 CFR that, to qualify for the exception, an revised, it now also covers contacting 100.24(a)(2)(ii) differs in certain respects exhortation be incidental to a speech or potential voters by any means to urge or from the one proposed in the NPRM. event. One commenter suggested that encourage them to vote. As explained The proposed exception would have the Commission determine whether an further below, the new definition applied only to incidental exhortations exhortation is, in fact, incidental by excludes brief, incidental exhortations made during speeches or events, engaging in a time/space analysis. to vote, consistent with the court’s whereas the exception in the final rule Another commenter urged that the decision. applies to brief, incidental exhortations exhortation exception be further limited made in any communication or during to only spontaneous communications 1. 11 CFR 100.24(a)(3)(i)—Covered any activity or event. Moreover, the and not cover communications that are Activities proposed exception did not explicitly scripted. Revised paragraph (a)(3)(i) of 11 CFR require that the exhortation be brief, The Commission has considered the 100.24 lists the activities that are GOTV although a brevity requirement was comments and has decided to adopt a activity. The revised definition implicit in the proposal. Finally, the somewhat broader exception than identifies the following activities as proposed exception included four initially proposed. While the Shays III GOTV activity: examples of exhortations that would court required the Commission to adopt • Encouraging or urging potential have qualified for the exception. The a more expansive definition of ‘‘voter voters to vote (11 CFR new exception includes only two registration activity,’’ the court 100.24(a)(3)(i)(A)); examples, but they are more detailed acknowledged that the Commission • Informing potential voters about than in the NPRM and, thus, provide could exclude from the definition better guidance regarding the intended ‘‘routine or spontaneous speech-ending times when polling places are open (11 application of the exception. exhortations’’ and ‘‘mere exhortations CFR 100.24(a)(3)(i)(B)(1)), the location Several of the comments received on * * * made at the end of a political of polling places (11 CFR the exhortation exception were simply event or speech.’’ Shays III, 528 F.3d at 100.24(a)(3)(i)(B)(2)), or early voting or an extension of the comments on the 932. voting by absentee ballot (11 CFR scope and organization of the proposed The Commission agrees with those 100.24(a)(3)(i)(B)(3); • definition of ‘‘voter registration activity’’ commenters who indicated that the Offering or arranging to transport itself. One commenter, for example, exception should not be limited by voters to the polls, as well as actually indicated that the exception did not medium or forum. To limit the transporting voters to the polls, is also sufficiently narrow the definition of exemption to exhortations made only at GOTV activity (11 CFR ‘‘voter registration activity’’ and would speeches or rallies would elevate form 100.24(a)(3)(i)(C)); and not appropriately protect ‘‘persuasion over substance and is not necessary to • All activities that assist potential communications.’’ Another commenter give effect to the court’s opinion. The voters to vote are GOTV activity (11 CFR urged the Commission not to adopt the court did not require the Commission to 100.24(a)(3)(i)(D)). exhortation exception and, instead, create artificial distinctions between an These activities fall within the simply to define voter registration incidental exhortation during a speech definition regardless of the means by activity as covering only activities that or rally and an incidental exhortation which information is conveyed. facilitate voter registration. made in a written communication or Accordingly, the revised definition of Other comments focused on the scope telephone call conveying the same ‘‘GOTV activity’’ would cover the of the proposed exception. Specifically, message. following examples: (1) Driving a sound commenters addressed whether the This exception will not inoculate truck through a neighborhood that plays exception should be limited, as it was speeches or events that otherwise would a message urging listeners to ‘‘Vote next in the NPRM, to exhortations made meet the new definition of ‘‘voter Tuesday at the Main Street community during speeches and events, or whether registration activity.’’ For example, a center’’; and (2) making telephone calls it should also cover exhortations made speech given sixty days before an (including robocalls) reminding the in other contexts. Two commenters election that devotes several minutes to recipient of the times during which the supported adopting the proposed providing listeners with information on polls are open on election day.

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The Commission received multiple Several commenters stressed the need to rulemaking the Commission is charged comments on its proposal to expand the adopt a definition of ‘‘GOTV activity’’ with adopting a definition of GOTV definition of GOTV activity to include that would exclude ‘‘persuasion activity that addresses the ‘‘two distinct encouraging potential voters to vote. communications,’’ which the loopholes’’ identified by the Shays III Many of those comments addressed commenters characterized as court. Furthermore, many of the together the proposed expansions of the communications that are intended to alternative proposals suggested by the definitions of ‘‘voter registration secure a vote for a specific candidate but commenters would prove difficult for activity’’ and ‘‘GOTV activity.’’ Those that are not effective at mobilizing the Commission to administer and comments were discussed and potential voters to vote. enforce. Introducing qualifiers into the addressed in the preceding section and In the event that any of these definition of ‘‘GOTV activity’’—like are only briefly mentioned here. Other narrower approaches proved under- ‘‘targeting,’’ ‘‘active encouragement,’’ or comments, though, focused on the inclusive, one commenter suggested that ‘‘primarily aimed’’—may theoretically proposed expansion of the definition of the Commission could subsequently narrow the definition, but would require ‘‘GOTV activity’’ and are discussed amend its regulations. This approach, the Commission to make searching (and below. according to the commenter, was potentially burdensome) inquiries into Almost all the commenters agreed preferable to adopting a broad definition the mechanics, decision-making, and that revising the definition of ‘‘GOTV at the outset covering all activities that intentions of State, district, and local activity’’ to include encouraging and encourage potential voters to vote. party committees and associations of urging potential voters to vote would be The Commission also received State or local candidates in order to responsive to the Shays III court. comments addressing its proposal to enforce the law. In addition, such a Commenters offered a range of opinions, revise the definition of ‘‘GOTV activity’’ vague definition would not provide though, on whether this expansion was to include communications urging or clear guidance to State, district, and required by the court’s decision or if encouraging potential voters to vote local party committees and associations there was a narrower approach that made by ‘‘any other means.’’ Two of State or local candidates. might satisfy the court. commenters thought that the court’s The Commission has reorganized the Two commenters asserted that the decision did not require the definition of ‘‘GOTV activity’’ in section Commission could not do ‘‘anything Commission to adopt a definition 100.24 in light of comments received. short of including encourage[ment]’’ in covering all mass communications, and Whereas the proposed rule would have the definition and ‘‘still satisfy the that the definition could simply be set forth a general definition of ‘‘GOTV concerns of the circuit court.’’ Others amended to cover certain specific activity’’ with a non-exhaustive list of that commented on this issue, by activities, including phone banks and examples, the new rule defines ‘‘GOTV contrast, believed that a definition of direct mail. activity’’ by providing a comprehensive ‘‘GOTV activity’’ that included activities Another commenter thought that the list of covered activities. that only encouraged people to vote Commission should exempt from the Notwithstanding this change in form, (regardless of the means) is unnecessary. definition of ‘‘GOTV activity’’ all the new definition covers the same Some commenters were concerned that Internet communications, because such universe of activities as the definition such a definition would subject to communications are made at ‘‘virtually proposed in the NPRM. regulation all of the activities of State no cost.’’ In contrast, a different This organizational change is and local party committees, contrary to commenter thought that the definition’s responsive to commenters who the intent of Congress. ‘‘any other means’’ standard was not indicated that the structure of the Several commenters were particularly ‘‘inclusive enough’’ and that the proposed definition was ‘‘confusing’’ concerned that the proposed definition definition should list ‘‘the multiple and unhelpful. The Commission has of ‘‘GOTV activity’’ would cover all methods of electronic communication decided that the revised definition, candidate advocacy conducted by State, used today.’’ which lists both specific and general district, and local party committees, As discussed above, the Shays III activities, provides clear and effective including advocacy focused solely on court identified ‘‘two distinct loopholes’’ guidance while capturing those State and local candidates that makes no in the Commission’s prior definitions of activities that Congress and the courts mention of a Federal candidate. As with GOTV activity. See Shays III, 528 F.3d identified as being GOTV activity. the definition of ‘‘voter registration at 931–32. The court determined that activity,’’ commenters proposed these ‘‘loopholes’’—which required that 2. 11 CFR 100.24(a)(3)(ii)—Brief, narrowing the definition of ‘‘GOTV GOTV activity ‘‘assist’’ voters in voting Incidental Exhortations activity’’ to cover only activities that and that contacts with potential voters New paragraph (a)(3)(ii) of 11 CFR actively encourage or facilitate voting or be ‘‘individualized’’—conflicted with 100.24 states that an activity is not that are primarily aimed at increasing BCRA’s purpose. Id. at 932. Moreover, GOTV activity solely because it includes voter turnout. Another commenter the Shays III court suggested that the a brief exhortation to register to vote, so proposed a definition that would cover Commission’s regulations should reach long as the exhortation is incidental to only activities understood by a both efforts that ‘‘encourage people to a communication, activity, or event. ‘‘reasonable person engaged in political vote or to register to vote’’ as well as Like the exception to the definition of campaign management’’ to be ‘‘GOTV ‘‘mass communications’’ that are ‘‘voter registration activity,’’ this activity.’’ directed to a significant number of exception to the definition of ‘‘GOTV Some commenters also offered more people. Id. at 931. The Commission activity’’ ensures that activities that are specific suggestions regarding the concludes that the definition of ‘‘GOTV not otherwise GOTV activity do not definition of ‘‘GOTV activity.’’ One activity’’ adopted in this rulemaking best become GOTV activity simply because commenter proposed defining ‘‘GOTV addresses the court’s concerns. they include a brief, incidental reminder activity’’ as ‘‘activities directed toward For these reasons, the Commission to vote. encouraging voters who are identified as has decided not to adopt any of the The exception operates identically to likely to support specific candidates to other proposals suggested by the the exhortation exception to the cast votes in an election in which commenters. Whatever the individual definition of ‘‘voter registration activity.’’ federal candidates are on the ballot.’’ merits of these proposals, in the current To qualify for the exception, the

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exhortation to vote must be both brief definition of GOTV activity itself. One definition ‘‘routine or spontaneous and incidental. Exhortations to vote that commenter, for example, indicated that speech-ending exhortations’’ and ‘‘mere consume many minutes of a speech, for the exception did not sufficiently exhortations * * * made at the end of example, or that occupy a large amount narrow the definition of ‘‘GOTV a political event or speech.’’ Shays III, of space in a mailer are not brief and activity’’ and would not appropriately 528 F.3d at 932. will not qualify for the exception. protect ‘‘persuasion communications’’ The Commission agrees with those Similarly, exhortations, however brief, that are ‘‘devoted to convincing a voter commenters who indicated that the must also be incidental to a to vote for a particular candidate or exception should not be limited by communication, activity, or event. For party.’’ Another commenter urged the medium or forum. To limit the example, a one-word reminder to Commission not to adopt the exception to exhortations made only at ‘‘Vote!’’ appearing at the end of a mailer exhortation exception and, instead, speeches or rallies would elevate form would be incidental to the larger simply define GOTV activity as covering over substance and is not necessary to communication, whereas a message in a only activities that facilitate voting. A give effect to the court’s opinion. The mailer that stated only ‘‘Vote on Election different commenter suggested that the court did not require the Commission to Day!’’ or ‘‘Vote for Smith next Tuesday!’’ line between exhortation and create artificial distinctions between an and contained no other text would not encouragement existed where the incidental exhortation during a speech be incidental and, thus, would not be communication or activity specifically or rally and an incidental exhortation exempted from the definition of GOTV urged a potential voter to vote. In the made in a written communication or activity. opinion of this commenter, a sign saying telephone call conveying the same The exception applies to brief, ‘‘Vote for Smith’’ would be an message. incidental exhortations regardless of the exhortation to vote, while a sign saying This exemption will not inoculate forum or medium in which they are ‘‘Go Vote for Smith’’ would encourage speeches or events that otherwise would made. The exception covers an voting and thus constitute GOTV meet the definition of ‘‘GOTV activity.’’ exhortation made at the end of a speech activity. For example, a speech given within the at a rally, for example, as well as one Other comments focused on the scope covered Federal election activity period appearing at the end of an e-mail. of the proposed exception. Specifically, that devotes several minutes to Two examples of activities that would commenters addressed whether the providing listeners with information on be covered under the exception appear exception should be limited, as it was how and where to vote would not at new paragraphs (a)(3)(ii)(A) and in the NPRM, to exhortations made qualify under the exception at new 11 (a)(3)(ii)(B) of 11 CFR 100.24. The first during speeches and events, or whether CFR 100.24(a)(3)(ii). Instead, the example is a mailer praising the public it should also cover exhortations made exception is intended to ensure that service record of a mayoral candidate in other contexts. Two commenters communications that would not and/or discussing the candidate’s supported adopting the proposed otherwise be GOTV activity do not campaign platform. The mailer exception, pointing out that the court’s become GOTV activity merely because concludes by reminding recipients: opinion specifically referenced only they include a brief, incidental ‘‘Vote [for the mayoral candidate] on ‘‘routine or spontaneous speech-ending exhortation to vote. November 4th.’’ The second example ’’ exhortations. Several commenters, C. 11 CFR 100.24(c)(5) and (c)(6)—Voter involves a phone call for a State party though, believed that there was no Identification and GOTV Activity Solely committee fundraising event. The call reason to limit the exception by the in Connection With a Non-Federal provides recipients with information medium in which the communication Election about the event, solicits donations, and was delivered or the forum in which it concludes by reminding the listener: was made. One of these commenters The new provisions at 11 CFR ‘‘Don’t forget to vote on November 4th.’’ stated that ‘‘[n]othing in the court’s 100.24(c)(5) and (c)(6) restructure the The new exception at 11 CFR decisions [could] reasonably be read to combined provision proposed in the 100.24(a)(3)(ii) differs in certain respects mean that exhortations are to be NPRM by addressing voter from the one proposed in the NPRM. excluded only if made in a speech or at identification and GOTV activity in two The proposed exception would have a rally but not if made by other means separate provisions. New paragraph applied only to incidental exhortations of communications.’’ (c)(5) of 11 CFR 100.24 provides that made during speeches or events, Two commenters addressed the certain voter identification that is whereas the exception in the final rule proposed requirement in the NPRM conducted solely in connection with a applies to brief, incidental exhortations that, to qualify for the exception, an non-Federal election that is held on a made in any communication or during exhortation be incidental to a speech or date within the Type II Federal election any activity or event. Moreover, the event. One commenter suggested that activity time periods, but on which no proposed exception did not explicitly the Commission determine whether an Federal election is held, and which is require that the exhortation be brief, exhortation is, in fact, incidental by not used in a subsequent election in although a brevity requirement was engaging in a time/space analysis. which a Federal candidate is on the implicit in the proposal. Finally, the Another commenter suggested that the ballot, is not subject to BCRA’s Federal proposed exception included four exhortation exception be further limited election activity funding restrictions. examples of exhortations that would to only spontaneous communications New paragraph (c)(6) of 11 CFR have qualified for the exception. The and not cover communications that are 100.24 provides that certain GOTV new exception includes only two scripted. activity that is conducted solely in examples, but they are more detailed The Commission has considered the connection with a non-Federal election than in the NPRM and, thus, provide comments and has decided to adopt a that is held on a date within the Type better guidance regarding the intended somewhat more expansive exception II Federal election activity time periods, application of the exception. than initially proposed. While the Shays but on which no Federal election is Several of the comments received on III court required the Commission to held, is not subject to BCRA’s Federal the exhortation exception were simply adopt a more expansive definition of election activity funding restrictions, an extension of the comments on the GOTV, the court acknowledged that the provided that any communications scope and organization of the proposed Commission could exclude from the made as part of such activity refer

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exclusively to: (1) Non-Federal Cong. Rec. S2138 (daily ed. Mar. 20, on some level—organizing people to candidates participating in the non- 2002) (Statement of Sen. McCain). register to vote, and to vote, informs Federal election, if the non-Federal BCRA does not require the everything that party committees do. candidates are not also Federal Commission to regulate voter This commenter noted, for example, candidates, (2) ballot referenda or identification or GOTV activities by that State and local parties commonly initiatives scheduled for the date of the State, district, and local political party post on their Web sites information on non-Federal election, or (3) the date, groups that are exclusively in voter registration and voting but that the polling hours, and locations of the non- connection with non-Federal elections. cost is ‘‘typically minimal and is folded Federal election. Many communities hold entirely non- into the general administrative costs of The Commission received several Federal elections on dates that are operating the committee.’’ To the extent comments on the provision as proposed separate from any election in which a that this activity was covered as ‘‘voter in the NPRM. Five commenters Federal candidate appears on the ballot, registration activity’’ or ‘‘GOTV activity,’’ supported the provision, saying that it but that nevertheless fall within the all the operational costs would struck the proper balance and Type II Federal election activity time potentially need to be funded with characterized it as ‘‘sensible.’’ One periods. See, e.g. http:// Federal funds or a mix of Federal and commenter believed it was proper to www.usmayors.org/elections/ Levin funds, as appropriate. exclude such activities from the Federal electioncitiesfall2010.pdf (listing The Commission is mindful of the election activity funding restrictions mayoral elections held in 2010) (last administrative complexities that State, because they do not directly benefit visited July 28, 2010). The Commission, district and local party committees, as Federal candidates, which was the focus therefore, is adopting exceptions in the well as associations of State and local of the McConnell court in analyzing final rule to distinguish better between candidates, would face in tracking the BCRA. voter identification and GOTV activities nominal, incidental costs of these Many of these commenters also that are Federal election activity, and activities. As recognized by the courts, indicated that the proximity of an those activities that are not Federal agencies may promulgate de minimis exclusively non-Federal election to a election activity because they do not exemptions to the statutes they subsequent Federal election should affect elections in which Federal administer on the basis that ‘‘Congress is have no bearing on the application of candidates appear on the ballot. always presumed to intend that the provision. One commenter said that pointless expenditures of effort be D. 11 CFR 100.24(c)(7)—Activities the proximity of the two types of avoided.’’ Ass’n of Admin. Law Judges v. Involving De Minimis Costs elections was irrelevant because they FLRA, 397 F.3d 957, 961–62 (DC Cir. involve different variables; the issues New paragraph (c)(7) of 11 CFR 2005). Although there are limits to this that inform voter identification and 100.24 provides that de minimis costs authority—de minimis exceptions are motivate voters in non-Federal elections associated with the following inappropriate for extraordinarily rigid are very different from those that inform enumerated activities are not subject to statutes or when the regulatory costs of and motivate in a Federal election. the Federal election activity funding the exemption exceed its benefits—it is Accordingly, according to these restrictions: (1) On the Web site of a inherent in most statutory schemes. Id. commenters, voter identification and party committee or association of State at 962; see Envtl. Def. Fund v. EPA, 82 GOTV activity conducted for a non- or local candidates, posting a hyperlink F.3d 451, 466 (DC Cir. 1996). Federal election is of little use in a to a State or local election board’s Web Accordingly, the Commission has subsequent Federal election. page containing information on voting decided to adopt new paragraph (c)(7) at In contrast, two commenters objected or registering to vote; (2) on the Web site 11 CFR 100.24 to make clear that certain to the provision on the basis that it of a party committee or association of activities are not subject to BCRA’s would allow activity that affected State or local candidates, enabling Federal election activity funding Federal elections to be funded with non- visitors to download a voter registration restrictions. Such a de minimis Federal funds contrary to BCRA’s intent. form or absentee ballot application; (3) exception is entirely appropriate in this According to these commenters, all on the Web site of a party committee or context because many of the activities voter identification and GOTV activity association of State or local candidates, listed will involve no costs and, thus, confer benefits on Federal candidates providing information about voting already effectively fall outside the and, as such, these activities must be dates and/or polling locations and hours Federal election activity funding regulated to avoid the risk of actual or of operation; and (4) placing voter regulations. To the extent that the listed apparent corruption. registration forms or absentee ballot activities do involve de minimis costs, BCRA requires State, district, and applications obtained from the board of they are so small that—even aggregated local political party committees and elections at the office of a party over a long period of time—they would organizations to finance Federal election committee or association of State or not result in any meaningful evasion of activity with Federal funds, or, in some local candidates. BCRA’s soft money restrictions. instances, with an allocated mix of In the NPRM, the Commission asked The Commission notes that this Federal funds and Levin funds. 2 U.S.C. generally whether the proposed provision only covers de minimis costs 441i(b); 11 CFR 300.33. One of the definitions of ‘‘voter registration associated with the enumerated principal sponsors of BCRA described activity’’ and ‘‘GOTV activity’’ covered activities; amounts that are not de its Federal election activity provisions activity that Congress did not intend to minimis, which are incurred in as a ‘‘balanced approach which regulate in BCRA and, if so, what those connection with the enumerated addresses the very real danger that activities were. activities, must still be paid for with Federal contribution limits could be In response, one commenter pointed Federal funds or a mix of Federal and evaded by diverting funds to State and out that under the expanded definitions Levin funds, as appropriate. In addition, local parties,’’ while ‘‘not attempt[ing] to of ‘‘voter registration activity’’ and the provision in paragraph (c)(7) does regulate State and local party spending ‘‘GOTV activity,’’ ‘‘all the organizational not cover de minimis costs associated where this danger is not present, and activity of every county, every city, and with other activities. The costs where State and local parties engage in every state committee is going to be associated with activities not purely non-Federal activities.’’ 148 brought into these regulations,’’ since— enumerated, regardless of how small,

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must also be paid for with Federal funds 3. Communications Referencing Only communication refers solely to a non-federal or a mix of Federal and Levin funds, as State and Local Candidates candidate, but rather whether the appropriate. Thus, the list of activities communication is GOTV or voter registration In the NPRM, the Commission activity. If it is GOTV or voter registration enumerated in the provision is proposed adding an exception to the activity, it is not eligible for the exemption, exhaustive. Activities not listed are not definition of ‘‘GOTV activity’’ at 11 CFR even if it refers only to a state or local covered, regardless of how closely 100.24(a)(3)(iii) for public candidate. related they are to the activities listed. communications that refer solely to one The Commission is not adopting the E. Additional Issues or more clearly identified candidates for ‘‘State and local communication’’ State or local office and note the date of exception. The provisions at 2 U.S.C. 1. Advisory Opinion 2006–19 (Los the election. The proposal was designed 431(20)(B)(i) and 11 CFR 100.24(c)(1) Angeles County Democratic Party to ensure that the expansion of the remain and continue to exempt from the Central Committee) GOTV activity definition required by definition of Federal election activity In Shays III, the Court of Appeals the Shays III court would not, in effect, public communications that refer solely criticized Advisory Opinion 2006–19 render meaningless the statutory to a clearly identified candidate for (Los Angeles County Democratic Party definition of ‘‘Federal election activity,’’ State or local office, which do not Central Committee), in which the which specifically does not include otherwise constitute voter registration Commission concluded that letters and amounts disbursed or expended for ‘‘a activity, GOTV activity, generic pre-recorded telephone calls public communication that refers solely campaign activity or voter identification encouraging certain Democrats to vote to a clearly identified candidate for within the applicable time periods. in an upcoming local election did not State or local office, if the Furthermore, the Commission notes count as GOTV activity because the communication is not a Federal election that grassroots campaign materials, communications did not provide activity described in subparagraph (A)(i) including buttons, bumper stickers, individualized assistance to voters. See or (ii).’’ 2 U.S.C. 431(20)(B)(i); 11 CFR handbills, brochures, posters, and yard Shays III, 528 F.3d at 932. The court 100.24(c)(1). signs, which name or depict only State held that this overly restrictive Several commenters addressed the or local candidates, continue to be construction of the definition of ‘‘GOTV proposed ‘‘State and local exempt from the definition of Federal activity’’ was contrary to the statute. See communication’’ exception. Five election activity, provided that this id. The Commission is superseding commenters supported it. One stated grassroots materials exception shall not Advisory Opinion 2006–19 because the that the exception would ensure that include materials that are distributed by conclusion of that advisory opinion, State and local parties are not deterred mail. 2 U.S.C. 431(20)(B)(iv); 11 CFR along with its reasoning, cannot be from supporting State and local 100.24(c)(4). As such, a yard sign reconciled with the Commission’s new candidates and that the benefits of the exhorting readers to ‘‘Vote Smith for definition of ‘‘GOTV activity.’’ proposed exception ‘‘far outweigh the Mayor on September 15th!’’ or a incidental effect [that the covered] handbill that encourages a reader to 2. Associations of State and Local activities may have on Federal ‘‘Support your County Commissioner! Candidates and Officeholders elections.’’ The same commenter Register by next Tuesday!’’ could be One commenter pointed out that the thought that the exception should be paid for entirely with non-Federal NPRM ‘‘refer[red] repeatedly to ‘state, expanded to cover State ballot funds. district or local party committees’’’ and initiatives, as well. Another commenter Certification of No Effect Pursuant to referred ‘‘only incidentally to thought the exception properly 5 U.S.C. 605(b) (Regulatory Flexibility associations of state and local excluded from the definition of ‘‘GOTV Act) candidates and officeholders.’’ The activity’’ those activities that are not commenter noted that such associations ‘‘primarily aimed at facilitating the act of The Commission certifies that the are subject to the Federal election voting.’’ A third commenter attached final rule will not have a activity funding restrictions to the same characterized the exception as a significant economic impact on a extent as State, district, and local party ‘‘common-sense implementation’’ of the substantial number of small entities. committees. statute that was particularly necessary The basis for this certification is that the The Commission agrees with the in States in which local elections are organizations affected by this rule are commenter that the new definitions of frequently held. State, district, and local party ‘‘voter registration activity’’ and ‘‘GOTV In contrast, two other commenters committees, which are not ‘‘small activity’’ apply equally to party urged the Commission to reject the entities’’ under 5 U.S.C. 601. These not- committees and associations of State proposed exception on the basis that it for-profit committees do not meet the and local candidates, alike. Any would ‘‘render meaningless’’ the definition of ‘‘small organization,’’ disproportionate references to party definition of ‘‘GOTV activity’’ and would which requires that the enterprise be committees in the NPRM—and in this ‘‘swallow the rule.’’ In particular, these independently owned and operated and E&J—do not reflect a determination by commenters noted that the proposed not dominant in its field. 5 U.S.C. the Commission that the activities of exception left out a critical component 601(4). State political party committees associations of State and local of the statutory exception on which it are not independently owned and candidates are less important or less was based: that the communications not operated because they are not financed likely to fall under the umbrella of otherwise meet the definition of ‘‘GOTV and controlled by a small identifiable Federal election activity established by activity.’’ As pointed out by the group of individuals, and they are Congress. Previous attempts to exempt commenter: affiliated with the larger national the activities of associations of State and political party organizations. In [T]he fact that a communication refers local candidates from the definition of solely to a State or local candidate is not addition, the State political party ‘‘GOTV activity’’ were found to be sufficient to satisfy the exemption, if the committees representing the Democratic contrary to BCRA, see Shays I, 337 F. communication otherwise constitutes GOTV and Republican parties have a major Supp. 2d at 104, and the Commission is or voter registration activity. In other words, controlling influence within the not revisiting that decision. the key issue is not whether the political arena of their State and are

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thus dominant in their field. District discusses his campaign platform. The provided that any communications and local party committees are generally mailer concludes by reminding made as part of such activity refer considered affiliated with the State recipients, ‘‘Don’t forget to register to exclusively to: committees and need not be considered vote for X by October 1st.’’ (i) Non-Federal candidates separately. To the extent that any State (B) A phone call for a State party participating in the non-Federal party committees representing minor fundraiser gives listeners information election, if the non-Federal candidates political parties might be considered about the event, solicits donations, and are not also Federal candidates; ‘‘small organizations,’’ the number concludes by reminding listeners, (ii) Ballot referenda or initiatives affected by this rule is not substantial. ‘‘Don’t forget to register to vote.’’ scheduled for the date of the non- Federal election; or List of Subjects in 11 CFR Part 100 (3) Get-out-the-vote activity. (i) Get-out-the-vote activity means: (iii) The date, polling hours, and Elections. (A) Encouraging or urging potential locations of the non-Federal election. ■ For the reasons set out in the voters to vote, whether by mail (7) De minimis costs associated with preamble, subchapter A of chapter 1 of (including direct mail), e-mail, in the following: title 11 of the Code of Federal person, by telephone (including pre- (i) On the Web site of a party Regulations is amended as follows: recorded telephone calls, phone banks committee or an association of State or and messaging such as SMS and MMS), local candidates, posting a hyperlink to PART 100—SCOPE AND DEFINITIONS or by any other means; a state or local election board’s web (2 U.S.C. 431) (B) Informing potential voters, page containing information on voting ■ 1. The authority citation for 11 CFR whether by mail (including direct mail), or registering to vote; part 100 continues to read as follows: e-mail, in person, by telephone (ii) On the Web site of a party committee or an association of State or Authority: 2 U.S.C. 431, 434, and 438(a)(8). (including pre-recorded telephone calls, phone banks and messaging such as local candidates, enabling visitors to ■ 2. Section 100.24 is amended by SMS and MMS), or by any other means, download a voter registration form or removing paragraph (a)(1)(iii), by about: absentee ballot application; revising paragraphs (a)(2) and (a)(3), and (1) Times when polling places are (iii) On the Web site of a party by adding paragraphs (c)(5), (c)(6) and open; committee or an association of State or (c)(7) to read as follows: (2) The location of particular polling local candidates, posting information § 100.24 Federal election activity (2 U.S.C. places; or about voting dates and/or polling 431(20)). (3) Early voting or voting by absentee locations and hours of operation; or (iv) Placing voter registration forms or (a) * * * ballot; (2) Voter registration activity. (C) Offering or arranging to transport, absentee ballot applications obtained (i) Voter registration activity means: or actually transporting, potential voters from the board of elections at the office (A) Encouraging or urging potential to the polls; or of a party committee or an association voters to register to vote, whether by (D) Any other activity that assists of State or local candidates. mail (including direct mail), e-mail, in potential voters to vote. On behalf of the Commission. person, by telephone (including pre- (ii) Activity is not get-out-the-vote Dated: September 7, 2010. recorded telephone calls, phone banks activity solely because it includes a brief Matthew S. Petersen, and messaging such as SMS and MMS), exhortation to vote, so long as the Chairman, Federal Election Commission. or by any other means; exhortation is incidental to a (B) Preparing and distributing communication, activity, or event. [FR Doc. 2010–22648 Filed 9–9–10; 8:45 am] information about registration and Examples of brief exhortations BILLING CODE 6715–01–P voting; incidental to a communication, activity, (C) Distributing voter registration or event include: forms or instructions to potential voters; (A) A mailer praises the public service DEPARTMENT OF TRANSPORTATION (D) Answering questions about how to record of mayoral candidate X and/or Federal Aviation Administration complete or file a voter registration discusses his campaign platform. The form, or assisting potential voters in mailer concludes by reminding 14 CFR Part 71 completing or filing such forms; recipients, ‘‘Vote for X on November (E) Submitting or delivering a 4th.’’ [Docket No. 29334; Amendment No. 71–42] completed voter registration form on (B) A phone call for a State party behalf of a potential voter; fundraiser gives listeners information Airspace Designations; Incorporation (F) Offering or arranging to transport, about the event, solicits donations, and By Reference or actually transporting potential voters to a board of elections or county clerk’s concludes by reminding listeners, AGENCY: Federal Aviation ‘‘ ’’ office for them to fill out voter Don’t forget to vote on November 4th. Administration (FAA), DOT. registration forms; or * * * * * ACTION: Final rule. (G) Any other activity that assists (c) * * * potential voters to register to vote. (5) Voter identification activity that is SUMMARY: This action amends Title 14 (ii) Activity is not voter registration conducted solely in connection with a Code of Federal Regulations (14 CFR) activity solely because it includes a brief non-Federal election held on a date on part 71 relating to airspace designations exhortation to register to vote, so long as which no Federal election is held, and to reflect the approval by the Director of the exhortation is incidental to a which is not used in a subsequent the Federal Register of the incorporation communication, activity, or event. election in which a Federal candidate by reference of FAA Order 7400.9U, Examples of brief exhortations appears on the ballot. Airspace Designations and Reporting incidental to a communication, activity, (6) Get-out-the-vote activity that is Points. This action also explains the or event include: conducted solely in connection with a procedures the FAA will use to amend (A) A mailer praises the public service non-Federal election held on a date on the listings of Class A, B, C, D, and E record of mayoral candidate X and/or which no Federal election is held, airspace areas; air traffic service routes;

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and reporting points incorporated by text as proposed rule documents in the (a) and 1 CFR part 51. The approval to reference. Federal Register. Likewise, all incorporate by reference FAA Order DATES: These regulations are effective amendments of these listings will be 7400.9U is effective September 15, 2010, September 15, 2010. The incorporation published in full text as final rules in through September 15, 2011. During the by reference of FAA Order 7400.9U is the Federal Register. The FAA will incorporation by reference period, approved by the Director of the Federal periodically integrate all final rule proposed changes to the listings of Class Register as of September 15, 2010, amendments into a revised edition of A, B, C, D, and E airspace areas; air through September 15, 2011. the Order, and submit the revised traffic service routes; and reporting edition to the Director of the Federal points will be published in full text as FOR FURTHER INFORMATION CONTACT: Register for approval for incorporation proposed rule documents in the Federal Tameka Bentley, Airspace and Rules by reference in section 71.1. Register. Amendments to the listings of Group, Office of System Operations The FAA has determined that this Class A, B, C, D, and E airspace areas; Airspace and AIM, Federal Aviation action: (1) Is not a ‘‘significant regulatory air traffic service routes; and reporting Administration, 800 Independence action’’ under Executive Order 12866; points will be published in full text as Avenue, SW., Washington, DC 20591; (2) is not a ‘‘significant rule’’ under DOT final rules in the Federal Register. telephone: (202) 267–8783. Regulatory Policies and Procedures (44 Periodically, the final rule amendments SUPPLEMENTARY INFORMATION: FR 11034; February 26, 1979); and (3) will be integrated into a revised edition History does not warrant preparation of a of the Order and submitted to the regulatory evaluation as the anticipated Director of the Federal Register for FAA Order 7400.9T, Airspace impact is so minimal. This action approval for incorporation by reference Designations and Reporting Points, neither places any new restrictions or in this section. Copies of FAA Order effective September 15, 2009, listed requirements on the public, nor changes 7400.9U may be obtained from Airspace Class A, B, C, D and E airspace areas; the dimensions or operation and Rules Group, Federal Aviation air traffic service routes; and reporting requirements of the airspace listings Administration, 800 Independence points. Due to the length of these incorporated by reference in part 71. Avenue, SW., Washington, DC 20591, descriptions, the FAA requested Consequently, notice and public (202) 267–8783. An electronic version of approval from the Office of the Federal procedure under 5 U.S.C. 553(b) are the Order is available on the FAA Web Register to incorporate the material by unnecessary. Because this action will site at http://www.faa.gov/air_traffic/ reference in the Federal Aviation continue to update the changes to the publications. Copies of FAA Order Regulations section 71.1, effective airspace designations, which are 7400.9U may be inspected in Docket No. September 15, 2009, through September depicted on aeronautical charts, and to 29334 on http://www.regulations.gov. A 15, 2010. During the incorporation by avoid any unnecessary pilot confusion, copy of FAA Order 7400.9U may be reference period, the FAA processed all I find that good cause exists, under 5 inspected at the National Archives and proposed changes of the airspace U.S.C. 553(d), for making this Records Administration (NARA). For listings in FAA Order 7400.9T in full amendment effective in less than 30 information on the availability of this text as proposed rule documents in the days. material at NARA, call 202–741–6030, Federal Register. Likewise, all or go to: http://www.archives.gov/ amendments of these listings were List of Subjects in 14 CFR Part 71 federal-register/cfr/ibr-locations.html. published in full text as final rules in Airspace, Incorporation by reference, the Federal Register. This rule reflects Navigation (air). § 71.5 [Amended] the periodic integration of these final ■ rule amendments into a revised edition Adoption of the Amendment 3. Section 71.5 is amended by removing the words ‘‘FAA Order of Order 7400.9U, Airspace ■ In consideration of the foregoing, the Designations and Reporting Points. The 7400.9T’’ and adding, in their place, the Federal Aviation Administration words ‘‘FAA Order 7400.9U.’’ Director of the Federal Register has amends 14 CFR part 71 as follows: approved the incorporation by reference of FAA Order 7400.9U in section 71.1, PART 71—DESIGNATION OF CLASS A, § 71.15 [Amended] as of September 15, 2010, through B, C, D, AND E AIRSPACE AREAS; AIR ■ 4. Section 71.15 is amended by September 15, 2011. This rule also TRAFFIC SERVICE ROUTES; AND removing the words ‘‘FAA Order explains the procedures the FAA will REPORTING POINTS 7400.9T’’ wherever they appear and adding, in their place, the words ‘‘FAA use to amend the airspace designations ■ incorporated by reference in part 71. 1. The authority citation for part 71 Order 7400.9U.’’ Sections 71.5, 71.15, 71.31, 71.33, 71.41, continues to read as follows: 71.51, 71.61, 71.71, and 71.901 are also Authority: 49 U.S.C. 106(g), 40103, 40113, § 71.31 [Amended] updated to reflect the incorporation by 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– ■ 1963 Comp., p. 389. 5. Section 71.31 is amended by reference of FAA Order 7400.9U. removing the words ‘‘FAA Order ■ The Rule 2. Section 71.1 is revised to read as 7400.9T’’ and adding, in their place, the follows: words ‘‘FAA Order 7400.9U.’’ This action amends Title 14 Code of § 71.1 Applicability. Federal Regulations (14 CFR) part 71 to § 71.33 [Amended] reflect the approval by the Director of A listing for Class A, B, C, D, and E the Federal Register of the incorporation airspace areas; air traffic service routes; ■ 6. Paragraph (c) of § 71.33 is amended by reference of FAA Order 7400.9U, and reporting points can be found in by removing the words ‘‘FAA Order effective September 15, 2010, through FAA Order 7400.9U, Airspace 7400.9T’’ and adding, in their place, the September 15, 2011. During the Designations and Reporting Points, words ‘‘FAA Order 7400.9U.’’ incorporation by reference period, the dated August 18, 2010. This FAA will continue to process all incorporation by reference was § 71.41 [Amended] proposed changes of the airspace approved by the Director of the Federal ■ 7. Section 71.41 is amended by listings in FAA Order 7400.9U in full Register in accordance with 5 U.S.C. 552 removing the words ‘‘FAA Order

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7400.9T’’ wherever they appear and Consumer Protection, Federal Trade DEPARTMENT OF THE INTERIOR adding, in their place, the words ‘‘FAA Commission, 600 Pennsylvania Avenue, Order 7400.9U.’’ NW, Rm H-244, Washington, DC 20580. National Indian Gaming Commission

§ 71.51 [Amended] SUPPLEMENTARY INFORMATION: The Do- 25 CFR Parts 542 and 543 Not-Call Registry Fee Extension Act of ■ 8. Section 71.51 is amended by 2007 (Pub. L. 110-188, 122 Stat. 635) RIN 3141–AA–37 removing the words ‘‘FAA Order (‘‘Act’’), mandates a specific fee structure Minimum Internal Control Standards 7400.9T’’ wherever they appear and to use in determining the fees for ‘‘ for Class II Gaming adding, in their place, the words FAA accessing the Registry. According to the Order 7400.9U.’’ Act, for each year beginning after fiscal AGENCY: National Indian Gaming year 2009, the dollar amounts charged Commission. § 71.61 [Amended] shall be increased by an amount equal ACTION: Delay of effective date of final ■ 9. Section 71.61 is amended by to the amounts specified in the Act, rule; request for comments. removing the words ‘‘FAA Order whichever fee is applicable, multiplied 7400.9T’’ wherever they appear and SUMMARY: The National Indian Gaming by the percentage (if any) by which the Commission (‘‘NIGC’’) announces the adding, in their place, the words ‘‘FAA average of the monthly consumer price Order 7400.9U.’’ extension of the effective date on the index (for all urban consumers final rule for Minimum Internal Control published by the Department of Labor) § 71.71 [Amended] Standards for Class II Gaming. The final (‘‘CPI’’) for the most recently ended 12- rule was published in the Federal ■ 10. Paragraphs (b), (c), (d), (e), and (f) month period ending on June 30 Register on October 10, 2008 (73 FR of § 71.71 are amended by removing the exceeds the CPI for the 12-month period 60492). The Commission is changing the words ‘‘FAA Order 7400.9T’’ and ending June 30, 2008. The Act also effective date for the amendments to adding, in their place, the words ‘‘FAA states that any increase shall be rounded §§ 542.7 and 542.16 (and their Order 7400.9U.’’ to the nearest dollar and that there shall renumbering as §§ 543.7 and 543.16), as be no increase in the dollar amount if well as the date for operations to § 71.901 [Amended] the change in the CPI is less than 1 implement tribal internal controls found ■ 11. Paragraph (a) of § 71.901 is percent. We measure this change in CPI in § 543.3(c)(3) to October 13, 2011, in amended by removing the words ‘‘FAA from the time of the previous increase order to extend the transition time, Order 7400.9T’’ and adding, in their in fees. The adjustments to the allow the new Commission time to place, the words ‘‘FAA Order 7400.9U.’’ applicable fees, if any, are to be thoroughly review the rule, and to Issued in Washington, DC, on September 2, published in the FEDERAL REGISTER receive comment on whether the rule 2010. no later than September 1 of each year. should be amended in whole or in part. DATES: Edith V. Parish, Last year, for fiscal year 2010, we The effective date for the amendments to §§ 542.7 and 542.16 for Manager, Airspace and Rules Group. calculated an increase in the CPI of 1.4 the final rule published October 10, [FR Doc. 2010–22564 Filed 9–9–10; 8:45 am] percent, and adjusted the fees 2008, 73 FR 60492, and delayed on BILLING CODE 4910–13–P accordingly (74 Fed. Reg. 42771 (August October 9, 2009, 74 FR 52138, is further 25, 2009)). The average value of the CPI delayed from October 13, 2010, until for July 1, 2008 to June 30, 2009 was October 13, 2011. The effective date for FEDERAL TRADE COMMISSION 214.625; the average value for July 1, the amendment to § 543.3(c)(3) in this 2009 to June 30, 2010 was 216.735, an 16 CFR Part 310 rule is October 13, 2011. Submit increase of 0.97 percent. As this falls comments on or before November 9, RIN 3084-AA98 below the statute’s 1 percent required 2010. change in the CPI, there shall be no Telemarketing Sales Rule Fees ADDRESSES: Mail comments to increase in the fees for access. ‘‘Comments on Class II MICS’’, National AGENCY: Federal Trade Commission. Therefore, the fees will remain at the Indian Gaming Commission, 1441 L St., current level of $55 per area code, with ACTION: Policy statement. NW., Suite 9100, Washington, DC a maximum fee of $15,058. The fee for 20005, attn: Jennifer Ward. Comments SUMMARY: The Federal Trade access to each area code during the may be transmitted by facsimile to 202– Commission (the ‘‘Commission’’ or second six months of an entity’s annual 632–7066, but the original should also ‘‘FTC’’) is giving notice that there will be subscription period remains at $27. be submitted by mail. Comments may no increase in the fees charged to Users will still be able to access the first also be sent electronically to entities accessing the National Do Not five area codes free of charge, and [email protected] or Call Registry (the ‘‘Registry’’) for fiscal organizations that are not required to posted at http://www.regulations.gov year 2011. comply with the Registry will still be under this notice. ADDRESSES: Requests for copies of this able to access it if they choose to while FOR FURTHER INFORMATION CONTACT: document should be sent to: Public remaining exempt from fees. Jennifer Ward, Attorney, Office of Reference Branch, Federal Trade By direction of the Commission. General Counsel, at (202) 632–7003; fax Commission, Room 130, 600 (202) 632–7066 (not toll-free numbers). Pennsylvania Avenue, N.W., Richard C. Donohue SUPPLEMENTARY INFORMATION: Congress Washington, DC 20580. Copies of this Acting Secretary. established the National Indian Gaming document are also available on the [FR Doc. 2010–22197 Filed 9–9–10: 8:45 am] Commission under the Indian Gaming Internet at the Commission’s website: BILLING CODE 6750–01–S Regulatory Act of 1988 (25 U.S.C. 2701– (http://www.ftc.gov). 21) (‘‘IGRA’’) to regulate gaming on FOR FURTHER INFORMATION CONTACT: Ami Indian lands. The NIGC issued a final Joy Rop, (202) 326-2648, Bureau of rule that superseded specified sections

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of established Minimum Internal § 543.3 How do tribal governments comply are also available for inspection or Control Standards and replaced them with this part? copying at the Docket Management with a new part titled Minimum * * * * * Facility (M–30), U.S. Department of Internal Control Standards Class II (c) * * * Transportation, West Building Ground Gaming, that was published in the (3) Establish a deadline, no later than Floor, Room W12–140, 1200 New Jersey Federal Register on October 10, 2008 October 13, 2011, by which a gaming Avenue, SE, Washington, DC 20590, (73 FR 60492). The final rule provided operation must come into compliance between 9 a.m. and 5 p.m., Monday an effective date for amendments to with the tribal internal control through Friday, except Federal holidays. §§ 542.7 and 542.16 of October 13, 2009. standards. However, the tribal gaming FOR FURTHER INFORMATION CONTACT: If An extension delayed the effective date regulatory authority may extend the you have questions on this temporary of the amendments until October 13, deadline by six months if written notice rule, call or e-mail Petty Officer Corey 2010. 74 FR 52138, October 9, 2009. The citing justification is provided to the McDonald, Waterways Management, NIGC is again extending the effective Commission no later than two weeks U.S. Coast Guard Sector San Diego, date of these amendments to October 13, before the deadline. Coast Guard; telephone 619–278–7262, 2011. The rule at § 543.3(c)(3) also set a * * * * * e-mail [email protected]. If deadline of within six months of the Dated: September 7, 2010. you have questions on viewing the date the tribal gaming regulatory Tracie L. Stevens, docket, call Renee V. Wright, Program authorities’ enactment of tribal internal Manager, Docket Operations, telephone Chairwoman. controls for tribal operators to come into 202–366–9826. Steffani A. Cochran, compliance with tribal internal controls. SUPPLEMENTARY INFORMATION: This deadline has likewise been Vice-Chairperson. extended to October 13, 2011. Daniel Little, Regulatory Information As explained in the preamble to the Associate Commissioner. The Coast Guard is issuing this final rule (73 FR 60492 (October 10, [FR Doc. 2010–22661 Filed 9–9–10; 8:45 am] temporary final rule without prior 2008)), the Commission intended these BILLING CODE 7565–01–P notice and opportunity to comment amendments to be the first part of a pursuant to authority under section 4(a) multi-phase process of establishing of the Administrative Procedure Act separate MICS for class II gaming and DEPARTMENT OF HOMELAND (APA) (5 U.S.C. 553(b)). This provision that the extended effective date would SECURITY authorizes an agency to issue a rule provide the necessary time to complete without prior notice and opportunity to this process. On October 9, 2009, the Coast Guard comment when the agency for good Commission extended the effective date cause finds that those procedures are of the amendments until October 13, 33 CFR Part 165 ‘‘impracticable, unnecessary, or contrary 2010, anticipating that all phases of the ’’ [Docket No. USCG–2010–0782] to the public interest. Under 5 U.S.C. process would then be complete and 553(b)(B), the Coast Guard finds that that a final comprehensive set of class RIN 1625–AA00 good cause exists for not publishing a II MICS would take effect at that time. notice of proposed rulemaking (NPRM) 74 FR 52138 (October 9, 2009). The Safety Zone; NASSCO Launching of with respect to this rule because it was NIGC is extending the effective date of USNS Washington Chambers, San impracticable since the logistical details these amendments to October 13, 2011, Diego Bay, San Diego, CA of the launching were not finalized nor to allow time for the transition as AGENCY: Coast Guard, DHS. presented to the Coast Guard in time to contemplated by the final rule. draft and publish an NPRM. As such, ACTION: Temporary final rule. List of Subjects in 25 CFR Part 543 the event would occur before the rulemaking process was complete. Any Administrative practice and SUMMARY: The Coast Guard is delay in the regulation’s effective date procedure, Gambling, Indians—lands, establishing a temporary safety zone on would be contrary to the public interest, Reporting and recordkeeping the navigable waters of the San Diego as immediate action is necessary to requirements. Bay in support of the NASSCO Ship provide for the safety of vessels and ■ For the reasons set forth above, under Launching for the USNS Washington Chambers. The safety zone is necessary users of the waterway. the authority at 25 U.S.C. 2701, 2702, Under 5 U.S.C. 553(d)(3), the Coast 2706, et seq., the effective date for the to provide for the safety of vessels and users of the waterway. Persons and Guard finds that good cause exists for amendments to §§ 542.7 and 542.16 for making this rule effective less than 30 the final rule published October 10, vessels are prohibited from entering into, transiting through, or anchoring days after publication in the Federal 2008, 73 FR 60492, is delayed from Register. The issuance of final approval October 13, 2010, until October 13, 2011 within this safety zone unless authorized by the Captain of the Port was so recent that the rule will be made and 25 CFR Part 543 is amended as set effective less than 30 days after forth below: (COTP) San Diego or his designated representative. publication. Any delay in the effective date of this rule will expose vessels and PART 543—MINIMUM INTERNAL DATES: This rule is effective from 9:15 CONTROL STANDARDS FOR CLASS II persons of the waterway to dangers a.m. through 11:15 a.m. on September posed by ship launchings. GAMING 11, 2010. Basis and Purpose ■ 1. The authority citation for Part 543 ADDRESSES: Documents indicated in this continues to read as follows: preamble as being available in the The Coast Guard is establishing a docket are part of docket USCG–2010– temporary safety zone on the navigable Authority: 25 U.S.C. 2701 et seq. 0782 and are available online by going waters of the San Diego Bay to ■ 2. Section 543.3 is amended by to http://www.regulations.gov, inserting contribute to the safety of the USNS revising paragraph (c)(3) to read as USCG–2010–0782 in the ‘‘Keyword’’ Washington Chambers and surrounding follows: box, and then clicking ‘‘Search.’’ They vessels as this ship launches from

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NASSCO shipyards. There will be three whether this rule would have a Federalism tugboats to take control of the vessel significant economic impact on a A rule has implications for federalism after the launch. This temporary safety substantial number of small entities. under Executive Order 13132, zone is necessary to provide for the The term ‘‘small entities’’ comprises Federalism, if it has a substantial direct safety of the vessels and users of the small businesses, not-for-profit effect on State or local governments and waterway. organizations that are independently would either preempt State law or Discussion of Rule owned and operated and are not impose a substantial direct cost of dominant in their fields, and compliance on them. We have analyzed The USNS Washington Chambers will governmental jurisdictions with this rule under that Order and have be launched from NASSCO shipyard populations of less than 50,000. determined that it does not have into the San Diego Bay. The safety zone implications for federalism. is required because the vessel’s planned The Coast Guard certifies under 5 launch location is in the maritime U.S.C. 605(b) that this rule will not have Unfunded Mandates Reform Act navigation channel. The safety zone will a significant economic impact on a substantial number of small entities. The Unfunded Mandates Reform Act be enforced on September 11, 2010. The of 1995 (2 U.S.C. 1531–1538) requires limits of the temporary safety zone This rule will affect the following Federal agencies to assess the effects of include all navigable waters entities, some of which may be small their discretionary regulatory actions. In encompassed by the following entities: The owners or operators of particular, the Act addresses actions coordinates: vessels intending to transit or anchor in that may result in the expenditure by a 32°41.39′ N, 117°08.66′ W; a portion of the San Diego Bay from 9:15 State, local, or tribal government, in the ° ′ ° ′ 32 41.24 N, 117 09.05 W; a.m. to 11:15 a.m. on September 11, aggregate, or by the private sector of 32°41.05′ N, 117°08.73′ W; 2010. ° ′ ° ′ $100,000,000 (adjusted for inflation) or 32 41.20 N, 117 08.34 W; This safety zone will not have a more in any one year. Though this rule thence north along the shoreline to significant economic impact on a will not result in such an expenditure, 32°41.39′ N, 117°08.66′ W. substantial number of small entities for we do discuss the effects of this rule The safety zone is necessary to the following reasons. This rule will be elsewhere in this preamble. provide for the safety of the vessels and enforced only 2 hours early in the day Taking of Private Property users of the waterway. Persons and when vessel traffic is low. Vessel traffic vessels are prohibited from entering can pass safely around the zone. Before This rule will not cause a taking of into, transiting through, or anchoring the effective period, the Coast Guard private property or otherwise have within this safety zone unless will publish a local notice to mariners taking implications under Executive authorized by the COTP San Diego or (LNM) and will issue broadcast notice to Order 12630, Governmental Actions and his designated representative. Vessels or mariners (BNM) alerts via VHF Channel Interference with Constitutionally persons violating this section will be 16 before the safety zone is enforced. Protected Property Rights. subject to both criminal and civil penalties. Assistance for Small Entities Civil Justice Reform This rule meets applicable standards Regulatory Analyses Under section 213(a) of the Small in sections 3(a) and 3(b)(2) of Executive We developed this rule after Business Regulatory Enforcement Order 12988, Civil Justice Reform, to considering numerous statutes and Fairness Act of 1996 (Pub. L. 104–121), minimize litigation, eliminate executive orders related to rulemaking. we offer to assist small entities in ambiguity, and reduce burden. Below we summarize our analyses understanding the rule so that they can based on 13 of these statutes or better evaluate its effects on them and Protection of Children executive orders. participate in the rulemaking process. We have analyzed this rule under Executive Order 13045, Protection of Regulatory Planning and Review Small businesses may send comments on the actions of Federal employees Children from Environmental Health This rule is not a significant who enforce, or otherwise determine Risks and Safety Risks. This rule is not regulatory action under section 3(f) of compliance with, Federal regulations to an economically significant rule and Executive Order 12866, Regulatory the Small Business and Agriculture does not create an environmental risk to Planning and Review, and does not Regulatory Enforcement Ombudsman health or risk to safety that may require an assessment of potential costs and the Regional Small Business disproportionately affect children. and benefits under section 6(a)(3) of that Regulatory Fairness Boards. The Order. The Office of Management and Indian Tribal Governments Ombudsman evaluates these actions Budget has not reviewed it under that This rule does not have tribal annually and rates each agency’s Order. implications under Executive Order responsiveness to small business. If you We expect the economic impact of 13175, Consultation and Coordination wish to comment on actions by this proposed rule to be so minimal that with Indian Tribal Governments, employees of the Coast Guard, call a full Regulatory Evaluation is because it does not have a substantial 1–888–REG–FAIR (1–888–734–3247). unnecessary. This determination is direct effect on one or more Indian The Coast Guard will not retaliate based on the size, duration, and location tribes, on the relationship between the against small entities that question or of the safety zone. This rule will be Federal Government and Indian tribes, complain about this rule or any policy enforced only 2 hours early in the day or on the distribution of power and or action of the Coast Guard. when vessel traffic is low. Furthermore, responsibilities between the Federal vessel traffic can pass safely around the Collection of Information Government and Indian tribes. zone. This rule calls for no new collection Energy Effects Small Entities of information under the Paperwork We have analyzed this rule under Under the Regulatory Flexibility Act Reduction Act of 1995 (44 U.S.C. 3501– Executive Order 13211, Actions (5 U.S.C. 601–612), we have considered 3520). Concerning Regulations That

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Significantly Affect Energy Supply, ■ For the reasons discussed in the Dated: August 25, 2010. Distribution, or Use. We have preamble, the Coast Guard amends 33 T.H. Farris, determined that it is not a ‘‘significant CFR part 165 as follows: Captain, U.S. Coast Guard, Captain of the energy action’’ under that order because Port San Diego. it is not a ‘‘significant regulatory action’’ PART 165—REGULATED NAVIGATION [FR Doc. 2010–22578 Filed 9–9–10; 8:45 am] AREAS AND LIMITED ACCESS AREAS under Executive Order 12866 and is not BILLING CODE 9110–04–P likely to have a significant adverse effect ■ 1. The authority citation for part 165 on the supply, distribution, or use of continues to read as follows: energy. The Administrator of the Office DEPARTMENT OF HOMELAND Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. SECURITY of Information and Regulatory Affairs Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; has not designated it as a significant 33 CFR 1.05–1, 6.04–1, 6.04–6, 160.5; Pub. L. Coast Guard energy action. Therefore, it does not 107–295, 116 Stat. 2064; Department of require a Statement of Energy Effects Homeland Security Delegation No. 0170.01. 33 CFR Part 165 under Executive Order 13211. ■ 2. Add § 165.T11–347 to read as Technical Standards follows: [Docket No. USCG–2010–0576] The National Technology Transfer § 165.T11–347 Safety Zone; NASSCO RIN 1625–AA00 and Advancement Act (NTTAA) (15 Launching of USNS Washington Chambers, San Diego Bay, San Diego, CA. Safety Zone; Mississippi River, Mile U.S.C. 272 note) directs agencies to use 212.0 to 214.5 voluntary consensus standards in their (a) Location. The safety zone will regulatory activities unless the agency encompass the navigable waters AGENCY: Coast Guard, DHS. provides Congress, through the Office of encompassed by the following ACTION: Temporary final rule. Management and Budget, with an coordinates: explanation of why using these 32°41.39′ N, 117°08.66′ W; SUMMARY: The Coast Guard is standards would be inconsistent with 32°41.24′ N, 117°09.05′ W; establishing a temporary safety zone for applicable law or otherwise impractical. 32°41.05′ N, 117°08.73′ W; waters of the Upper Mississippi River, ° ′ ° ′ Voluntary consensus standards are 32 41.20 N, 117 08.34 W; Mile 212.0 to 214.5, extending West of thence north along the shoreline to Portage Island to the right descending technical standards (e.g., specifications ° ′ ° ′ of materials, performance, design, or 32 41.39 N, 117 08.66 W. bank of the river. This safety zone is operation; test methods; sampling (b) Enforcement Period. This section needed to protect persons and vessels procedures; and related management will be enforced from 9:15 a.m. until from safety hazards associated with a systems practices) that are developed or 11:15 a.m. on September 11, 2010. If the high speed boat race and land based adopted by voluntary consensus event concludes prior to the schedule fireworks display occurring on the standards bodies. termination time, the COTP will cease Upper Mississippi River. Entry into this This rule does not use technical enforcement of this safety zone and will zone is prohibited unless specifically standards. Therefore, we did not announce that fact via Broadcast Notice authorized by the Captain of the Port consider the use of voluntary consensus to Mariners. Upper Mississippi River or a designated (c) Definitions. The following standards. representative. definition applies to this section: DATES: This rule is effective from 10 Environment Designated representative, means any a.m. until 9 p.m. CDT on September 11, commissioned, warrant, and petty We have analyzed this rule under 2010. officers of the Coast Guard on board Department of Homeland Security ADDRESSES: Documents indicated in this Coast Guard, Coast Guard Auxiliary, Management Directive 023–01 and preamble as being available in the and local, state, and Federal law Commandant Instruction M16475.lD, docket are part of docket USCG–2010– enforcement vessels who have been which guide the Coast Guard in 0576 and are available online by going authorized to act on the behalf of the complying with the National to http://www.regulations.gov, inserting Captain of the Port. USCG–2010–0576 in the ‘‘Keyword’’ Environmental Policy Act of 1969 (d) Regulations. (1) No person or (NEPA) (42 U.S.C. 4321–4370f), and box, and then clicking ‘‘Search.’’ They vessel may enter or remain in a safety are also available for inspection or have concluded this action is one of a zone without the permission of the category of actions that do not copying at the Docket Management COTP or his designated representative. Facility (M–30), U.S. Department of individually or cumulatively have a (2) Mariners requesting permission to Transportation, West Building Ground significant effect on the human transit through the safety zone may Floor, Room W12–140, 1200 New Jersey environment. This rule is categorically request authorization to do so from the Avenue, SE., Washington, DC 20590, excluded, under figure 2–1, paragraph Patrol Commander (PATCOM). The between 9 a.m. and 5 p.m., Monday (34)(g.), of the Instruction. This rule PATCOM may be contacted on VHF–FM through Friday, except Federal holidays. involves the establishment of a safety Channel 16. zone. (3) All persons and vessels shall FOR FURTHER INFORMATION CONTACT: If An environmental analysis checklist comply with the instructions of the you have questions on this temporary and a categorical exclusion Coast Guard Captain of the Port or his rule, call or e-mail Lieutenant (LT) Rob determination are available in the designated representative. McCaskey, Sector Upper Mississippi docket where indicated under (4) Upon being hailed by U.S. Coast River Response Department at telephone ADDRESSES. Guard or other official personnel by 314–269–2541, e-mail [email protected]. If you have List of Subjects in 33 CFR Part 165 siren, radio, flashing light, or other means, the operator of a vessel shall questions on viewing the docket, call Harbors, Marine safety, Navigation proceed as directed. Renee V. Wright, Program Manager, (water), Reporting and recordkeeping (5) The Coast Guard may be assisted Docket Operations, telephone 202–366– requirements, Security measures, by other Federal, State, or local 9826. Waterways. agencies. SUPPLEMENTARY INFORMATION:

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Regulatory Information broadcast notice to mariners of all safety and the Regional Small Business zone changes and enforcement periods. Regulatory Fairness Boards. The The Coast Guard is issuing this Ombudsman evaluates these actions Regulatory Analyses temporary final rule without prior annually and rates each agency’s notice and opportunity to comment We developed this rule after responsiveness to small business. If you pursuant to authority under section 4(a) considering numerous statutes and wish to comment on actions by of the Administrative Procedure Act executive orders related to rulemaking. employees of the Coast Guard, call (APA) (5 U.S.C. 553(b)). This provision Below we summarize our analyses 1–888–REG–FAIR (1–888–734–3247). authorizes an agency to issue a rule based on 13 of these statutes or The Coast Guard will not retaliate without prior notice and opportunity to executive orders. against small entities that question or comment when the agency for good Regulatory Planning and Review complain about this rule or any policy cause finds that those procedures are or action of the Coast Guard. ‘‘impracticable, unnecessary, or contrary This rule is not a significant to the public interest.’’ The Coast Guard regulatory action under section 3(f) of Collection of Information finds that it would be impracticable to Executive Order 12866, Regulatory This rule calls for no new collection publish a notice of proposed rulemaking Planning and Review, and does not of information under the Paperwork (NPRM) with respect to this rule require an assessment of potential costs Reduction Act of 1995 (44 U.S.C. 3501– because the event would occur before and benefits under section 6(a)(3) of that 3520). the rulemaking process could be Order. The Office of Management and completed. Budget has not reviewed it under that Federalism Under 5 U.S.C. 553(d)(3), the Coast Order. A rule has implications for federalism Although this rule restricts access to Guard finds that good cause exists for under Executive Order 13132, the waters encompassed by the safety making this rule effective less than 30 Federalism, if it has a substantial direct zone, the effect of this rule will not be days after publication in the Federal effect on State or local governments and significant because of the very brief Register. Publishing a NPRM and would either preempt State law or duration of the effective period of the delaying its effective date would be impose a substantial direct cost of zone. Furthermore, the local waterway impracticable because immediate action compliance on them. We have analyzed users will be notified via public is needed to protect vessels and this rule under that Order and have Broadcast Notice to Mariners to ensure mariners from the safety hazards determined that it does not have the safety zone will result in minimum associated with a high speed boat race implications for federalism. and land based fireworks display. impact. Unfunded Mandates Reform Act Basis and Purpose Small Entities Under the Regulatory Flexibility Act The Unfunded Mandates Reform Act On September 11, 2010 the St. Charles (5 U.S.C. 601–612), we have considered of 1995 (2 U.S.C. 1531–1538) requires County Municipal League is conducting whether this rule would have a Federal agencies to assess the effects of a high speed boat race and land based significant economic impact on a their discretionary regulatory actions. In fireworks display between mile 212.0 to substantial number of small entities. particular, the Act addresses actions 214.5 on the Upper Mississippi River. The term ‘‘small entities’’ comprises that may result in the expenditure by a This event presents safety hazards to the small businesses, not-for-profit State, local, or tribal government, in the navigation of vessels between mile organizations that are independently aggregate, or by the private sector of 212.0 and mile 214.5, extending West of owned and operated and are not $100,000,000 (adjusted for inflation) or Portage Island to the right descending dominant in their fields, and more in any one year. Though this rule bank of the river. A safety zone around governmental jurisdictions with will not result in such an expenditure, the course is necessary to protect populations of less than 50,000. we do discuss the effects of this rule spectators, vessels, and other property The Coast Guard certifies under 5 elsewhere in this preamble. from the hazards associated with the U.S.C. 605(b) that this rule will not have Taking of Private Property high speed boat race and land based a significant economic impact on a fireworks display. The Captain of the substantial number of small entities for This rule will not cause a taking of Port Upper Mississippi River will the following reasons: (1) This rule will private property or otherwise have inform the public of all safety zone only be in effect for a limited period of taking implications under Executive changes through broadcast notice to time; and (2) the local waterway users Order 12630, Governmental Actions and mariners. will be notified via public Broadcast Interference with Constitutionally Discussion of Rule Notice to Mariners. Protected Property Rights. Civil Justice Reform The Coast Guard is establishing a Assistance for Small Entities safety zone for waters of the Upper Under section 213(a) of the Small This rule meets applicable standards Mississippi River, Mile 212.0 to 214.5, Business Regulatory Enforcement in sections 3(a) and 3(b)(2) of Executive extending West of Portage Island to the Fairness Act of 1996 (Pub. L. 104–121), Order 12988, Civil Justice Reform, to right descending bank of the river. Entry we offer to assist small entities in minimize litigation, eliminate into this zone will be prohibited to all understanding the rule so that they can ambiguity, and reduce burden. vessels and persons except participants better evaluate its effects on them and Protection of Children and those persons and vessels participate in the rulemaking process. specifically authorized by the Captain of Small businesses may send comments We have analyzed this rule under the Port Upper Mississippi River. This on the actions of Federal employees Executive Order 13045, Protection of rule will be effective from 10 a.m. until who enforce, or otherwise determine Children from Environmental Health 9 p.m. CDT on September 11, 2010. The compliance with, Federal regulations to Risks and Safety Risks. This rule is not Captain of the Port Upper Mississippi the Small Business and Agriculture an economically significant rule and River will inform the public through Regulatory Enforcement Ombudsman does not create an environmental risk to

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health or risk to safety that may category of actions that do not Captain of the Port Upper Mississippi disproportionately affect children. individually or cumulatively have a River or their designated representative. significant effect on the human Designated Captain of the Port Indian Tribal Governments environment. This rule is categorically representatives includes United States This rule does not have tribal excluded, under figure 2–1, paragraph Coast Guard commissioned, warrant, implications under Executive Order (34)(g), of the Instruction. This rule and petty officers of the U.S. Coast 13175, Consultation and Coordination involves establishing, disestablishing, or Guard. with Indian Tribal Governments, changing Regulated Navigation Areas Dated: August 19, 2010. because it does not have a substantial and security or safety zones. direct effect on one or more Indian An environmental analysis checklist S.L. Hudson, tribes, on the relationship between the and a categorical exclusion Captain, U.S. Coast Guard, Captain of the Federal Government and Indian tribes, determination for this rule are available Port Upper Mississippi River. or on the distribution of power and in the docket where indicated under [FR Doc. 2010–22580 Filed 9–9–10; 8:45 am] responsibilities between the Federal ADDRESSES. BILLING CODE 9110–04–P Government and Indian tribes. List of Subjects in 33 CFR Part 165 Energy Effects Harbors, Marine safety, Navigation ENVIRONMENTAL PROTECTION We have analyzed this rule under (water), Reporting and recordkeeping AGENCY Executive Order 13211, Actions requirements, Security measures, Concerning Regulations That Waterways. 40 CFR Parts 52, 60, and 61 ■ Significantly Affect Energy Supply, For the reasons discussed in the [FRL–9198–2] Distribution, or Use. We have preamble, the Coast Guard amends 33 determined that it is not a ‘‘significant CFR part 165 as follows: Change of Address for Region 5 State energy action’’ under that order because and Local Agencies; Technical it is not a ‘‘significant regulatory action’’ PART 165—REGULATED NAVIGATION Correction under Executive Order 12866 and is not AREAS AND LIMITED ACCESS AREAS AGENCY: Environmental Protection likely to have a significant adverse effect ■ 1. The authority citation for part 165 Agency (EPA). on the supply, distribution, or use of continues to read as follows: energy. The Administrator of the Office ACTION: Final rule; technical of Information and Regulatory Affairs Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. amendment. Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; has not designated it as a significant 33 CFR 1.05–1(g), 6.04–1, 6.04–6, and 160.5; SUMMARY: EPA is correcting the energy action. Therefore, it does not Pub. L. 107–295, 116 Stat. 2064; Department require a Statement of Energy Effects of Homeland Security Delegation No. 0170.1. addresses for EPA Region 5 state and local agencies in EPA regulations. The under Executive Order 13211. ■ 2. Add § 165.T08–0576 to read as jurisdiction of EPA Region 5 includes Technical Standards follows: the states of Illinois, Indiana, Michigan, The National Technology Transfer § 165.T08–0576 Safety Zone; Upper Minnesota, Ohio and Wisconsin. Certain and Advancement Act (NTTAA) (15 Mississippi River, Mile 212.0 to 214.5. EPA air pollution control regulations U.S.C. 272 note) directs agencies to use (a) Location. The following area is a requiring submittal of notifications, voluntary consensus standards in their safety zone: waters of the Upper reports and other documents to the EPA regulatory activities unless the agency Mississippi River, Mile 212.0 to 214.5 Regional office, must also be submitted provides Congress, through the Office of extending West of Portage Island to the to the appropriate authorized state or Management and Budget, with an right descending bank of the river. local agency. This technical amendment explanation of why using these (b) Effective date. This rule is effective updates and corrects the addresses for standards would be inconsistent with from 10 a.m. until 9 p.m. CDT on submitting such information to the EPA applicable law or otherwise impractical. September 11, 2010. Region 5 state and local agency offices. Voluntary consensus standards are (c) Periods of Enforcement. This rule DATES: Effective Date: This action is technical standards (e.g., specifications will be enforced from 10 a.m. CDT until effective September 10, 2010. of materials, performance, design, or 9 p.m. CDT on September 11, 2010. The FOR FURTHER INFORMATION CONTACT: operation; test methods; sampling Captain of the Port Upper Mississippi Jeremiah Hall, Attainment Planning & procedures; and related management River will inform the public through Maintenance Section, Air Program systems practices) that are developed or broadcast notice to mariners of all safety Branch, Air and Radiation Division, adopted by voluntary consensus zone changes and enforcement periods. Region 5, U.S. Environmental Protection standards bodies. (d) Regulations. (1) In accordance Agency, 77 West Jackson Blvd., Chicago, This rule does not use technical with the general regulations in § 165.23 Illinois 60604. The telephone number is standards. Therefore, we did not of this part, entry into this zone is (312) 353–3503. Jeremiah Hall can also consider the use of voluntary consensus prohibited unless authorized by the be reached via electronic mail at standards. Captain of the Port Upper Mississippi [email protected]. River or a designated representative. Environment (2) Persons or vessels requiring entry SUPPLEMENTARY INFORMATION: EPA is We have analyzed this rule under into or passage through the zone must correcting the addresses for EPA Region Department of Homeland Security request permission from the Captain of 5 state and local agencies in EPA Management Directive 023–01 and the Port Upper Mississippi River or a regulations found at 40 CFR parts 52, 60 Commandant Instruction M16475.lD, designated representative. The Captain and 61. Certain EPA air pollution which guide the Coast Guard in of the Port Upper Mississippi River control regulations requiring submittal complying with the National representative may be contacted at 314– of notifications, reports and other Environmental Policy Act of 1969 269–2332. documents to the EPA regional office, (NEPA)(42 U.S.C. 4321–4370f), and (3) All persons and vessels shall must also be submitted to the have concluded this action is one of a comply with the instructions of the appropriate authorized state and local

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agency. This technical amendment safety risks subject to Executive Order reference, Intergovernmental relations, updates and corrects the address for 13045 (62 FR 19885, April 23, 1997); Reporting and recordkeeping submitting such information to the EPA • Is not a significant regulatory action requirements. Region 5 state and local agency offices. subject to Executive Order 13211 (66 FR Dated: August 26, 2010. EPA has determined that today’s rule 28355, May 22, 2001); Bharat Mathur, falls under the ‘‘good cause’’ exemption • Is not subject to requirements of in section 553(b)(3)(B) of the Section 12(d) of the National Acting Regional Administrator, Region 5. Administrative Procedures Act (APA) Technology Transfer and Advancement ■ 40 CFR parts 52, 60 and 61 are which, upon finding ‘‘good cause,’’ Act of 1995 (15 U.S.C. 272 note) because amended as follows: authorizes agencies to dispense with application of those requirements would public participation and section be inconsistent with the CAA; and PART 52—[AMENDED] 553(d)(3) which allows an agency to • Does not provide EPA with the make a rule effective immediately discretionary authority to address, as ■ 1. The authority citation for part 52 (thereby avoiding the 30-day delayed appropriate, disproportionate human continues to read as follows: effective date otherwise provided for in health or environmental effects, using Authority: 42 U.S.C. 7401 et seq. the APA). Today’s rule simply codifies practicable and legally permissible provisions which are already in effect as methods, under Executive Order 12898 Subpart B—Illinois a matter of law in Federal and approved (59 FR 7629, February 16, 1994). State programs. Under section 553 of the In addition, this rule does not have ■ 2. Section 52.738 is amended by APA, an agency may find good cause tribal implications as specified by revising paragraph (c) to read as follows: ‘‘ where procedures are impractical, Executive Order 13175 (65 FR 67249, § 52.738 Significant deterioration of air unnecessary, or contrary to the public November 9, 2000), because the SIP is ’’ quality. interest. Public comment is not approved to apply in Indian country ‘‘ ’’ ‘‘ unnecessary and contrary to the located in the state, and EPA notes that * * * * * ’’ public interest since the codification it will not impose substantial direct (c) All applications and other only reflects existing law. Immediate costs on tribal governments or preempt information required pursuant to § 52.21 notice in the CFR benefits the public by tribal law. from sources located in the State of updating citations. The Congressional Review Act, 5 Illinois shall be submitted to the state Statutory and Executive Order Reviews U.S.C. 801 et seq., as added by the Small agency, Illinois Environmental Under the Clean Air Act (CAA), the Business Regulatory Enforcement Protection Agency, 1021 North Grand Administrator is required to approve a Fairness Act of 1996, generally provides Avenue East, Springfield, Illinois 62794. that before a rule may take effect, the SIP submission that complies with the Subpart P—Indiana provisions of the CAA and applicable agency promulgating the rule must Federal regulations. 42 U.S.C. 7410(k); submit a rule report, which includes a ■ 3. Section 52.793 is amended by 40 CFR 52.02(a). Thus, in reviewing SIP copy of the rule, to each House of the revising paragraph (c) to read as follows: submissions, EPA’s role is to approve Congress and to the Comptroller General of the United States. EPA will submit a state choices, provided that they meet § 52.793 Significant deterioration of air the criteria of the CAA. Accordingly, report containing this action and other quality. required information to the U.S. Senate, this action merely approves state law as * * * * * meeting Federal requirements and does the U.S. House of Representatives, and not impose additional requirements the Comptroller General of the United (c) All applications and other beyond those imposed by state law. For States prior to publication of the rule in information required pursuant to § 52.21 that reason, this action: the Federal Register. A major rule of this part from sources located in the • Is not a ‘‘significant regulatory cannot take effect until 60 days after it State of Indiana shall be submitted to action’’ subject to review by the Office is published in the Federal Register. the state agency, Indiana Department of of Management and Budget under This action is not a ‘‘major rule’’ as Environmental Management, Office of Executive Order 12866 (58 FR 51735, defined by 5 U.S.C. 804(2). Air Quality, 100 North Senate Avenue, October 4, 1993); Under section 307(b)(1) of the CAA, Indianapolis, Indiana 46204, rather than • Does not impose an information petitions for judicial review of this to EPA’s Region 5 office. collection burden under the provisions action must be filed in the United States Subpart X—Michigan of the Paperwork Reduction Act (44 Court of Appeals for the appropriate U.S.C. 3501 et seq.); circuit by November 9, 2010. Filing a • Is certified as not having a petition for reconsideration by the ■ 4. Section 52.1180 is amended by significant economic impact on a Administrator of this final rule does not revising paragraph (c) to -∂read as substantial number of small entities affect the finality of this action for the follows: purposes of judicial review nor does it under the Regulatory Flexibility Act (5 § 52.1180 Significant deterioration of air U.S.C. 601 et seq.); extend the time within which a petition quality. • Does not contain any unfunded for judicial review may be filed, and * * * * * mandate or significantly or uniquely shall not postpone the effectiveness of affect small governments, as described such rule or action. This action may not (c) All applications and other in the Unfunded Mandates Reform Act be challenged later in proceedings to information required pursuant to § 52.21 of 1995 (Pub. L. 104–4); enforce its requirements. (See section of this part from sources located in the • Does not have Federalism 307(b)(2).) State of Michigan shall be submitted to implications as specified in Executive the state agency, Michigan Department List of Subjects in 40 CFR Parts 52, 60 Order 13132 (64 FR 43255, August 10, of Natural Resources and Environment, and 61 1999); Air Quality Division, P.O. Box 30028, • Is not an economically significant Environmental protection, Air Lansing, Michigan 48909, rather than to regulatory action based on health or pollution control, Incorporation by EPA’s Region 5 office.

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Subpart Y—Minnesota (i) Medina, Summit and Portage Central District Office, Air Pollution Counties; Director, Akron Regional Air control, 50 West Town Street, Suite 700, ■ 5. Section 52.1234 is amended by Quality Management District, 146 South Columbus, Ohio 43215. revising paragraph (c) to read as follows: High Street, Room 904, Akron, OH (xiii) Geauga and Lake Counties; Lake 44308. § 52.1234 Significant deterioration of air County General Health District, Air quality. (ii) Stark County; Director, Canton Pollution Control, 33 Mill Street, City Health Department, Air Pollution Painesville, OH 44077. * * * * * Control Division, 420 Market Avenue (xiv) Mahoning and Trumbull (c) All applications and other North, Canton, Ohio 44702–1544. Counties; Mahoning-Trumbull Air information required pursuant to § 52.21 (iii) Butler, Clermont, Hamilton, and Pollution Control Agency, 345 Oak Hill of this part from sources located in the Warren Counties; Director, Hamilton Avenue, Suite 200, Youngstown, OH State of Minnesota shall be submitted to County Department of Environmental 44502. the state agency, Minnesota Pollution Services, 250 William Howard Taft Control Agency, Division of Air Quality, * * * * * Road, Cincinnati, Ohio 45219–2660. (YY) State of Wisconsin: Wisconsin 520 Lafayette Road North, St. Paul, (iv) Cuyahoga County; Commissioner, Department of Natural Resouces, 101 Minnesota 55155, rather than to EPA’s Cleveland Department of Public Health, South Webster St., P.O. Box 7921, Region 5 office. Division of Air Quality, 75 Erieview Madison, Wisconsin 53707–7921. Plaza 2nd Floor, Cleveland, Ohio 44114. Subpart KK—Ohio (v) Clark, Darke, Greene, Miami, * * * * * Montgomery, and Preble Counties; ■ 6. Section 52.1884 is amended by PART 61—[AMENDED] revising paragraph (c) to read as follows: Director, Regional Air Pollution Control Agency, 117 South Main Street, Dayton, ■ 9. The authority citation for part 61 § 52.1884 Significant deterioration of air Ohio 45422–1280. continues to read as follows: quality. (vi) Lucas County and the City of * * * * * Rossford (in Wood County); Director, Authority: 42 U.S.C. 7401 et seq. City of Toledo, Division of (c) All application and other Subpart A—General Provisions information required pursuant to § 52.21 Environmental Services, 348 South Erie of this part from sources located or to Street, Toledo, OH 43604. ■ 10. Section 61.04 is amended by be located in the state of Ohio shall be (vii) Adams, Brown, Lawrence, and revising paragraphs (b)(O), (b)(P), (b)(X), submitted to the state agency, Ohio Scioto Counties; Portsmouth Local Air (b)(Y), (b)(KK), and (b)(YY) to read as Environmental Protection Agency, P.O. Agency, 605 Washington Street, Third follows: Box 1049, Columbus, Ohio 43216, rather Floor, Portsmouth, OH 45662. than to EPA’s Region 5 office. (viii) Allen, Ashland, Auglaize, § 61.04 Address. Crawford, Defiance, Erie, Fulton, * * * * * PART 60—[AMENDED] Hancock, Hardin, Henry, Huron, (b) * * * Marion, Mercer, Ottawa, Paulding, (O) State of Illinois: Illinois ■ 7. The authority citation for part 60 Putnam, Richland, Sandusky, Seneca, Environmental Protection Agency, 1021 continues to read as follows: Van Wert Williams, Wood (Except City North Grand Avenue East, Springfield, Authority: 42 U.S.C. 7401 et seq. of Rossford), and Wyandot Counties; Illinois 62794. Ohio Environmental Protection Agency, (P) State of Indiana: Indiana Subpart A—General Provisions Northwest District Office, Air Pollution Department of Environmental Control, 347 North Dunbridge Road, Management, Office of Air Quality, 100 ■ 8. Section 60.4 is amended by revising Bowling Green, Ohio 43402. paragraphs (b)(O), (b)(P), (b)(X), (b)(Y), North Senate Avenue, Indianapolis, (ix) Ashtabula, Caroll, Colombiana, Indiana 46204. (b)(KK), and (b)(YY) to read as follows: Holmes, Lorain, and Wayne Counties; * * * * * § 60.4 Address. Ohio Environmental Protection Agency, Northeast District Office, Air Pollution (X) State of Michigan: Michigan * * * * * Unit, 2110 East Aurora Road, Department of Natural Resources and (b) * * * Twinsburg, OH 44087. Environment Quality, Air Quality (O) State of Illinois: Illinois (x) Athens, Belmont, Coshocton, Division, P.O. 30028, Lansing, Michigan Environmental Protection Agency, 1021 Gallia, Guemsey, Harrison, Hocking, 48909. North Grand Avenue East, Springfield, Jackson, Jefferson, Meigs, Monroe, (Y) State of Minnesota: Minnesota Illinois 62794. Morgan, Muskingum, Noble, Perry, Pike, Pollution Control Agency, Division of (P) State of Indiana: Indiana Ross, Tuscarawas, Vinton, and Air Quality, 520 Lafayette Road North, Department of Environmental Washington Counties; Ohio St. Paul, Minnesota 55155. Management, Office of Air Quality, 100 Environmental Protection Agency, * * * * * North Senate Avenue, Indianapolis, Southeast District Office, Air Pollution (KK) State of Ohio: Indiana 46204. Unit, 2195 Front Street, Logan, OH (i) Medina, Summit and Portage * * * * * 43138. Counties; Director, Akron Regional Air (X) State of Michigan: Michigan (xi) Champaign, Clinton, Highland, Quality Management District, 146 South Department of Natural Resources and Logan, and Shelby Counties; Ohio High Street, Room 904, Akron, OH Environment, Air Quality Division, P.O. Environmental Protection Agency, 44308. Box 30028, Lansing, Michigan 48909. Southwest District Office, Air Pollution (ii) Stark County; Director, Canton (Y) State of Minnesota: Minnesota Unit, 401 East Fifth Street, Dayton, Ohio City Health Department, Air Pollution Pollution Control Agency, Division of 45402–2911. Control Division, 420 Market Avenue Air Quality, 520 Lafayette Road North, (xii) Delaware, Fairfield, Fayette, North, Canton, Ohio 44702–1544. St. Paul, Minnesota 55155. Franklin, Knox, Licking, Madison, (iii) Butler, Clermont, Hamilton, and * * * * * Morrow, Pickaway, and Union Counties; Warren Counties; Director, Hamilton (KK) State of Ohio: Ohio Environmental Protection Agency, County Department of Environmental

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Services, 250 William Howard Taft Avenue, Suite 200, Youngstown, OH some may not be publicly available in Road, Cincinnati, Ohio 45219–2660. 44502. either location (e.g., CBI). To inspect the (iv) Cuyahoga County; Commissioner, * * * * * hard copy materials, please schedule an Cleveland Department of Public Health, (YY) State of Wisconsin: Wisconsin appointment during normal business Division of Air Quality, 75 Erieview Department of Natural Resources, 101 hours with the contact listed in the FOR Plaza 2nd Floor, Cleveland, Ohio 44114. South Webster St., P.O. Box 7921, FURTHER INFORMATION CONTACT section. (v) Clark, Darke, Greene, Miami, Madison, Wisconsin 53707–7921. 101 FOR FURTHER INFORMATION CONTACT: Montgomery, and Preble Counties; South Webster St., P.O. Box 7921, Cynthia G. Allen, Air Division (Air-4), Director, Regional Air Pollution Control Madison, Wisconsin 53707–7921. U.S. EPA Region 9, 75 Hawthorne Agency, 117 South Main Street, Dayton, * * * * * Street, San Francisco, CA 94105, (415) Ohio 45422–1280. [FR Doc. 2010–22330 Filed 9–9–10; 8:45 am] 947–4120, [email protected]. (vi) Lucas County and the City of BILLING CODE 6560–50–P SUPPLEMENTARY INFORMATION: Rossford (in Wood County); Director, Throughout this document, the terms City of Toledo, Division of ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ refer to U.S. EPA. Environmental Services, 348 South Erie ENVIRONMENTAL PROTECTION Organization of this document: The Street, Toledo, OH 43604. AGENCY following outline is provided to aid in (vii) Adams, Brown, Lawrence, and locating information in this preamble. 40 CFR Part 55 Scioto Counties; Portsmouth Local Air I. Background Agency, 605 Washington Street, Third [OAR–2004–0091; FRL–9192–8] II. Public Comment Floor, Portsmouth, OH 45662. III. EPA Action (viii) Allen, Ashland, Auglaize, Outer Continental Shelf Air IV. Statutory and Executive Order Reviews Regulations; Consistency Update for Crawford, Defiance, Erie, Fulton, I. Background Hancock, Hardin, Henry, Huron, California Marion, Mercer, Ottawa, Paulding, On December 21, 2009 (74 FR 67845), AGENCY: Environmental Protection EPA proposed to incorporate various Putnam, Richland, Sandusky, Seneca, Agency (‘‘EPA’’). Van Wert Williams, Wood (Except City South Coast AQMD air pollution control ACTION: Final rule. of Rossford), and Wyandot Counties; requirements into the OCS Air Ohio Environmental Protection Agency, Regulations at 40 CFR part 55. We are SUMMARY: EPA is finalizing the update incorporating these requirements in Northwest District Office, Air Pollution of the Outer Continental Shelf (‘‘OCS’’) Control, 347 North Dunbridge Road, response to the submittal of these rules Air Regulations proposed in the Federal by the District. EPA has evaluated the Bowling Green, Ohio 43402. Register on December 21, 2009. (ix) Ashtabula, Caroll, Colombiana, proposed requirements to ensure that Requirements applying to OCS sources they are rationally related to the Holmes, Lorain, and Wayne Counties; located within 25 miles of States’ Ohio Environmental Protection Agency, attainment or maintenance of Federal or seaward boundaries must be updated State ambient air quality standards or Northeast District Office, Air Pollution periodically to remain consistent with Unit, 2110 East Aurora Road, Part C of title I of the Act, that they are the requirements of the corresponding not designed expressly to prevent Twinsburg, OH 44087. ‘‘ ’’ onshore area ( COA ), as mandated by exploration and development of the (x) Athens, Belmont, Coshocton, section 328(a)(1) of the Clean Air Act, as OCS and that they are applicable to OCS ‘‘ ’’ Gallia, Guemsey, Harrison, Hocking, amended in 1990 ( the Act ). The sources. 40 CFR 55.1. EPA has also Jackson, Jefferson, Meigs, Monroe, portion of the OCS air regulations that evaluated the rules to ensure that they Morgan, Muskingum, Noble, Perry, Pike, is being updated pertains to the are not arbitrary or capricious. 40 CFR Ross, Tuscarawas, Vinton, and requirements for OCS sources for which 55.12(e). Washington Counties; Ohio the South Coast Air Quality Section 328(a) of the Act requires that Environmental Protection Agency, Management District (‘‘South Coast EPA establish requirements to control Southeast District Office, Air Pollution AQMD’’ or ‘‘District’’) is the designated air pollution from OCS sources located Unit, 2195 Front Street, Logan, OH COA. The intended effect of approving within 25 miles of States’ seaward 43138. the OCS requirements for the South boundaries that are the same as onshore (xi) Champaign, Clinton, Highland, Coast AQMD is to regulate emissions requirements. To comply with this Logan, and Shelby Counties; Ohio from OCS sources in accordance with statutory mandate, EPA must Environmental Protection Agency, the requirements onshore. incorporate applicable onshore rules Southwest District Office, Air Pollution DATES: Effective Date: This rule is into part 55 as they exist onshore. This Unit, 401 East Fifth Street, Dayton, Ohio effective on October 12, 2010. limits EPA’s flexibility in deciding 45402–2911. The incorporation by reference of which requirements will be (xii) Delaware, Fairfield, Fayette, certain publications listed in this rule is incorporated into part 55 and prevents Franklin, Knox, Licking, Madison, approved by the Director of the Federal EPA from making substantive changes Morrow, Pickaway, and Union Counties; Register as of October 12, 2010. to the requirements it incorporates. As Ohio Environmental Protection Agency, ADDRESSES: EPA has established docket a result, EPA may be incorporating rules Central District Office, Air Pollution number OAR–2004–0091 for this action. into part 55 that do not conform to all control, 50 West Town Street, Suite 700, The index to the docket is available of EPA’s State implementation plan Columbus, Ohio 43215. electronically at http:// (SIP) guidance or certain requirements (xiii) Geauga and Lake Counties; Lake www.regulations.gov and in hard copy of the Act. Consistency updates may County General Health District, Air at EPA Region IX, 75 Hawthorne Street, result in the inclusion of State or local Pollution Control, 33 Mill Street, San Francisco, California. While all rules or regulations into part 55, even Painesville, OH 44077. documents in the docket are listed in though the same rules may ultimately be (xiv) Mahoning and Trumbull the index, some information may be disapproved for inclusion as part of the Counties; Mahoning-Trumbull Air publicly available only at the hard copy SIP. Inclusion in the OCS rule does not Pollution Control Agency, 345 Oak Hill location (e.g., copyrighted material), and imply that a rule meets the requirements

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of the Act for SIP approval, nor does it in the Unfunded Mandates Reform Act that before a rule may take effect, the imply that the rule will be approved by of 1995 (Pub. L. 104–4); agency promulgating the rule must EPA for inclusion in the SIP. • Does not have Federalism submit a rule report, which includes a implications as specified in Executive copy of the rule, to each House of the II. Public Comment Order 13132 (64 FR 43255, August 10, Congress and to the Comptroller General EPA’s proposed action provided a 30- 1999); of the United States. EPA will submit a day public comment period. During this • Is not an economically significant report containing this action and other period, we received no comments on the regulatory action based on health or required information to the U.S. Senate, proposed action. safety risks subject to Executive Order the U.S. House of Representatives, and 13045 (62 FR 19885, April 23, 1997); the Comptroller General of the United III. EPA Action • Is not a significant regulatory action States prior to publication of the rule in In this document, EPA takes final subject to Executive Order 13211 (66 FR the Federal Register. A major rule 28355, May 22, 2001); action to incorporate the proposed • cannot take effect until 60 days after it changes into 40 CFR part 55. No Is not subject to requirements of is published in the Federal Register. changes were made to the proposed Section 12(d) of the National This action is not a ‘‘major rule’’ as action except for minor technical Technology Transfer and Advancement defined by 5 U.S.C. 804(2). corrections to the list of rules in the part Act of 1995 (15 U.S.C. 272 note) because Under section 307(b)(1) of the Clean 55 regulatory text to accurately reflect application of those requirements would Air Act, petitions for judicial review of the action we proposed. EPA is be inconsistent with the Clean Air Act; this action must be filed in the United and approving the proposed action under States Court of Appeals for the • Does not provide EPA with the section 328(a)(1) of the Act, 42 U.S.C. appropriate circuit by November 9, discretionary authority to address, as 7627. Section 328(a) of the Act requires 2010. Filing a petition for appropriate, disproportionate human that EPA establish requirements to reconsideration by the Administrator of health or environmental effects, using control air pollution from OCS sources this final rule does not affect the finality practicable and legally permissible located within 25 miles of States’ of this action for the purposes of judicial methods, under Executive Order 12898 seaward boundaries that are the same as review nor does it extend the time (59 FR 7629, February 16, 1994). within which a petition for judicial onshore requirements. To comply with In addition, this rule does not have review may be filed, and shall not this statutory mandate, EPA must Tribal implications as specified by postpone the effectiveness of such rule incorporate applicable onshore rules Executive Order 13175 (65 FR 67249, or action. This action may not be into Part 55 as they exist onshore. November 9, 2000), because it does not challenged later in proceedings to have a substantial direct effect on one or IV. Statutory and Executive Order enforce its requirements. (See section more Indian Tribes, on the relationship Reviews 307(b)(2)). between the Federal Government and Under the Clean Air Act, the Indian Tribes, or on the distribution of List of Subjects in 40 CFR Part 55 Administrator is required to establish power and responsibilities between the requirements to control air pollution Environmental protection, Federal Government and Indian Tribes, Administrative practice and procedures, from OCS sources located within 25 nor does it impose substantial direct miles of States’ seaward boundaries that Air pollution control, Hydrocarbons, compliance costs on Tribal Incorporation by reference, are the same as onshore air control governments, nor preempt Tribal law. requirements. To comply with this Intergovernmental relations, Nitrogen Under the provisions of the dioxide, Nitrogen oxides, Outer statutory mandate, EPA must Paperwork Reduction Act, 44 U.S.C. incorporate applicable onshore rules continental shelf, Ozone, Particulate 3501 et seq., an agency may not conduct matter, Permits, Reporting and into part 55 as they exist onshore. 42 or sponsor, and a person is not required U.S.C. 7627(a)(1); 40 CFR 55.12. Thus, recordkeeping requirements, Sulfur to respond to, a collection of oxides. in promulgating OCS consistency information unless it displays a updates, EPA’s role is to maintain currently valid OMB control number. Dated: July 21, 2010. consistency between OCS regulations OMB has approved the information Keith Takata, and the regulations of onshore areas, collection requirements contained in 40 Acting Regional Administrator, Region IX. provided that they meet the criteria of CFR part 55 and, by extension, this ■ Title 40 of the Code of Federal the Clean Air Act. Accordingly, this update to the rules, and has assigned Regulations, Part 55, is amended as action simply updates the existing OCS OMB control number 2060–0249. Notice follows: requirements to make them consistent of OMB’s approval of EPA Information with requirements onshore, without the Collection Request (‘‘ICR’’) No. 1601.07 PART 55—[AMENDED] exercise of any policy discretion by was published in the Federal Register ■ 1. The authority citation for Part 55 EPA. For that reason, this action: on February 17, 2009 (74 FR 7432). The • continues to read as follows: Is not a ‘‘significant regulatory approval expires January 31, 2012. As action’’ subject to review by the Office EPA previously indicated (70 FR 65897– Authority: Section 328 of the Clean Air Act of Management and Budget under (42 U.S.C. 7401 et seq.) as amended by Public 65898 (November 1, 2005)), the annual Law 101–549. Executive Order 12866 (58 FR 51735, public reporting and recordkeeping ■ 2. Section 55.14 is amended by October 4, 1993); burden for collection of information revising paragraph (e)(3)(ii)(G) to read as • Is certified as not having a under 40 CFR part 55 is estimated to follows: significant economic impact on a average 549 hours per response, using substantial number of small entities the definition of burden provided in 44 § 55.14 Requirements that apply to OCS under the Regulatory Flexibility Act U.S.C. 3502(2). sources located within 25 miles of States (5 U.S.C. 601 et seq.); The Congressional Review Act, 5 seaward boundaries, by State. • Does not contain any unfunded U.S.C. 801 et seq., as added by the Small * * * * * mandate or significantly or uniquely Business Regulatory Enforcement (e) * * * affect small governments, as described Fairness Act of 1996, generally provides (3) * * *

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(ii) * * * Rule 218.1 Attachment A—Supplemental Rule 702 Definitions (Adopted 07/11/80) and Alternative CEMS Performance Rule 708 Plans (Rescinded 09/08/95) (G) South Coast Air Quality Requirements (Adopted 05/14/99) Regulation IX Standard of Performance Management District Requirements Rule 219 Equipment Not Requiring a For New Stationary Sources (Adopted 4/4/ Applicable to OCS Sources (Parts I, II Written Permit Pursuant to Regulation II 08) and III), September 2009. (Adopted 6/1/07) Regulation X National Emission * * * * * Rule 220 Exemption—Net Increase in Standards for Hazardous Air Pollutants Emissions (Adopted 08/07/81) (Adopted 4/4/08) Rule 221 Plans (Adopted 01/04/85) Rule 1105.1 Reduction of PM10 And * * * * * Rule 301 Permitting and Associated Fees Ammonia Emissions From Fluid Catalytic ■ 3. Appendix A to CFR Part 55 is (Adopted 5/2/08) except (e)(7)and Table IV Cracking Units (Adopted 11/07/03) amended by revising paragraph (b)(7) Rule 303 Hearing Board Fees (Adopted 5/2/ Rule 1106 Marine Coating Operations under the heading ‘‘California’’ to read as 08) (Adopted 01/13/95) Rule 304 Equipment, Materials, and follows: Rule 1107 Coating of Metal Parts and Ambient Air Analyses (Adopted 5/2/08) Products (Adopted 1/6/06) Appendix A to Part 55—Listing of State Rule 304.1 Analyses Fees (Adopted 5/2/08) Rule 1109 Emissions of Oxides of Nitrogen and Local Requirements Incorporated Rule 305 Fees for Acid Deposition for Boilers and Process Heaters in (Rescinded 6/9/06) by Reference Into Part 55, by State Petroleum Refineries (Adopted 08/05/88) Rule 306 Plan Fees (Adopted 5/2/08) Rule 1110 Emissions from Stationary * * * * * Rule 309 Fees for Regulation XVI (Adopted Internal Combustion Engines 5/2/08) California (Demonstration) (Repealed 11/14/97) Rule 313 Authority to Adjust Fees and Due Rule 1110.1 Emissions from Stationary (b) * * * Dates (Adopted 5/2/08) Internal Combustion Engines (Rescinded (7) The following requirements are Rule 401 Visible Emissions (Adopted 11/ 06/03/05) contained in South Coast Air Quality 09/01) Rule 1110.2 Emissions from Gaseous-and Management District Requirements Rule 403 Fugitive Dust (Adopted 06/03/05) Liquid Fueled Engines (Adopted 2/1/08) Applicable to OCS Sources (Parts I, II and Rule 404 Particulate Matter—Concentration Rule 1113 Architectural Coatings (Adopted III): (Adopted 02/07/86) 7/13/07) Rule 102 Definition of Terms (Adopted 12/ Rule 405 Solid Particulate Matter—Weight Rule 1116.1 Lightering Vessel Operations- 3/04) (Adopted 02/07/86) Sulfur Content of Bunker Fuel (Adopted Rule 103 Definition of Geographical Areas Rule 407 Liquid and Gaseous Air 10/20/78) Contaminants (Adopted 04/02/82) (Adopted 01/9/76) Rule 1121 Control of Nitrogen Oxides from Rule 408 Circumvention (Adopted 05/07/ Rule 104 Reporting of Source Test Data and Residential-Type Natural Gas-Fired Water 76) Analyses (Adopted 01/9/76) Heaters (Adopted 09/03/04) Rule 409 Combustion Contaminants Rule 108 Alternative Emission Control Rule 1122 Solvent Degreasers (Adopted 10/ (Adopted 08/07/81) Plans (Adopted 04/6/90) Rule 429 Start-Up and Shutdown 01/04) Rule 109 Recordkeeping for Volatile Exemption Provisions for Oxides of Rule 1123 Refinery Process Turnarounds Organic Compound Emissions (Adopted Nitrogen (Adopted 12/21/90) (Adopted 12/07/90) 08/18/00) Rule 430 Breakdown Provisions, (a) and (b) Rule 1129 Aerosol Coatings (Rescinded 03/ Rule 112 Definition of Minor Violation and only (Adopted 07/12/96) 08/96) Guidelines for Issuance of Notice to Rule 431.1 Sulfur Content of Gaseous Fuels Rule 1132 Further Control of VOC Comply (Adopted 11/13/98) (Adopted 06/12/98) Emissions from High-Emitting Spray Booth Rule 118 Emergencies (Adopted 12/07/95) Rule 431.2 Sulfur Content of Liquid Fuels Facilities (Adopted 5/5/06) Rule 201 Permit to Construct (Adopted 12/ (Adopted 09/15/00) Rule 1134 Emissions of Oxides of Nitrogen 03/04) Rule 431.3 Sulfur Content of Fossil Fuels from Stationary Gas Turbines (Adopted 08/ Rule 201.1 Permit Conditions in Federally (Adopted 05/7/76) 08/97) Issued Permits to Construct (Adopted 12/ Rule 441 Research Operations (Adopted 05/ Rule 1136 Wood Products Coatings 03/04) 7/76) (Adopted 06/14/96) Rule 202 Temporary Permit to Operate Rule 442 Usage of Solvents (Adopted 12/ Rule 1137 PM10 Emission Reductions from (Adopted 12/03/04) 15/00) Woodworking Operations (Adopted 02/01/ Rule 203 Permit to Operate (Adopted 12/ Rule 444 Open Burning (Adopted 12/21/01) 02) 03/04) Rule 463 Organic Liquid Storage (Adopted Rule 1140 Abrasive Blasting (Adopted 08/ Rule 204 Permit Conditions (Adopted 03/6/ 05/06/05) 02/85) 92) Rule 465 Refinery Vacuum-Producing Rule 1142 Marine Tank Vessel Operations Rule 205 Expiration of Permits to Construct Devices or Systems (Adopted 08/13/99) (Adopted 07/19/91) (Adopted 01/05/90) Rule 468 Sulfur Recovery Units (Adopted Rule 1146 Emissions of Oxides of Nitrogen Rule 206 Posting of Permit to Operate 10/08/76) from Industrial, Institutional, and (Adopted 01/05/90) Rule 473 Disposal of Solid and Liquid Commercial Boilers, Steam Generators, and Rule 207 Altering or Falsifying of Permit Wastes (Adopted 05/07/76) Process Heaters (Adopted 9/5/08) (Adopted 01/09/76) Rule 474 Fuel Burning Equipment-Oxides Rule 1146.1 Emission of Oxides of Nitrogen Rule 208 Permit and Burn Authorization for of Nitrogen (Adopted 12/04/81) from Small Industrial, Institutional, and Open Burning (Adopted 12/21/01) Rule 475 Electric Power Generating Commercial Boilers, Steam Generators, and Rule 209 Transfer and Voiding of Permits Equipment (Adopted 08/07/78) Process Heaters (Adopted 9/5/08) (Adopted 01/05/90) Rule 476 Steam Generating Equipment Rule 1146.2 Emissions of Oxides of Rule 210 Applications (Adopted 01/05/90) (Adopted 10/08/76) Nitrogen from Large Water Heaters and Rule 212 Standards for Approving Permits Rule 480 Natural Gas Fired Control Devices Small Boilers (Adopted 5/5/06) (Adopted 12/07/95) except (c)(3) and (e) (Adopted 10/07/77) Addendum to Rule 1148 Thermally Enhanced Oil Rule 214 Denial of Permits (Adopted 01/05/ Regulation IV (Effective 1977) Recovery Wells (Adopted 11/05/82) 90) Rule 518 Variance Procedures for Title V Rule 1149 Storage Tank Cleaning And Rule 217 Provisions for Sampling and Facilities (Adopted 08/11/95) Degassing (Adopted 5/2/08) Testing Facilities (Adopted 01/05/90) Rule 518.1 Permit Appeal Procedures for Rule 1162 Polyester Resin Operations Rule 218 Continuous Emission Monitoring Title V Facilities (Adopted 08/11/95) (Adopted 7/8/05) (Adopted 05/14/99) Rule 518.2 Federal Alternative Operating Rule 1168 Adhesive and Sealant Rule 218.1 Continuous Emission Conditions (Adopted 12/21/01) Applications (Adopted 01/07/05) Monitoring Performance Specifications Rule 701 Air Pollution Emergency Rule 1171 Solvent Cleaning Operations (Adopted 05/14/99) Contingency Actions (Adopted 06/13/97) (Adopted 2/1/08)

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Rule 1173 Control of Volatile Organic Rule 2010 Administrative Remedies and noncompliance with the floodplain Compounds Leaks and Releases From Sanctions (Adopted 4/6/07) management requirements of the Components At Petroleum Facilities and Rule 2011 Requirements for Monitoring, program. If the Federal Emergency Chemical Plants (Adopted 6/1/07) Reporting, and Recordkeeping for Oxides Management Agency (FEMA) receives Rule 1176 VOC Emissions from Wastewater of Sulfur (SOX) Emissions (Adopted 05/06/ documentation that the community has Systems (Adopted 09/13/96) 05) Rule 1178 Further Reductions of VOC Appendix A Volume IV—(Protocol for adopted the required floodplain Emissions from Storage Tanks at Petroleum Oxides of Sulfur) (Adopted 05/06/05) management measures prior to the Facilities (Adopted 4/7/06) Rule 2012 Requirements for Monitoring, effective suspension date given in this Rule 1301 General (Adopted 12/07/95) Reporting, and Recordkeeping for Oxides rule, the suspension will not occur and Rule 1302 Definitions (Adopted 12/06/02) of Nitrogen (NOX) Emissions (Adopted 05/ a notice of this will be provided by Rule 1303 Requirements (Adopted 12/06/ 06/05) publication in the Federal Register on a 02) Appendix A Volume V—(Protocol for subsequent date. Rule 1304 Exemptions (Adopted 06/14/96) Oxides of Nitrogen) (Adopted 05/06/05) DATES: Effective Dates: The effective Rule 1306 Emission Calculations (Adopted Rule 2015 Backstop Provisions (Adopted 12/06/02) 06/04/04) except (b)(1)(G) and (b)(3)(B) date of each community’s scheduled Rule 1309.1 Priority Reserve (Replaced 8/3/ Rule 2020 RECLAIM Reserve (Adopted 05/ suspension is the third date (‘‘Susp.’’) 07) 11/01) listed in the third column of the Rule 1313 Permits to Operate (Adopted 12/ Rule 2100 Registration of Portable following tables. 07/95) Equipment (Adopted 07/11/97) FOR FURTHER INFORMATION CONTACT: If Rule 1315 Federal New Source Review Rule 2449 Controls of Oxides of Nitrogen Tracking System (Readopted) (Adopted 8/ you want to determine whether a Emissions from Off-Road Diesel Vehicles 3/07) particular community was suspended (Adopted 5/2/08) Rule 1403 Asbestos Emissions from on the suspension date or for further Rule 2506 Area Source Credits for NO and Demolition/Renovation Activities X SO (Adopted 12/10/99) information, contact David Stearrett, (Adopted 10/5/07) X XXX Title V Permits Mitigation Directorate, Federal Rule 1470 Requirements for Stationary Emergency Management Agency, 500 C Diesel-Fueled Internal Combustion and Rule 3000 General (Adopted 11/14/97) Other Compression Ignition Engines Rule 3001 Applicability (Adopted Street, SW., Washington, DC 20472, (Adopted 6/1/07) 11/14/97) (202) 646–2953. Rule 1472 Requirements for Facilities with Rule 3002 Requirements (Adopted SUPPLEMENTARY INFORMATION: The NFIP Multiple Stationary Emergency Standby 11/14/97) enables property owners to purchase Rule 3003 Applications (Adopted Diesel-Fueled Internal Combustion Engines flood insurance which is generally not (Adopted 3/7/08) 03/16/01) Rule 3004 Permit Types and Content otherwise available. In return, Rule 1605 Credits for the Voluntary Repair communities agree to adopt and of On-Road Motor Vehicles Identified (Adopted 12/12/97) Through Remote Sensing Devices (Adopted Rule 3005 Permit Revisions (Adopted 03/ administer local floodplain management 10/11/96) 16/01) aimed at protecting lives and new Rule 1612 Credits for Clean On-Road Rule 3006 Public Participation (Adopted construction from future flooding. Vehicles (Adopted 07/10/98) 11/14/97) Section 1315 of the National Flood Rule 1612.1 Mobile Source Credit Rule 3007 Effect of Permit (Adopted 10/08/ Insurance Act of 1968, as amended, 42 Generation Pilot Program (Adopted 03/16/ 93) U.S.C. 4022, prohibits flood insurance 01) Rule 3008 Potential To Emit Limitations (Adopted 03/16/01) coverage as authorized under the NFIP, Rule 1620 Credits for Clean Off-Road 42 U.S.C. 4001 et seq.; unless an Mobile Equipment (Adopted 07/10/98) XXXI Acid Rain Permit Program (Adopted Rule 1701 General (Adopted 08/13/99) 02/10/95) appropriate public body adopts Rule 1702 Definitions (Adopted 08/13/99) * * * * * adequate floodplain management Rule 1703 PSD Analysis (Adopted [FR Doc. 2010–22471 Filed 9–9–10; 8:45 am] measures with effective enforcement 10/07/88) measures. The communities listed in BILLING CODE 6560–50–P Rule 1704 Exemptions (Adopted this document no longer meet that 08/13/99) statutory requirement for compliance Rule 1706 Emission Calculations (Adopted with program regulations, 44 CFR part DEPARTMENT OF HOMELAND 08/13/99) 59. Accordingly, the communities will Rule 1713 Source Obligation (Adopted 10/ SECURITY 07/88) be suspended on the effective date in Regulation XVII Appendix (effective 1977) Federal Emergency Management the third column. As of that date, flood Rule 1901 General Conformity (Adopted Agency insurance will no longer be available in 09/09/94) the community. However, some of these Regulation XX Regional Clean Air 44 CFR Part 64 communities may adopt and submit the Incentives Market (Reclaim) required documentation of legally Rule 2000 General (Adopted 05/06/05) [Internal Agency Docket No. FEMA–8147; enforceable floodplain management Rule 2001 Applicability (Adopted Docket ID FEMA–2010–0003] measures after this rule is published but 05/06/05) Rule 2002 Allocations for Oxides of Suspension of Community Eligibility prior to the actual suspension date. Nitrogen (NOX) and Oxides of Sulfur (SOX) These communities will not be (Adopted 01/07/05) AGENCY: Federal Emergency suspended and will continue their Rule 2004 Requirements (Adopted Management Agency, DHS. eligibility for the sale of insurance. A 4/6/07) except (l) ACTION: Final rule. notice withdrawing the suspension of Rule 2005 New Source Review for the communities will be published in RECLAIM (Adopted 05/06/05) except (i) SUMMARY: This rule identifies the Federal Register. Rule 2006 Permits (Adopted 05/11/01) communities, where the sale of flood In addition, FEMA has identified the Rule 2007 Trading Requirements (Adopted insurance has been authorized under Special Flood Hazard Areas (SFHAs) in 4/6/07) Rule 2008 Mobile Source Credits (Adopted the National Flood Insurance Program these communities by publishing a 10/15/93) (NFIP), that are scheduled for Flood Insurance Rate Map (FIRM). The Rule 2009 Compliance Plan for Power suspension on the effective dates listed date of the FIRM, if one has been Producing Facilities (Adopted 01/07/05) within this rule because of published, is indicated in the fourth

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column of the table. No direct Federal date. Since these notifications were Executive Order 13132, Federalism. financial assistance (except assistance made, this final rule may take effect This rule involves no policies that have pursuant to the Robert T. Stafford within less than 30 days. federalism implications under Executive Disaster Relief and Emergency National Environmental Policy Act. Order 13132. Assistance Act not in connection with a This rule is categorically excluded from Executive Order 12988, Civil Justice flood) may legally be provided for the requirements of 44 CFR part 10, Reform. This rule meets the applicable construction or acquisition of buildings Environmental Considerations. No standards of Executive Order 12988. in identified SFHAs for communities environmental impact assessment has Paperwork Reduction Act. This rule not participating in the NFIP and been prepared. does not involve any collection of identified for more than a year, on Regulatory Flexibility Act. The information for purposes of the FEMA’s initial flood insurance map of Administrator has determined that this Paperwork Reduction Act, 44 U.S.C. the community as having flood-prone rule is exempt from the requirements of 3501 et seq. areas (section 202(a) of the Flood the Regulatory Flexibility Act because Disaster Protection Act of 1973, 42 the National Flood Insurance Act of List of Subjects in 44 CFR Part 64 U.S.C. 4106(a), as amended). This 1968, as amended, 42 U.S.C. 4022, Flood insurance, Floodplains. prohibition against certain types of prohibits flood insurance coverage ■ Federal assistance becomes effective for unless an appropriate public body Accordingly, 44 CFR part 64 is the communities listed on the date adopts adequate floodplain management amended as follows: shown in the last column. The measures with effective enforcement PART 64—[AMENDED] Administrator finds that notice and measures. The communities listed no public comment under 5 U.S.C. 553(b) longer comply with the statutory ■ 1. The authority citation for part 64 are impracticable and unnecessary requirements, and after the effective continues to read as follows: because communities listed in this final date, flood insurance will no longer be Authority: 42 U.S.C. 4001 et seq.; rule have been adequately notified. available in the communities unless Reorganization Plan No. 3 of 1978, 3 CFR, Each community receives 6-month, remedial action takes place. 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, 90-day, and 30-day notification letters Regulatory Classification. This final 3 CFR, 1979 Comp.; p. 376. addressed to the Chief Executive Officer rule is not a significant regulatory action stating that the community will be under the criteria of section 3(f) of § 64.6 [Amended] suspended unless the required Executive Order 12866 of September 30, ■ 2. The tables published under the floodplain management measures are 1993, Regulatory Planning and Review, authority of § 64.6 are amended as met prior to the effective suspension 58 FR 51735. follows:

Date certain fed- Community Effective date authorization/cancellation of Current effective eral assistance State and location No. sale of flood insurance in community map date no longer avail- able in SFHAs

Region III Washington, District of Columbia ...... 110001 October 31, 1975, Emerg; November 15, Sept. 27, 2010 .. Sept. 27, 2010. 1985, Reg; September 27, 2010, Susp. Virginia: Abingdon, Town of, Washington County 510169 June 16, 1975, Emerg; March 16, 1988, Sept. 29, 2010 .. Sept. 29, 2010. Reg; September 29, 2010, Susp. Bedford, City of, Independent City ...... 510015 March 12, 1974, Emerg; June 1, 1978, ...... do ...... Do. Reg; September 29, 2010, Susp. Chatham, Town of, Pittsylvania County 510114 June 10, 1975, Emerg; February 1, 1979, ...... do ...... Do. Reg; September 29, 2010, Susp. Damascus, Town of, Washington Coun- 510170 December 26, 1974, Emerg; March 16, ...... do ...... Do. ty. 1988, Reg; September 29, 2010, Susp. Danville, City of, Independent City ...... 510044 October 17, 1974, Emerg; March 16, 1981, ...... do ...... Do. Reg; September 29, 2010, Susp. Dickenson County, Unincorporated 510253 August 8, 1974, Emerg; February 6, 1991, ...... do ...... Do. Areas. Reg; September 29, 2010, Susp. Haysi, Town of, Dickenson County ...... 510046 June 21, 1974, Emerg; January 17, 1979, ...... do ...... Do. Reg; September 29, 2010, Susp. Honaker, Town of, Russell County ...... 510321 February 21, 1975, Emerg; April 5, 1988, ...... do ...... Do. Reg; September 29, 2010, Susp. Hurt, Town of, Pittsylvania County ...... 510219 June 20, 1975, Emerg; April 2, 1979, Reg; ...... do ...... Do. September 29, 2010, Susp. Lebanon, Town of, Russell County...... 510222 January 24, 1975, Emerg; January 16, ...... do ...... Do. 1987, Reg; September 29, 2010, Susp. Pittsylvania County, Unincorporated 510113 January 21, 1975, Emerg; November 4, ...... do ...... Do. Areas. 1981, Reg; September 29, 2010, Susp. Washington County, Unincorporated 510168 June 23, 1975, Emerg; March 16, 1988, ...... do ...... Do. Areas. Reg; September 29, 2010, Susp. West Virginia: Beverly, Town of, Randolph County ..... 540267 September 25, 1975, Emerg; December 3, ...... do ...... Do. 1991, Reg; September 29, 2010, Susp. Buckhannon, City of, Upshur County .... 540199 July 8, 1975, Emerg; September 4, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Harman, Town of, Randolph County..... 540178 December 29, 1976, Emerg; August 24, ...... do ...... Do. 1984, Reg; September 29, 2010, Susp.

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Date certain fed- Community Effective date authorization/cancellation of Current effective eral assistance State and location No. sale of flood insurance in community map date no longer avail- able in SFHAs

Mill Creek, Town of, Randolph County 540266 April 1, 1975, Emerg; August 24, 1984, ...... do ...... Do. Reg; September 29, 2010, Susp. Montrose, Town of, Randolph County .. 540265 September 25, 1975, Emerg; September ...... do ...... Do. 24, 1984, Reg; September 29, 2010, Susp. Randolph County, Unincorporated 540175 August 7, 1975, Emerg; September 27, ...... do ...... Do. Areas. 1991, Reg; September 29, 2010, Susp. Upshur County, Unincorporated Areas 540198 February 10, 1976, Emerg; July 1, 1987, ...... do ...... Do. Reg; September 29, 2010, Susp. Womelsdorf (Coalton), Town of, Ran- 540176 September 5, 1975, Emerg; September 10, ...... do ...... Do. dolph County. 1984, Reg; September 29, 2010, Susp. Region IV Alabama: Franklin County, Unincorporated Areas 010322 N/A, Emerg; January 18, 1991, Reg; Sep- ...... do ...... Do. tember 29, 2010, Susp. Hodges, Town of, Franklin County ...... 010426 October 30, 2006, Emerg; September 29, ...... do ...... Do. 2010, Reg; September 29, 2010, Susp. Phil Campbell, Town of, Franklin Coun- 010333 June 26, 2006, Emerg; September 29, ...... do ...... Do. ty. 2010, Reg; September 29, 2010, Susp. Red Bay, City of, Franklin County...... 010334 N/A, Emerg; March 1, 2006, Reg; Sep- ...... do ...... Do. tember 29, 2010, Susp. Russellville, City of, Franklin County ..... 010216 April 4, 1974, Emerg; August 1, 1979, Reg; ...... do ...... Do. September 29, 2010, Susp. Florida: DeFuniak Springs, City of, Walton 120318 June 6, 1975, Emerg; December 21, 1984, ...... do ...... Do. County. Reg; September 29, 2010, Susp. Freeport, City of, Walton County...... 120319 N/A, Emerg; December 14, 1992, Reg; ...... do ...... Do. September 29, 2010, Susp. Paxton, Town of, Walton County ...... 120423 N/A, Emerg; December 16, 2004, Reg; ...... do ...... Do. September 29, 2010, Susp. Walton County, Unincorporated Areas .. 120317 October 16, 1970, Emerg; November 16, ...... do ...... Do. 1977, Reg; September 29, 2010, Susp. Georgia: Chatsworth, City of, Murray County ...... 130141 July 10, 1975, Emerg; July 2, 1987, Reg; ...... do ...... Do. September 29, 2010, Susp. Hancock County, Unincorporated Areas 130563 April 17, 1998, Emerg; September 29, ...... do ...... Do. 2010, Reg; September 29, 2010, Susp. McDuffie County, Unincorporated Areas 130357 May 26, 1998, Emerg; November 8, 2004, ...... do ...... Do. Reg; September 29, 2010, Susp. Murray County, Unincorporated Areas .. 130366 May 20, 1987, Emerg; August 15, 1990, ...... do ...... Do. Reg; September 29, 2010, Susp. Nelson, City of, Cherokee and Pickens 130296 January 12, 1977, Emerg; September 29, ...... do ...... Do. Counties. 1986, Reg; September 29, 2010, Susp. Pickens County, Unincorporated Areas 130149 December 15, 1986, Emerg; July 1, 1987, ...... do ...... Do. Reg; September 29, 2010, Susp. Tift County, Unincorporated Areas ...... 130404 October 1, 1979, Emerg; June 1, 1982, ...... do ...... Do. Reg; September 29, 2010, Susp. Tifton, City of, Tift County ...... 130171 December 27, 1973, Emerg; May 1, 1978, ...... do ...... Do. Reg; September 29, 2010, Susp. Ty Ty, City of, Tift County ...... 130172 January 15, 1974, Emerg; September 4, ...... do ...... Do. 1985, Reg; September 29, 2010, Susp. Kentucky: Calloway County, Unincorporated Areas 210313 October 20, 2005, Emerg; November 1, ...... do ...... Do. 2007, Reg; September 29, 2010, Susp. Murray, City of, Calloway County ...... 210033 April 22, 1975, Emerg; April 1, 1980, Reg; ...... do ...... Do. September 29, 2010, Susp. Mississippi: Amite County, Unincorporated Areas.... 280268 April 11, 1980, Emerg; August 1, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Ellisville, City of, Jones County...... 280091 March 6, 1974, Emerg; September 30, ...... do ...... Do. 1977, Reg; September 29, 2010, Susp. Fayette, City of, Jefferson County ...... 280285 September 26, 2008, Emerg; September ...... do ...... Do. 29, 2010, Reg; September 29, 2010, Susp. Gloster, Town of, Amite County ...... 280004 February 13, 1975, Emerg; June 17, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Jefferson County, Unincorporated 280214 May 9, 1974, Emerg; July 3, 1990, Reg; ...... do ...... Do. Areas. September 29, 2010, Susp. Jones County, Unincorporated Areas ... 280222 March 20, 1975, Emerg; February 16, 1990, ...... do ...... Do. Reg; September 29, 2010, Susp.

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Date certain fed- Community Effective date authorization/cancellation of Current effective eral assistance State and location No. sale of flood insurance in community map date no longer avail- able in SFHAs

Laurel, City of, Jones County ...... 280092 December 30, 1971, Emerg; September 15, ...... do ...... Do. 1977, Reg; September 29, 2010, Susp. Liberty, Town of, Amite County ...... 280005 November 29, 1974, Emerg; September 29, ...... do ...... Do. 1986, Reg; September 29, 2010, Susp. South Carolina: Arcadia Lakes, Town of, Richland 450171 May 27, 1975, Emerg; November 19, 1980, ...... do ...... Do. County. Reg; September 29, 2010, Susp. Bamberg, City of, Bamberg County ...... 450259 June 7, 1996, Emerg; November 20, 1996, ...... do ...... Do. Reg; September 29, 2010, Susp. Bamberg County, Unincorporated Areas 450203 N/A, Emerg; February 20, 1992, Reg; Sep- ...... do ...... Do. tember 29, 2010, Susp. Barnwell, City of, Barnwell County ...... 450023 January 31, 1975, Emerg; March 2, 1989, ...... do ...... Do. Reg; September 29, 2010, Susp. Barnwell County, Unincorporated Areas 450204 N/A, Emerg; December 19, 2000, Reg; ...... do ...... Do. September 29, 2010, Susp. Blackville, Town of, Barnwell County .... 450024 July 25, 1975, Emerg; May 15, 1986, Reg; ...... do ...... Do. September 29, 2010, Susp. Brunson, Town of, Hampton County ..... 450096 February 20, 1976, Emerg; August 5, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Columbia, City of, Lexington and Rich- 450172 January 16, 1974, Emerg; September 2, ...... do ...... Do. land Counties. 1981, Reg; September 29, 2010, Susp. Denmark, Town of, Bamberg County .... 450021 June 9, 1975, Emerg; June 25, 1976, Reg; ...... do ...... Do. September 29, 2010, Susp. Eastover, Town of, Richland County..... 450173 June 26, 1975, Emerg; September 30, ...... do ...... Do. 1988, Reg; September 29, 2010, Susp. Estill, Town of, Hampton County ...... 450097 June 20, 1975, Emerg; July 17, 1986, Reg; ...... do ...... Do. September 29, 2010, Susp. Forest Acres, City of, Richland County 450174 July 19, 1974, Emerg; November 5, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Furman, Town of, Hampton County ...... 450098 July 15, 1975, Emerg; June 3, 1986, Reg; ...... do ...... Do. September 29, 2010, Susp. Hampton, Town of, Hampton County .... 450100 May 14, 1975, Emerg; May 17, 1988, Reg; ...... do ...... Do. September 29, 2010, Susp. Hampton County, Unincorporated Areas 450095 February 13, 1976, Emerg; January 15, ...... do ...... Do. 1988, Reg; September 29, 2010, Susp. Irmo, Town of, Lexington and Richland 450133 June 27, 1975, Emerg; May 1, 1980, Reg; ...... do ...... Do. Counties. September 29, 2010, Susp. Richland County, Unincorporated Areas 450170 September 20, 1974, Emerg; November 4, ...... do ...... Do. 1981, Reg; September 29, 2010, Susp. Scotia, Town of, Hampton County ...... 450101 February 19, 1976, Emerg; July 17, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Varnville, Town of, Hampton County .... 450102 May 27, 1975, Emerg; July 3, 1986, Reg; ...... do ...... Do. September 29, 2010, Susp. Tennessee: Carthage, City of, Smith County ...... 470176 May 2, 1974, Emerg; September 30, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Celina, City of, Clay County ...... 470032 February 27, 1975, Emerg; April 30, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Clay County, Unincorporated Areas...... 470382 March 17, 1995, Emerg; June 1, 2006, ...... do ...... Do. Reg; September 29, 2010, Susp. Gordonsville, Town of, Smith County.... 470395 February 10, 1988, Emerg; February 10, ...... do ...... Do. 1988, Reg; September 29, 2010, Susp. Hartsville, Town of, Trousdale County .. 470093 July 2, 1974, Emerg; August 16, 1982, Reg; ...... do ...... Do. September 29, 2010, Susp. Linden, Town of, Perry County ...... 470145 September 30, 1975, Emerg; August 5, ...... do ...... Do. 1986, Reg; September 29, 2010, Susp. Lynchburg-Moore County, Metropolitan 470138 May 14, 1974, Emerg; September 29, 1986, ...... do ...... Do. Government of. Reg; September 29, 2010, Susp. Perry County, Unincorporated Areas .... 470144 August 10, 1999, Emerg; June 1, 2005, ...... do ...... Do. Reg; September 29, 2010, Susp. Smith County, Unincorporated Areas .... 470283 February 5, 1975, Emerg; April 15, 1981, ...... do ...... Do. Reg; September 29, 2010, Susp. South Carthage, Town of, Smith County 470183 August 11, 1975, Emerg; November 5, ...... do ...... Do. 1980, Reg; September 29, 2010, Susp. Trousdale County, Unincorporated 470192 December 12, 1975, Emerg; August 16, ...... do ...... Do. Areas. 1982, Reg; September 29, 2010, Susp. Region V Illinois: Ashland, Village of, Cass County...... 171025 August 12, 1991, Emerg; September 29, ...... do ...... Do. 2010, Reg; September 29, 2010, Susp.

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Date certain fed- Community Effective date authorization/cancellation of Current effective eral assistance State and location No. sale of flood insurance in community map date no longer avail- able in SFHAs

Beardstown, City of, Cass County ...... 170022 May 9, 1975, Emerg; May 2, 1980, Reg; ...... do ...... Do. September 29, 2010, Susp. Chandlerville, Village of, Cass County .. 170023 July 2, 1975, Emerg; September 18, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Virginia, City of, Cass County ...... 170024 August 15, 1975, Emerg; September 1, ...... do ...... Do. 1986, Reg; September 29, 2010, Susp. Indiana: Adams County, Unincorporated Areas .. 180424 August 25, 1975, Emerg; August 3, 1981, ...... do ...... Do. Reg; September 29, 2010, Susp. Berne, City of, Adams County ...... 180485 October 9, 1981, Emerg; October 9, 1981, ...... do ...... Do. Reg; September 29, 2010, Susp. Decatur, City of, Adams County ...... 180001 April 3, 1975, Emerg; July 2, 1981, Reg; ...... do ...... Do. September 29, 2010, Susp. Geneva, Town of, Adams County ...... 180002 May 30, 1975, Emerg; November 1, 1984, ...... do ...... Do. Reg; September 29, 2010, Susp. Ohio: Defiance County, Unincorporated Areas 390143 September 12, 1978, Emerg; August 2, ...... do ...... Do. 1990, Reg; September 29, 2010, Susp. Defiance, City of, Defiance County ...... 390144 June 9, 1975, Emerg; March 4, 1985, Reg; ...... do ...... Do. September 29, 2010, Susp. Georgetown, Village of, Brown County 390035 July 2, 1975, Emerg; July 6, 1984, Reg; ...... do ...... Do. September 29, 2010, Susp. Hicksville, Village of, Defiance County .. 390145 July 7, 1975, Emerg; August 1, 1987, Reg; ...... do ...... Do. September 29, 2010, Susp. Mount Orab, Village of, Brown County 390621 January 16, 2001, Emerg; November 21, ...... do ...... Do. 2001, Reg; September 29, 2010, Susp. Ney, Village of, Defiance County ...... 390850 September 9, 1991, Emerg; June 1, 1992, ...... do ...... Do. Reg; September 29, 2010, Susp. Region VI Oklahoma: Comanche, City of, Stephens County... 405376 March 5, 1971, Emerg; December 23, ...... do ...... Do. 1971, Reg; September 29, 2010, Susp. Coyle, Town of, Logan County ...... 400097 June 7, 1985, Emerg; July 1, 1987, Reg; ...... do ...... Do. September 29, 2010, Susp. Crescent, City of, Logan County ...... 400098 July 7, 1975, Emerg; March 16, 1982, Reg; ...... do ...... Do. September 29, 2010, Susp. Duncan, City of, Stephens County ...... 400202 January 16, 1974, Emerg; August 1, 1979, ...... do ...... Do. Reg; September 29, 2010, Susp. Gore, Town of, Sequoyah County ...... 400195 July 25, 1975, Emerg; September 1, 1981, ...... do ...... Do. Reg; September 29, 2010, Susp. Guthrie, City of, Logan County ...... 400099 June 27, 1975, Emerg; December 2, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Logan County, Unincorporated Areas... 400096 October 26, 1984, Emerg; December 5, ...... do ...... Do. 1989, Reg; September 29, 2010, Susp. Marble City, Town of, Sequoyah County 400304 September 22, 1976, Emerg; August 19, ...... do ...... Do. 1985, Reg; September 29, 2010, Susp. Marlow, City of, Stephens County ...... 400203 April 2, 1976, Emerg; September 1, 1987, ...... do ...... Do. Reg; September 29, 2010, Susp. Marshall, Town of, Logan County ...... 400306 August 13, 1976, Emerg; August 1, 1987, ...... do ...... Do. Reg; September 29, 2010, Susp. Moffett, Town of, Sequoyah County ...... 400196 September 2, 1976, Emerg; April 15, 1982, ...... do ...... Do. Reg; September 29, 2010, Susp. Muldrow, Town of, Sequoyah County ... 400197 July 31, 1975, Emerg; April 15, 1982, Reg; ...... do ...... Do. September 29, 2010, Susp. Roland, Town of, Sequoyah County ..... 400198 November 17, 1975, Emerg; January 20, ...... do ...... Do. 1982, Reg; September 29, 2010, Susp. Sallisaw, City of, Sequoyah County ...... 400199 January 30, 1974, Emerg; January 2, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Sequoyah County, Unincorporated 400503 July 20, 1984, Emerg; January 2, 1991, ...... do ...... Do. Areas. Reg; September 29, 2010, Susp. Texas: Angelina County, Unincorporated Areas 480007 March 29, 1996, Emerg; July 1, 1998, Reg; ...... do ...... Do. September 29, 2010, Susp. Diboll, City of, Angelina County ...... 480008 April 10, 1975, Emerg; February 6, 1991, ...... do ...... Do. Reg; September 29, 2010, Susp. Easton, Village of, Gregg and Rusk 481145 December 7, 1988, Emerg; December 1, ...... do ...... Do. Counties. 1989, Reg; September 29, 2010, Susp. Grayson County, Unincorporated Areas 480829 November 12, 1981, Emerg; May 18, 1992, ...... do ...... Do. Reg; September 29, 2010, Susp.

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Date certain fed- Community Effective date authorization/cancellation of Current effective eral assistance State and location No. sale of flood insurance in community map date no longer avail- able in SFHAs

Grey Forest, City of, Bexar County ...... 480039 November 14, 1975, Emerg; July 16, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Gunter, Town of, Grayson County ...... 480832 June 7, 1985, Emerg; January 18, 1988, ...... do ...... Do. Reg; September 29, 2010, Susp. Huntington, City of, Angelina County .... 481077 August 23, 2001, Emerg; August 1, 2008, ...... do ...... Do. Reg; September 29, 2010, Susp. Kilgore, City of, Gregg and Rusk Coun- 480263 July 29, 1975, Emerg; July 2, 1981, Reg; ...... do ...... Do. ties. September 29, 2010, Susp. Lufkin, City of, Angelina County ...... 480009 June 20, 1973, Emerg; June 1, 1982, Reg; ...... do ...... Do. September 29, 2010, Susp. Mount Enterprise, City of, Rusk County 481124 March 6, 2009, Emerg; September 29, ...... do ...... Do. 2010, Reg; September 29, 2010, Susp. Rusk County, Unincorporated Areas ..... 480993 July 22, 1985, Emerg; September 27, 1991, ...... do ...... Do. Reg; September 29, 2010, Susp. Sherman, City of, Grayson County ...... 485509 May 22, 1970, Emerg; June 4, 1971, Reg; ...... do ...... Do. September 29, 2010, Susp. Tatum, City of, Panola and Rusk Coun- 480995 March 31, 1982, Emerg; April 17, 1985, ...... do ...... Do. ties. Reg; September 29, 2010, Susp. Zavalla, City of, Angelina County ...... 485527 October 8, 2002, Emerg; September 29, ...... do ...... Do. 2010, Reg; September 29, 2010, Susp. Region VII Missouri: Foley, City of, Lincoln County ...... 290210 March 21, 1974, Emerg; March 1, 1978, ...... do ...... Do. Reg; September 29, 2010, Susp. Laclede County, Unincorporated Areas 290811 N/A, Emerg; February 24, 1993, Reg; Sep- ...... do ...... Do. tember 29, 2010, Susp. Lebanon, City of, Laclede County ...... 290197 August 30, 1974, Emerg; June 1, 1982, ...... do ...... Do. Reg; September 29, 2010, Susp. Lincoln County, Unincorporated Areas 290869 June 9, 1980, Emerg; March 15, 1984, ...... do ...... Do. Reg; September 29, 2010, Susp. Old Monroe, City of, Lincoln County ..... 290211 June 13, 1974, Emerg; August 15, 1978, ...... do ...... Do. Reg; September 29, 2010, Susp. Silex, Village of, Lincoln County ...... 290212 November 1, 1976, Emerg; September 16, ...... do ...... Do. 1982, Reg; September 29, 2010, Susp. Troy, City of, Lincoln County ...... 290641 April 17, 1980, Emerg; May 5, 1981, Reg; ...... do ...... Do. September 29, 2010, Susp. Winfield, City of, Lincoln County ...... 290213 April 18, 1974, Emerg; November 17, 1982, ...... do ...... Do. Reg; September 29, 2010, Susp. Region VIII South Dakota: Brown County, Unincorporated Areas ... 460006 April 9, 1973, Emerg; September 30, 1988, ...... do ...... Do. Reg; September 29, 2010, Susp. Columbia, City of, Brown County ...... 460008 N/A, Emerg; April 7, 1994, Reg; September ...... do ...... Do. 29, 2010, Susp. Davison County, Unincorporated Areas 460020 May 14, 1986, Emerg; April 1, 1987, Reg; ...... do ...... Do. September 29, 2010, Susp. Mitchell, City of, Davison County ...... 460021 December 23, 1974, Emerg; February 1, ...... do ...... Do. 1979, Reg; September 29, 2010, Susp. Mount Vernon, City of, Davison County 460022 July 16, 1975, Emerg; June 11, 1976, Reg; ...... do ...... Do. September 29, 2010, Susp. Warner, City of, Brown County ...... 460298 February 26, 1997, Emerg; June 8, 1998, ...... do ...... Do. Reg; September 29, 2010, Susp. Utah: Box Elder County, Unincorporated 490005 December 17, 1974, Emerg; September 1, ...... do ...... Do. Areas. 1987, Reg; September 29, 2010, Susp. Brigham City, City of, Box Elder County 490006 November 1, 1974, Emerg; August 17, ...... do ...... Do. 1981, Reg; September 29, 2010, Susp. Corinne, City of, Box Elder County ...... 490197 September 28, 1977, Emerg; July 15, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Honeyville, City of, Box Elder County ... 490008 March 1, 1976, Emerg; July 29, 1980, Reg; ...... do ...... Do. September 29, 2010, Susp. Mantua, Town of, Box Elder County ..... 490009 August 20, 1975, Emerg; July 8, 1980, Reg; ...... do ...... Do. September 29, 2010, Susp. Perry City, City of, Box Elder County .... 490010 August 18, 1975, Emerg; May 20, 1980, ...... do ...... Do. Reg; September 29, 2010, Susp. Willard, City of, Box Elder County...... 490011 January 16, 1976, Emerg; July 1, 1987, ...... do ...... Do. Reg; September 29, 2010, Susp. Region X Alaska:

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Date certain fed- Community Effective date authorization/cancellation of Current effective eral assistance State and location No. sale of flood insurance in community map date no longer avail- able in SFHAs

Sitka, City and Borough of...... 020006 November 8, 1974, Emerg; June 1, 1982, ...... do ...... Do. Reg; September 29, 2010, Susp. Oregon: Albany, City of, Benton and Linn Coun- 410137 July 2, 1974, Emerg; April 3, 1985, Reg; ...... do ...... Do. ties. September 29, 2010, Susp. Brownsville, City of, Linn County ...... 410138 August 19, 1974, Emerg; August 17, 1981, ...... do ...... Do. Reg; September 29, 2010, Susp. Harrisburg, City of, Linn County ...... 410140 December 31, 1974, Emerg; February 3, ...... do ...... Do. 1982, Reg; September 29, 2010, Susp. Lebanon, City of, Linn County ...... 410141 June 10, 1975, Emerg; July 2, 1981, Reg; ...... do ...... Do. September 29, 2010, Susp. Linn County, Unincorporated Areas ...... 410136 April 9, 1974, Emerg; September 29, 1986, ...... do ...... Do. Reg; September 29, 2010, Susp. Lyons, City of, Linn County ...... 410142 February 28, 1975, Emerg; December 15, ...... do ...... Do. 1981, Reg; September 29, 2010, Susp. Mill City, City of, Linn County ...... 410143 May 20, 1975, Emerg; March 1, 1979, Reg; ...... do ...... Do. September 29, 2010, Susp. Millersburg, City of, Linn County ...... 410284 July 21, 1982, Emerg; July 21, 1982, Reg; ...... do ...... Do. September 29, 2010, Susp. Scio, City of, Linn County ...... 410144 August 15, 1974, Emerg; August 1, 1984, ...... do ...... Do. Reg; September 29, 2010, Susp. Sweet Home, City of, Linn County ...... 410146 April 17, 1975, Emerg; March 1, 1982, Reg; ...... do ...... Do. September 29, 2010, Susp. Tangent, City of, Linn County ...... 410147 September 5, 1975, Emerg; May 17, 1982, ...... do ...... Do. Reg; September 29, 2010, Susp. *-do- = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.

Dated: September 1, 2010. any overage of the GB yellowtail § 648.85(a)(2)(ii) require that ‘‘any Sandra K. Knight, flounder TAC specified for the common overages of the GB cod and GB haddock Deputy Federal Insurance and Mitigation pool, individual sectors, or the scallop TACs specified for either the common Administrator, Mitigation. fishery in one FY be subtracted from the pool or individual sectors, or any [FR Doc. 2010–22586 Filed 9–9–10; 8:45 am] respective TACs in the following FY. overages of the GB yellowtail flounder BILLING CODE 9110–12–P Therefore, NMFS hereby announces TAC specified for the common pool, deductions to the FY 2010 GB yellowtail individual sectors, or the scallop fishery flounder TAC, including how the * * * that occur in a given fishing year DEPARTMENT OF COMMERCE deduction will be divided between the will be subtracted from the respective annual catch limit (ACL) for common TAC in the following fishing year.’’ The National Oceanic and Atmospheric pool vessels (common pool sub-ACL), final annual catch analysis cannot be Administration and the ACL for sector vessels (sector completed until about 1 month into the sub-ACL). following FY because of the need to 50 CFR Part 648 DATES: Effective September 7, 2010 include any late reports from vessels through April 30, 2011. [Docket No. 0910051338–0403–04] and dealers. Therefore, any required FOR FURTHER INFORMATION CONTACT: TAC adjustment must be made during RIN 0648–AY29 Douglas Potts, Fishery Policy Analyst, the FY following the FY in which the (978) 281–9341. Fisheries of the Northeastern United overage occurred. SUPPLEMENTARY INFORMATION: The TACs States; Northeast Multispecies for Eastern GB cod, Eastern GB haddock, Based upon vessel reports, dealer Fishery; Adjustment to Fishing Year and GB yellowtail flounder in the U.S./ reports, and other information available 2010 Georges Bank Yellowtail Canada Management Area were as of June 8, 2010, the total estimated Flounder Total Allowable Catch published in the Federal Register on catch of GB yellowtail flounder in the AGENCY: National Marine Fisheries April 9, 2010 (75 FR 18356) as part of U.S./Canada Management Area during Service (NMFS), National Oceanic and the Framework Adjustment 44 (FW 44) FY 2009 was 1,770 mt. This exceeds the Atmospheric Administration (NOAA), final rule. That action established the overall FY 2009 GB yellowtail flounder Commerce. FY 2010 U.S. TACs of GB cod, haddock, TAC of 1,617 mt by 153 mt. Therefore, an overage of 153 mt of GB yellowtail ACTION: Temporary final rule; and yellowtail flounder at 338 mt, flounder must be subtracted from the adjustment to specifications. 11,988 mt, and 1,200 mt, respectively, and specified that, should an analysis of overall FY 2010 U.S./Canada GB SUMMARY: Final catch data for the 2009 the catch by U.S. vessels indicate that yellowtail flounder TAC through this fishing year (FY) (May 1, 2009–April 30, an overage occurred during FY 2009, the action. This results in an adjusted 2010) indicate that the total catch of pertinent TAC would be adjusted overall TAC of 1,047 mt for FY 2010 for Georges Bank (GB) yellowtail flounder downward in order to be consistent GB yellowtail flounder. The Eastern GB was 1,770 mt, exceeding the 1,617 mt with the FMP and the U.S./Canada cod and haddock TACs were not FY 2009 Total Allowable Catch (TAC) Resource Sharing Understanding exceeded in FY 2009. Therefore, these by 153 mt. The regulations require that (Understanding). The regulations at two TACs are not adjusted.

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The current regulatory provision April 9, 2010 (75 FR 18113), in the George Bank Cod Fixed Gear Sector (FGS), requires that the reduction in the GB sector final rule. These common pool Northeast Coastal Communities Sector (NCCS), Northeast Fishery Sectors (NEFS), yellowtail flounder TAC be applied to and sector allocations were Port Clyde Community Groundfish Sector the common pool, individual sectors, subsequently modified by a rule (PCCGS), Sustainable Harvest Sector (SHS), and scallop TACs, based on any published on May 26, 2010 (75 FR and Tri-State Sector (TSS). overages in the previous year’s TACs for 29459), to adjust for final sector each of these three components of the membership rosters. The percentage FW 44 specified an incidental catch fishery. In FY 2009, however, with the allocations of TACs to these sub-ACLs TAC for the Regular B Days-at Sea exception of a bycatch TAC allocation to and ACEs form the basis for prorating (DAS) Program, equivalent to 2 percent the scallop fishery, there was only an the reduction dictated by the 2009 FY’s of the GB yellowtail flounder common overall TAC allocated to the groundfish overage. pool sub-ACL. As a result of the adjustment to the common pool sub- fishery, with no specific allocation to Table 1 contains the new values for the common pool or individual sectors. ACL, this incidental catch TAC is the ABC, ACL, sub-ACLs, and ACL reduced from 0.47 mt to 0.40 mt. Therefore, although there is a subcomponents for GB yellowtail requirement to reduce this year’s GB flounder implemented by this action. Classification yellowtail flounder TAC by last year’s Table 2 contains details of the This action is required by 50 CFR part overall overage, there is no specific adjustments to each of the 17 sector’s regulatory provision describing how to 648 and is exempt from review under ACEs for GB yellowtail flounder as a Executive Order 12866. allocate the reduction among these three result of this action. components in this FY. (This is relevant Pursuant to 5 U.S.C. 553(b)(B) and to this FY only.) This action implements TABLE 1—GB YELLOWTAIL FLOUNDER (d)(3), the Assistant Administrator finds good cause to waive prior notice and the required reduction and, pursuant to ABC, ACL, SUB-ACL, AND ACL the agency’s general regulatory authority opportunity for public comment, as well SUBCOMPONENTS FOR FY 2010 under section 305(d) of the Magnuson- as the delayed effectiveness for this Stevens Fishery Conservation and (MT) action, because notice, comment, and a Management Act (16 U.S.C. 1855), delayed effectiveness would be creates an ad hoc method to prorate this Previous New unnecessary, impractical, and contrary reduction between the common pool value value to the public interest. Any delay in this and individual sectors based on the action to allow for prior public ABC ...... 1,200 1,047 comment could result in overharvest of percentages of TAC allocated to the Total ACL ...... 1,170 1,021 common pool and individual sectors for Scallop Fishery ACL the new GB yellowtail flounder FY 2010. The FW 44 final rule set the Subcomponent ...... 146 146 allocation by a sector or the common FY 2010 GB yellowtail flounder ACL Other ACL Sub- pool. Such an overage would result in subcomponent for the scallop fishery to components ...... 60 52 closure of the Eastern U.S./Canada Area, account for 100 percent of the Groundfish Total ACL 964 823 and zero possession of GB yellowtail anticipated GB yellowtail flounder Sector Sub-ACL* ...... 941 803 flounder for the affected group and, bycatch in that fishery. Therefore, there Common Pool Sub- therefore, loss of opportunities to fish is no rational basis to reduce scallop ACL ...... 23 20 for other stocks. Further, the regulations bycatch allocation this year. *All sub-ACL values for sectors assume that at § 648.85(a)(2)(ii), which were subject Implementing this method for allocating each sector MRI has a valid permit for FY to prior public comment, require that the reduction in TAC between the 2010. any overage of the TAC for GB common pool and individual sectors is yellowtail flounder be deducted from necessary to ensure consistency with TABLE 2—GB YELLOWTAIL FLOUNDER the TAC in the following FY. the intent of Amendment 16 and FW 44. ACE FOR EACH SECTOR FOR FY Accordingly, the action being taken by To understand how the reduction is to 2010 (MT)* this temporary rule is non-discretionary. be prorated it is necessary to describe Since this is a non-discretionary action, how the allocation of TACs among the Previous New ACE based on numerous records solely in the Sector name ACE possession of NMFS, public comment various components of the fishery is (mt) (mt) done. For transboundary managed would not serve to inform the agency stocks, the Acceptable Biological Catch FGS ...... 0 0 calculation of the overage and its (ABC) is equivalent to the U.S. portion NCCS ...... 8 7 deduction from the appropriate TAC. of the TAC negotiated under the NEFS 2 ...... 16 14 The rate of harvest of GB yellowtail Understanding. The total ACL (or TAC) NEFS 3 ...... 0 0 flounder by groundfish vessels and is set lower than the ABC to account for NEFS 4 ...... 21 18 scallop vessels fishing in the Scallop management uncertainty. For yellowtail NEFS 5 ...... 92 79 Access Areas in the U.S./Canada flounder, the total ACL (or TAC) is NEFS 6 ...... 13 11 Management Area, as reported from NEFS 7 ...... 156 133 subdivided into sub-ACLs (or TACs) for Vessel Monitoring Systems, is updated NEFS 8 ...... 154 131 the groundfish fishery (sectors and NEFS 9 ...... 183 156 weekly on the Internet at http:// common pool) and other ACL NEFS 10 ...... 0 0 www.nero.noaa.gov. Accordingly, the subcomponents, including an allocation NEFS 11 ...... 0 0 public is able to obtain information that to account for bycatch in the scallop NEFS 12 ...... 0 0 would provide at least some advance fishery, and bycatch in other fisheries. NEFS 13 ...... 149 127 notice of a potential action as a result of The sector sub-ACL is further divided PCCGS ...... 0 0 a GB yellowtail flounder TAC being into Annual Catch Entitlement (ACE) SHS ...... 79 68 exceeded during FY 2009. Further, the values (or TACs) for each of the 17 NE TSS ...... 70 60 potential that one or more of the FY multispecies sectors. The 17 sector * All ACE values for sectors outlined in 2009 TACs for the U.S./Canada stocks ACEs that constitute the sector sub-ACL Table 1 assume that each sector MRI has a could be exceeded, and therefore reduce for FY 2010 were initially published on valid permit for FY 2010. the FY 2010 TAC, was considered and

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open to public comment during the caught prior to the C season in DEPARTMENT OF COMMERCE proposed rule stage of FW44. Statistical Area 620. Therefore, the National Oceanic and Atmospheric Authority: 16 U.S.C. 1801 et seq. revised C season allowance of the pollock TAC in Statistical Area 620 is Administration Dated: September 3, 2010. NNN mt (4,878 mt minus NNN mt). Eric C. Schwaab, In accordance with § 679.20(d)(1)(i), 50 CFR Part 679 Assistant Administrator for Fisheries, the Regional Administrator has [Docket No. 0910131363–0087–02] National Marine Fisheries Service. determined that the C season allowance [FR Doc. 2010–22634 Filed 9–7–10; 4:15 pm] of the 2010 TAC of pollock in Statistical RIN 0648–XY87 BILLING CODE 3510–22–P Area 620 of the GOA will soon be Fisheries of the Exclusive Economic reached. Therefore, the Regional Zone Off Alaska; Northern Rockfish in Administrator is establishing a directed DEPARTMENT OF COMMERCE the Bering Sea and Aleutian Islands fishing allowance of NNN mt, and is Management Area National Oceanic and Atmospheric setting aside the remaining 10 mt as AGENCY: National Marine Fisheries Administration bycatch to support other anticipated groundfish fisheries. In accordance with Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), 50 CFR Part 679 § 679.20(d)(1)(iii), the Regional Administrator finds that this directed Commerce. [Docket No. 0910131362–0087–02] fishing allowance has been reached. ACTION: Temporary rule; modification RIN 0648–XY88 Consequently, NMFS is prohibiting of closure. directed fishing for pollock in Statistical SUMMARY: NMFS is opening directed Fisheries of the Exclusive Economic Area 620 of the GOA. fishing for northern rockfish in the Zone Off Alaska; Pollock in Statistical After the effective date of this closure Bering Sea and Aleutian Islands Area 620 in the Gulf of Alaska the maximum retainable amounts at Management Area (BSAI). This action is § 679.20(e) and (f) apply at any time AGENCY: necessary to fully use the 2010 total National Marine Fisheries during a trip. Service (NMFS), National Oceanic and allowable catch (TAC) of northern Atmospheric Administration (NOAA), Classification rockfish in the BSAI. Commerce. DATES: Effective 1200 hrs, Alaska local This action responds to the best time (A.l.t.), September 7, 2010, through ACTION: Temporary rule; closure. available information recently obtained 1200 hrs, A.l.t., December 31, 2010. from the fishery. The Assistant SUMMARY: NMFS is prohibiting directed Comments must be received at the Administrator for Fisheries, NOAA fishing for pollock in Statistical Area following address no later than 4:30 (AA), finds good cause to waive the 620 in the Gulf of Alaska (GOA). This p.m., A.l.t., September 27, 2010. requirement to provide prior notice and action is necessary to prevent exceeding ADDRESSES: Send comments to Sue the C season allowance of the 2010 total opportunity for public comment pursuant to the authority set forth at 5 Salveson, Assistant Regional allowable catch (TAC) of pollock for Administrator, Sustainable Fisheries Statistical Area 620 in the GOA. U.S.C. 553(b)(B) as such requirement is impracticable and contrary to the public Division, Alaska Region, NMFS, Attn: DATES Ellen Sebastian. You may submit : Effective 1200 hrs, Alaska local interest. This requirement is comments, identified by 0648–XY87, by time (A.l.t.), September 7, 2010, through impracticable and contrary to the public 1200 hrs, A.l.t., October 1, 2010. any one of the following methods: interest as it would prevent NMFS from • Electronic Submissions: Submit all FOR FURTHER INFORMATION CONTACT: responding to the most recent fisheries Obren Davis, 907–586–7228. electronic public comments via the data in a timely fashion and would Federal eRulemaking Portal website at SUPPLEMENTARY INFORMATION: NMFS delay the closure of pollock in http://www.regulations.gov. manages the groundfish fishery in the Statistical Area 620 of the GOA. NMFS • Mail: P.O. Box 21668, Juneau, AK GOA exclusive economic zone was unable to publish a notice 99802. according to the Fishery Management providing time for public comment • Fax: (907) 586–7557. Plan for Groundfish of the Gulf of because the most recent, relevant data • Hand delivery to the Federal Alaska (FMP) prepared by the North only became available as of September Building: 709 West 9th Street, Room Pacific Fishery Management Council 6, 2010. 420A, Juneau, AK. under authority of the Magnuson- The AA also finds good cause to All comments received are a part of Stevens Fishery Conservation and waive the 30–day delay in the effective the public record and will generally be Management Act. Regulations governing date of this action under 5 U.S.C. posted to http://www.regulations.gov fishing by U.S. vessels in accordance 553(d)(3). This finding is based upon without change. All Personal Identifying with the FMP appear at subpart H of 50 the reasons provided above for waiver of Information (for example, name, CFR part 600 and 50 CFR part 679. prior notice and opportunity for public address, etc.) voluntarily submitted by The C season allowance of the 2010 comment. the commenter may be publicly TAC of pollock in Statistical Area 620 This action is required by § 679.20 accessible. Do not submit Confidential of the GOA is 4,878 metric tons (mt) as and is exempt from review under Business Information or otherwise established by the final 2010 and 2011 Executive Order 12866. sensitive or protected information. harvest specifications for groundfish of Authority: 16 U.S.C. 1801 et seq. NMFS will accept anonymous the GOA (75 FR 11749, March 12, 2010). comments. Enter ‘‘N/A’’ in the required In accordance with § 679.20(a)(5)(iv)(B) Dated: September 7, 2010. fields, if you wish to remain the Administrator, Alaska Region, Emily H. Menashes, anonymous. Attachments to electronic NMFS (Regional Administrator), hereby Acting Director, Office of Sustainable comments will be accepted in Microsoft decreases the C season pollock Fisheries, National Marine Fisheries Service. Word, Excel, WordPerfect, or Adobe allowance by NNN mt to reflect the total [FR Doc. 2010–22637 Filed 9–7–10; 4:15 pm] portable document file (pdf) file formats amount of pollock TAC that has been BILLING CODE 3510–22–S only.

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FOR FURTHER INFORMATION CONTACT: opening directed fishing for northern notice providing time for public Steve Whitney, 907–586–7269. rockfish in the BSAI. This will enhance comment because the most recent, SUPPLEMENTARY INFORMATION: NMFS the socioeconomic well-being of relevant data only became available as manages the groundfish fishery in the harvesters in this area. The of September 2, 2010. BSAI according to the Fishery Administrator, Alaska Region (Regional The AA also finds good cause to Management Plan for Groundfish of the Administrator) considered the following waive the 30–day delay in the effective Bering Sea and Aleutian Islands factors in reaching this decision: (1) the date of this action under 5 U.S.C. Management Area (FMP) prepared by current catch of northern rockfish in the 553(d)(3). This finding is based upon the North Pacific Fishery Management BSAI and, (2) the harvest capacity and the reasons provided above for waiver of Council under authority of the stated intent on future harvesting prior notice and opportunity for public Magnuson-Stevens Fishery patterns of vessels in participating in comment. this fishery. Conservation and Management Act. Without this inseason adjustment, Regulations governing fishing by U.S. Classification NMFS could not allow the fishery for vessels in accordance with the FMP This action responds to the best northern rockfish in the BSAI to be appear at subpart H of 50 CFR part 600 available information recently obtained harvested in an expedient manner and and 50 CFR part 679. from the fishery. The Assistant in accordance with the regulatory Pursuant to the final 2010 and 2011 Administrator for Fisheries, NOAA schedule. Under § 679.25(c)(2), harvest specifications for groundfish in (AA), finds good cause to waive the interested persons are invited to submit the BSAI (75 FR 11778, March 12, requirement to provide prior notice and written comments on this action to the 2010), NMFS closed the directed fishery opportunity for public comment above address until September 27, 2010. for northern rockfish under pursuant to the authority set forth at 5 This action is required by § 679.20 679.2(d)(1)(iii). U.S.C. 553(b)(B) and 679.25(c)(1)(ii) as and § 679.25 and is exempt from review As of September 2, 2010, NMFS has such requirement is impracticable and under Executive Order 12866. determined that approximately 4,930 contrary to the public interest. This Authority: 16 U.S.C. 1801 et seq. metric tons of northern rockfish remain requirement is impracticable and unharvested in the BSAI. Therefore, in contrary to the public interest as it Dated: September 7, 2010. accordance with § 679.25(a)(1)(i), would prevent NMFS from responding Emily H. Menashes, (a)(2)(i)(C) and (a)(2)(iii)(D), and to fully to the most recent fisheries data in a Acting Director, Office of Sustainable utilize the 2010 TAC of northern timely fashion and would delay the Fisheries, National Marine Fisheries Service. rockfish in the BSAI, NMFS is opening of northern rockfish in the [FR Doc. 2010–22640 Filed 9–7–10; 4:15 pm] terminating the previous closure and is BSAI. NMFS was unable to publish a BILLING CODE 3510–22–S

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Proposed Rules Federal Register Vol. 75, No. 175

Friday, September 10, 2010

This section of the FEDERAL REGISTER comments received go to http:// enable rapid identification and contains notices to the public of the proposed www.regulations.gov. mitigation of potential terrorist threats. issuance of rules and regulations. The Instructions: All submissions received There is a long history of purpose of these notices is to give interested must include the agency name and documenting of suspicious activity, persons an opportunity to participate in the particularly in the law enforcement rule making prior to the adoption of the final docket number for this notice. All rules. comments received will be posted community; these reports are sometimes without change to http:// referred to as suspicious activity reports, www.regulations.gov, including any tips and leads, or other similar terms. DEPARTMENT OF HOMELAND personal information provided. Federal, state, local and tribal agencies, SECURITY Docket: For access to the docket to and private sector currently collect and read background documents or document suspicious activities in Office of the Secretary comments received, go to http:// support of their responsibilities to www.regulations.gov. investigate and prevent potential 6 CFR Part 5 crimes, protect citizens, and apprehend FOR FURTHER INFORMATION CONTACT: For [Docket No. DHS–2010–0076] and prosecute criminals. Since some of general questions please contact: Ronald these documented activities may bear a Athmann (202–447–4332), Office of Privacy Act of 1974: Implementation of nexus to terrorism, the Program Intelligence and Analysis, Department Exemptions; Department of Homeland Manager for the Information Sharing Security/ALL–031 Information Sharing of Homeland Security, Washington, DC Environment (PM–ISE) has developed a Environment Suspicious Activity 20528. For privacy issues please standardized process for identifying, Reporting Initiative System of Records contact: Mary Ellen Callahan (703–235– documenting, and sharing terrorism- 0780), Chief Privacy Officer, Privacy related SAR data (hereinafter referred to AGENCY: Privacy Office, DHS. Office, Department of Homeland an ‘‘ISE–SAR’’), which meet the ACTION: Notice of proposed rulemaking. Security, Washington, DC 20528. definition and criteria set forth in the SUPPLEMENTARY INFORMATION: SUMMARY: The Department of Homeland ISE Functional Standard Suspicious Security is giving concurrent notice of a I. Background Activity Reporting, (Version 1.5, May newly established system of records 2009) to the maximum extent possible In accordance with the Privacy Act of pursuant to the Privacy Act of 1974 for consistent with the protection of the ‘‘Department of Homeland Security/ 1974, 5 U.S.C. 552a, the Department of individual privacy, civil rights, and civil ALL–031 Information Sharing Homeland Security (DHS) proposes to liberties. The Functional Standard Environment Suspicious Activity establish a new DHS system of records defines an ISE–SAR as official ‘‘ Reporting Initiative System of Records’’ titled, DHS/ALL–031 Information documentation of observed behavior and this proposed rulemaking. In this Sharing Environment (ISE) Suspicious determined to have a potential nexus to proposed rulemaking, the Department Activity Reporting (SAR) Initiative terrorism (i.e., to be reasonably proposes to exempt portions of the System of Records.’’ indicative of criminal activity associated system of records from one or more This system of records will allow DHS with terrorism). provisions of the Privacy Act because of components that produce, receive, and Several operational components criminal, civil, and administrative store suspicious activity reports (SARs) within DHS regularly observe or enforcement requirements. pursuant to their existing authorities, otherwise encounter suspicious DATES: Comments must be received on responsibilities, platforms, and activities while executing their or before October 12, 2010. programs to compile and share report authorized missions and performing data that also meet the ISE–SAR operational duties. Components ADDRESSES: You may submit comments, Functional Standard with authorized document those observations or identified by docket number DHS– participants in the Nationwide SAR encounters in SARs. Across the 2010–0076, by one of the following Initiative (NSI) including, federal Department the operational setting or methods: • Federal e-Rulemaking Portal: departments and agencies, state, local context for activities reported in SARs http://www.regulations.gov. Follow the and tribal law enforcement agencies, are as varied as the Department’s instructions for submitting comments. and the private sector. The NSI is one mission responsibilities. Engagement • Fax: 703–483–2999. of a number of government-wide efforts with the NSI will alter neither those • Mail: Mary Ellen Callahan, Chief designed to implement guidelines first underlying mission functions nor upset Privacy Officer, Privacy Office, issued by the President on December 16, the current methodologies employed by Department of Homeland Security, 2005, for establishing the ISE pursuant DHS components collecting information Washington, DC 20528. to section 1016 of the Intelligence on suspicious activities and issuing • Instructions: All submissions Reform and Terrorism Prevention Act of SARs. Rather, the NSI will facilitate the received must include the agency name 2004 (IRTPA), as amended. The NSI more effective sharing and discovery— and docket number for this rulemaking. establishes a nationwide capability to both internally and between DHS and All comments received will be posted gather, document, process, analyze and external NSI participants—by without change to http:// share information about suspicious incorporating a standardized www.regulations.gov, including any activity, incidents, or behavior technological and functional approach personal information provided. reasonably indicative of terrorist for recording and storing ISE–SARs • Docket: For access to the docket to activities (hereafter collectively referred throughout DHS. Once training in the read background documents or to as suspicious activity or activities) to NSI program and the application of

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these technical and functional Section 3056 and 3056A of Title 18. subject to the limitations set forth in 5 U.S.C. standards, DHS personnel will review Disclosure of information to the subject 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), component SARs and submit the data of the inquiry could also permit the (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), and only from those that meet the ISE–SAR (e)(12); (f); (g)(1); and (h) of the Privacy Act subject to avoid detection or pursuant to 5 U.S.C. 552a(j)(2). Additionally, Functional Standard into the NSI apprehension. the Secretary of Homeland Security has Shared Space. The exemptions proposed here are exempted this system from the following II. Privacy Act standard law enforcement and national provisions of the Privacy Act, subject to the security exemptions exercised by a large limitation set forth in 5 U.S.C. 552a(c)(3); (d); The Privacy Act embodies fair number of federal law enforcement and (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of information practice principles in a intelligence agencies. In appropriate the Privacy Act pursuant to 5 U.S.C. statutory framework governing the circumstances, where compliance 552a(k)(2), and (k)(3). Exemptions from these particular subsections are justified, on a case- means by which the U.S. Government would not appear to interfere with or collects, maintains, uses, and by-case basis to be determined at the time a adversely affect the law enforcement request is made, for the following reasons: disseminates personally identifiable purposes of this system and the overall (a) From subsection (c)(3) and (c)(4) information. The Privacy Act applies to law enforcement process, the applicable (Accounting for Disclosures) because release information that is maintained in a exemptions may be waived on a case by of the accounting of disclosures could alert ‘‘system of records.’’ A ‘‘system of case basis. the subject of an investigation of an actual or records’’ is a group of any records under A notice of system of records for DHS/ potential criminal, civil, or regulatory the control of an agency from which violation to the existence of that investigation ALL–031 ISE SAR Initiative System of and reveal investigative interest on the part information is retrieved by the name of Records is also published in this issue the individual or by some identifying of DHS as well as the recipient agency. of the Federal Register. Disclosure of the accounting would therefore number, symbol, or other identifying present a serious impediment to law particular assigned to the individual. In List of Subjects in 6 CFR Part 5 enforcement efforts and/or efforts to preserve the Privacy Act, an individual is defined Freedom of information; Privacy. national security. Disclosure of the to encompass U.S. citizens and lawful For the reasons stated in the accounting would also permit the individual permanent residents. As a matter of who is the subject of a record to impede the preamble, DHS proposes to amend policy, DHS extends administrative investigation, to tamper with witnesses or Chapter I of Title 6, Code of Federal Privacy Act protections to all evidence, and to avoid detection or Regulations, as follows: individuals where systems of records apprehension, which would undermine the entire investigative process. maintain information on U.S. citizens, PART 5—DISCLOSURE OF RECORDS (b) From subsection (d) (Access to Records) lawful permanent residents, and AND INFORMATION because access to the records contained in visitors. this system of records could inform the The Privacy Act allows government 1. The authority citation for Part 5 subject of an investigation of an actual or agencies to exempt certain records from continues to read as follows: potential criminal, civil, or regulatory violation to the existence of that investigation the access and amendment provisions. If Authority: 6 U.S.C. 101 et seq.; Pub. L. and reveal investigative interest on the part an agency claims an exemption, 107–296, 116 Stat. 2135; 5 U.S.C. 301. of DHS or another agency. Access to the however, it must issue a Notice of Subpart A also issued under 5 U.S.C. 552. records could permit the individual who is Proposed Rulemaking to make clear to Subpart B also issued under 5 U.S.C. 552a. the public the reasons why a particular the subject of a record to impede the 2. Add at the end of Appendix C to investigation, to tamper with witnesses or exemption is claimed. evidence, and to avoid detection or DHS is claiming exemptions from Part 5, the following new paragraph ‘‘52’’: apprehension. Amendment of the records certain requirements of the Privacy Act could interfere with ongoing investigations for DHS/ALL–031 ISE SAR Program Appendix C to Part 5—DHS Systems of and law enforcement activities and would System of Records. Some information in Records Exempt From the Privacy Act impose an unreasonable administrative the DHS/ALL–031 ISE SAR Program burden by requiring investigations to be System of Records relates to official * * * * * continually reinvestigated. In addition, 52. The DHS/ALL–031 ISE SAR Initiative permitting access and amendment to such DHS national security, law enforcement, System of Records consists of electronic immigration, intelligence activities, and information could disclose security-sensitive records and will be used by DHS and its information that could be detrimental to protective services to the President of components. The DHS/ALL–031 ISE SAR homeland security. the U.S. or other individuals pursuant to Initiative System of Records is a repository of (c) From subsection (e)(1) (Relevancy and Section 3056 and 3056A of Title 18. information held by DHS in connection with Necessity of Information) because in the These exemptions are needed to protect its several and varied missions and functions, course of investigations into potential information relating to DHS activities including, but not limited to the enforcement violations of federal law, the accuracy of from disclosure to subjects or others of civil and criminal laws; investigations, information obtained or introduced related to these activities. Specifically, inquiries, and proceedings there under; occasionally may be unclear, or the national security and intelligence activities; the exemptions are required to preclude information may not be strictly relevant or and protection of the President of the U.S. or necessary to a specific investigation. In the subjects of these activities from other individuals pursuant to Section 3056 interests of effective law enforcement, it is frustrating these processes; to avoid and 3056A of Title 18. The DHS/ALL–031 appropriate to retain all information that may disclosure of activity techniques; to ISE SAR Initiative System of Records aid in establishing patterns of unlawful protect the identities and physical safety contains information that is collected by, on activity. of confidential informants and law behalf of, in support of, or in cooperation (d) From subsection (e)(2) (Collection of enforcement personnel; to ensure DHS’ with DHS, its components, as well as other Information from Individuals) because ability to obtain information from third federal, state, local, tribal, or foreign agencies requiring that information be collected from parties and other sources; to protect the or private sector organization and may the subject of an investigation would alert the contain personally identifiable information privacy of third parties; to safeguard subject to the nature or existence of the collected by other federal, state, local, tribal, investigation, thereby interfering with that classified information; and to safeguard foreign, or international government investigation and related law enforcement records in connection with providing agencies. The Secretary of Homeland activities. protective services to the President of Security has exempted this system from the (e) From subsection (e)(3) (Notice to the U.S. or other individuals pursuant to following provisions of the Privacy Act, Subjects) because providing such detailed

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information could impede law enforcement DEPARTMENT OF AGRICULTURE petition with the Secretary of by compromising the existence of a Agriculture (Secretary) if they believe confidential investigation or reveal the Agricultural Marketing Service that the Order, any provision of the identity of witnesses or confidential Order, or any obligation imposed in informants. 7 CFR Part 1250 connection with the Order, is not in (f) From subsections (e)(4)(G), (e)(4)(H), accordance with the law. In any [Doc. No. AMS–PY–08–0032] and (e)(4)(I) (Agency Requirements) and (f) petition, the person may request a (Agency Rules), because portions of this Amendment to Egg Research and modification of the Order or an system are exempt from the individual access Promotion Order and Regulations To exemption from the Order. The provisions of subsection (d) for the reasons Increase the Rate of Assessment and petitioner will have the opportunity for noted above, and therefore DHS is not Referendum Order a hearing on the petition. Afterwards, an required to establish requirements, rules, or Administrative Law Judge (ALJ) will procedures with respect to such access. AGENCY: Agricultural Marketing Service, issue a decision. If the petitioner Providing notice to individuals with respect USDA. disagrees with the ALJ’s ruling, the to existence of records pertaining to them in ACTION: Proposed rule and notice of petitioner has 30 days to appeal to the the system of records or otherwise setting up referendum. Judicial Officer, who will issue a ruling procedures pursuant to which individuals on behalf of the Secretary. If the may access and view records pertaining to SUMMARY: This proposed rule would petitioner disagrees with the Secretary’s themselves in the system would undermine amend the Egg Research and Promotion ruling, the petitioner may file, within 20 investigative efforts and reveal the identities Order (Order) to increase the assessment days, an appeal in the U.S. District of witnesses, and potential witnesses, and rate on egg producers paying Court for the district where the confidential informants. assessments to the American Egg Board petitioner resides or conducts business. (g) From subsection (e)(5) (Collection of (AEB) from 10 cents to 15 cents per Initial Regulatory Flexibility Act Information) because with the collection of 30-dozen case of commercial eggs, Analysis and Paperwork Reduction Act information for law enforcement purposes, it provided the increase is approved by is impossible to determine in advance what egg producers voting in a referendum. In accordance with the Regulatory information is accurate, relevant, timely, and This proposal would also make a Flexibility Act (RFA) [5 U.S.C. 601– complete. Compliance with subsection (e)(5) conforming amendment to the 612], AMS has considered the economic would preclude DHS agents from using their regulations. Notice also is hereby given impact of this action on the small investigative training and exercise of good that the Agricultural Marketing Service producers that would be affected by this judgment to both conduct and report on (AMS) will conduct a referendum to rule. The purpose of the RFA is to fit investigations. determine whether egg producers favor regulatory action to scale on businesses (h) From subsection (e)(8) (Notice on the increase in the assessment rate. subject to such action so that small Individuals) because compliance would businesses will not be DATES: For the purpose of determining interfere with DHS’s ability to obtain, serve, disproportionately burdened. and issue subpoenas, warrants, and other law voter eligibility, the representative According to AEB, approximately 245 enforcement mechanisms that may be filed production period is the period January producers are subject to the provisions under seal and could result in disclosure of 1, 2009, through December 31, 2009. of the Order, including paying investigative techniques, procedures, and The referendum will be held during the assessments. Under the current Order, evidence. period October 29 through November producers in the 48 contiguous United (i) From subsection (e)(12) (Computer 19, 2010. States and the District of Columbia who Matching) if the agency is a recipient agency FOR FURTHER INFORMATION CONTACT: own more than 75,000 laying hens each or a source agency in a matching program Angela C. Snyder, Research and currently pay a mandatory assessment with a non-Federal agency, with respect to Promotion; Standards, Promotion & of 10 cents per 30-dozen case of eggs. any establishment or revision of a matching Technology Branch; Poultry Programs, Handlers are responsible for collecting program, at least 30 days prior to conducting AMS, USDA, 1400 Independence and remitting assessments to AEB. such program, publish in the Federal Register Avenue, SW., Room 3932–S, There are approximately 160 egg notice of such establishment or revision. Washington, DC 20250–0256; telephone: handlers who collect assessments. (j) From subsection (g)(1) (Civil Remedies) (202) 720–4476; fax: (202) 720–2930; or Assessments under the program are to the extent that the system is exempt from e-mail: [email protected]. used by AEB to finance promotion, other specific subsections of the Privacy Act. SUPPLEMENTARY INFORMATION: research, and consumer information (k) From subsection (h) (Legal Guardians) programs designed to increase consumer the parent of any minor, or the legal guardian Executive Order 12866 demand for eggs in domestic and of any individual who has been declared to The Office of Management and Budget international markets. At the current be incompetent due to physical or mental (OMB) has waived the review process rate of 10 cents per 30-dozen case, incapacity or age by a court of competent required by Executive Order 12866 for assessments generate about $20 million jurisdiction, may act on behalf of the this action. in annual revenues. The Order is individual. administered by AEB under supervision Executive Order 12988 Dated: September 7, 2010. of the U.S. Department of Agriculture. Mary Ellen Callahan, This proposed rule has been reviewed In 13 CFR part 121, the Small Chief Privacy Officer, Department of under Executive Order 12988, Civil Business Administration (SBA) defines Homeland Security. Justice Reform. The rule is not intended small agricultural producers as those [FR Doc. 2010–22639 Filed 9–9–10; 8:45 am] to have a retroactive effect. having annual receipts of no more than The Egg Research and Consumer $750,000 and small agricultural service BILLING CODE 9110–9B–P Information Act (Act) provides that firms as those having annual receipts of administrative proceedings must be no more than $7 million. Under this exhausted before parties may file suit in definition, the vast majority of the egg court. Section 14 of the Act allows those producers that would be affected by this subject to the Order to file a written rule would not be considered small

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entities. Producers owning 75,000 or of the U.S. egg industry for generic This rule proposes to increase the fewer laying hens are eligible to be research and promotion activity could assessment rate on egg producers from exempt from this program. increase by 50 percent, from 10 cents to 15 cents per case of Given that a laying hen produces approximately $20 million to an commercial eggs. Only producers in the approximately 22 dozen eggs per year, estimated $30 million annually. contiguous United States and the production from 75,000 laying hens AEB considered several alternatives, District of Columbia are subject to the would result in 1.65 million dozen eggs. including keeping the current 10 cents program, and producers owning 75,000 With a farm-gate price of $0.837 per per 30-dozen case, an increase to 20 or fewer laying hens are eligible to dozen, total annual receipts would be cents per 30-dozen case, and an increase obtain an exemption from paying $1.83 million, which is well above the to 15 cents per 30-dozen case. AEB assessments. definition used to describe a small farm. ultimately concluded that not increasing In order to sustain and expand the The wholesale price of eggs would have the rate would not allow AEB even to promotion, research, and consumer to be approximately $0.45 per dozen sustain its programs effectively, and that information programs at present levels, before a producer with 75,000 hens an increase to 15 cents was sufficient to AEB believes that additional revenue is could be classified as a small farm maintain and expand its promotion, required. The proposed increase is under the SBA definition. research, and consumer information estimated to generate $10 million in The present 10-cent assessment is programs consistent with the purposes new revenue, depending upon equivalent to approximately 0.28 of the Act. production levels. Currently, AEB percent of the wholesale price of a 30- This rule does not impose additional collects approximately $20 million per dozen case of large eggs. An assessment recordkeeping requirements on egg year. A 5-cent increase in the rate of 15 cents per 30-dozen case would producers or collecting handlers. There assessment rate is expected to increase be equivalent to approximately 0.42 are no Federal rules that duplicate, the total to about $30 million per year. percent of the wholesale price of a 30- overlap, or conflict with this rule. Section 8 of the Act provides for an dozen case of large eggs. This wholesale In accordance with OMB regulation 5 assessment rate up to 20 cents per case. price is based on the price per dozen CFR part 1320 which implements the Section 1250.347 currently provides for Grade A large egg price reported in the Paperwork Reduction Act of 1995 [44 an assessment at a rate not to exceed 10 ‘‘Weekly Combined Regional Shell Eggs’’ U.S.C. Chapter 35], the information cents per 30-dozen case of eggs, or report (WA_PY001) published by collection and recordkeeping equivalent thereof. Any increase from USDA’s Poultry Market News and requirements that are imposed by the the current 10-cent rate established in Analysis Branch. Order and Rules and Regulations have According to AEB, additional revenue been approved previously under OMB the Order must be approved by egg is required in order to sustain and control number 0581–0093. This rule producers voting in a referendum. expand its programs. This proposed does not result in a change to those Section 9 of the Act provides that if AEB increase is consistent with sections 8 information collection and determines, based on a scientific study, and 9 of the Act (7 U.S.C. 2701–2718) recordkeeping requirements. marketing analysis, or other similar that permit AEB to recommend an We have performed this Initial competent evidence, that an increase in increase in the assessment rate up to 20 Regulatory Flexibility Analysis the assessment rate is necessary to cents per case and request that a regarding the impact of these proposed effectuate the declared policy of the Act, referendum be held if such an increase amendments to the Order and Rules and AEB may recommend the increase to the is supported by a scientific study, Regulations on small entities. We Secretary and request that a referendum marketing analysis, or other similar previously invited comments be held to vote on the assessment competent evidence. concerning potential effects of these increase. AEB conducted a marketing analysis amendments on small businesses (74 FR Marketing Analysis and AEB the results of which support a 5-cent 48568). Comments on the Regulatory Recommendation increase in the assessment rate (to a Flexibility Analysis are discussed below total of 15 cents) to effectively under Proposed Changes. Consequently, AEB conducted a strengthen AEB’s programs. The marketing analysis the results of which marketing analysis addressed the need Background support a 5-cent increase in the for a funding increase due to the The Egg Research and Consumer assessment rate to a total of 15 cents to following factors: (1) Inflation, Information Act (7 U.S.C. 2701–2718) effectively strengthen AEB’s programs. including the overall increases in all (hereinafter referred to as the ‘‘Act’’) Because of inflation, AEB estimates costs associated with doing business established a national egg research and that an estimated $14.7 million would since the last increase in AEB’s promotion program—administered by be required to duplicate the same media assessment rate in 1995; (2) AEB’s AEB—that is financed through industry program in 2008 as was conducted for advertising program, including the assessments and subject to oversight by $7.9 million in 1995, when the increased cost of advertising AMS. This program of promotion, assessment rate was last increased. expenditures as well as new media research, and consumer information is Despite the success of the advertising outlets; (3) AEB’s nutrition program, designed to strengthen the position of program, AEB’s media budget has not including additional research needed to eggs in the marketplace and to establish, kept pace with media inflation. Over the examine both the nutritional benefits of maintain, and expand markets for eggs. last 10 years, the budget has remained eggs and the relationship between eggs This program is financed by relatively flat, averaging roughly $7.9 and increased serum cholesterol levels assessments on egg producers owning million annually. Meanwhile, the cost and heart disease risk; and (4) AEB’s more than 75,000 laying hens. The of media has steadily increased at the food safety program, specifically Order specifies that handlers are rate of 5 percent each year. If AEB’s expanding research to cover food safety responsible for collecting and remitting advertising budget matched inflation, it as the public becomes more concerned the producer assessments to AEB, would be more than 50 percent larger about food safety issues. reporting their handling of eggs, and today than it is, and it would reach $22 With the proposed increased maintaining records necessary to verify million in 2017. By not keeping up with assessment, the financial commitment their reports. inflation, each year AEB has been

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reaching fewer consumers and less in the Federal Register on September public can make an informed decision. often. 25, 2009 (74 FR 48568). Comments were We disagree. The discussion of the Ten years ago, AEB expanded its solicited from interested parties through marketing analysis and AEB’s research to include studies on the November 24, 2009. Four comments recommendation in the proposed rule nutritional benefits of eggs, including were received: Two from egg producer addresses this concern. Further, AEB satiety and weight control; companies opposing the increase, one regularly communicates with all egg bioavailability of egg nutrients; egg from a State egg association, and one producers about how funds are protein and muscle retention in the from a member of the public. budgeted and expended. elderly; egg lutein and eye health; egg One commenter, a large egg producer The same commenter stated that the choline and brain development, dietary company, stated that AEB should be proposed rule’s mention of food safety choline requirements, and the required to show the effectiveness of as partial justification for the assessment relationship between choline and current programs before seeking to increase was misleading because AEB reduction of heart-disease risk; and eggs expand those programs. AEB employs a no longer maintained a food safety and school performance. number of mechanisms to gauge the function. We disagree. While certain The expansion of the research effectiveness of its programs, its food safety work, primarily with the programs over the past decade has been producer members monitor those Safe Quality Foods program, is not an essential component of AEB’s programs, and this information is conducted by AEB, there are still food mission. To continue to fund the best communicated to the entire industry. safety programs under AEB. These and most relevant research projects, The commenter also stated that only programs include food safety research, AEB needs to increase its level of one sentence in the proposal was risk assessment research, consumer research funding to account for the dedicated to the marketing analysis education, and work with foodservice rising cost of studies today compared to conducted by AEB. Further, the institutions and culinary schools, 10 years ago, the increased number of commenter stated that a new notice among others. research topics, and publicizing should be published to include Finally, the commenter expressed research findings. additional details of how the analysis opposition to a referendum and an In addition to research into egg was conducted. We disagree. AMS increase in the assessment rate. We nutrients, AEB has also funded research provided a reasonable and appropriate disagree. A referendum will be and other programs related to food discussion of the key points of the conducted in accordance with the safety as the public’s food security marketing analysis. The marketing provisions of the Act. concerns have increased. AEB has analysis was conducted by AEB under A second commenter, an egg producer funded research on Salmonella, avian the supervision of AEB’s Executive company, requested that the assessment influenza, transportation systems, Committee and is available from AEB. increase be denied because food safety cooking methods, and statistical Further, AMS does not believe that a was moved to another industry analyses. Not only do these studies deal revised proposed rule is necessary or organization and because of the with current food safety issues, but they warranted. Additionally, any changes financial burden on the industry. We also help the egg industry prepare for made as a result of amending the Order disagree. As previously discussed, food and address potential risks. provision will not become effective safety programs currently are conducted At the March 27, 2008, board meeting, unless favored by the egg industry in a by AEB. Further, the proposed rule took AEB members voted unanimously to referendum. into account the impact of the recommend that the assessment rate be The commenter further stated that the assessment increase on the industry and increased from 10 cents to 15 cents per proposed rule failed to provide discussed the need for additional 30-dozen case of commercial eggs. justification for what programs AEB revenue to sustain and expand its conducts with its current budget. We programs to the benefit of the industry. Proposed Changes disagree. AMS cited a number of AEB’s A third commenter, a member of the This rule would amend the Order as current programs that are included in public, posed a number of questions well as the implementing Rules and the summary of the marketing analysis. that concerned the effectiveness of the Regulations. Section 1250.347 of the AEB informs the industry of its program in relation to egg consumption, Order states that the assessment rate is activities through a variety of producer egg prices, program costs and benefits, not to exceed 10 cents per 30-dozen case communications, industry meetings, and research studies produced. In of eggs, provided that no more than and other methods. addition, the commenter suggested an such assessment shall be made on any The commenter also challenged the option for the increased assessment, case of eggs. Section 1250.514 provides figures used in the Initial Regulatory stating that it should be appropriated for an assessment rate of 10 cents per Flexibility Analysis. AMS reviewed this back to the States or an option to select case of commercial eggs handled for the issue and used a farm-gate price per which committee can use the funds. account of each producer, with each dozen in the analysis contained herein. This rule would increase the assessment case being subject to assessment only Additionally, the commenter stated rate from 10 cents to 15 cents per 30- once. Accordingly, section 1250.347 of that the rule did not contain an analysis dozen case of commercial eggs. As the Order and section 1250.514 of the of how the proposed increase affects the previously discussed, AEB regularly Rules and Regulations would be revised long-term profit margins of producers. communicates with all egg producers to reflect an assessment rate of 15 cents The Initial Regulatory Flexibility Act about how funds are budgeted and per case. In order to better reflect the analysis discussed and compared the expended. Consistent with the Act, AEB provisions of the Act, section 1250.347 equivalency of the current 10-cent conducted a marketing analysis the of the Order would be amended to assessment and the proposed 15-cent results of which support a 5-cent reflect both the maximum assessment assessment on wholesale prices. increase in the assessment rate to rate authorized under the Act as well as The commenter also stated that the effectively strengthen AEB’s programs. the assessment rate itself. proposal gave no mention of how AEB With regard to the commenter’s A proposed rule to increase the currently budgets and spends suggested options, the AEB budget assessment rate in the Order from 10 assessment funds and that this must be process would determine where such cents to 15 cents per case was published addressed in a proposed rule so that the funds would be expended.

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A final comment was received from a producers if they represent at least two- Department of Agriculture after this State egg association. While the thirds of the commercial eggs produced subpart is effective, as the Secretary commenter declined to comment on by those voting. finds are reasonable and likely to be whether the assessment should be The agents of the Secretary to conduct incurred by the Board and the Secretary increased, the commenter wrote in favor such referendum are hereby designated under this subpart, except that no more of AEB’s programs. The commenter also to be Angela C. Snyder and Sara D. than one such assessment shall be made suggested increasing support funding at Lutton, Research and Promotion; on any case of eggs. The assessment rate the State level for promotion activities. Standards, Promotion & Technology shall not exceed 20 cents per case (or As previously discussed, this would be Branch; Poultry Programs, AMS, USDA; the equivalent of a case) of commercial up to producer members of the AEB to 1400 Independence Avenue, SW., Room eggs. determine. 3932–S Stop 0256; Washington, DC 3. In section 1250.514, the first In addition, the commenter suggested 20250–20549; telephone (202) 720– sentence is revised to read as follows: changes concerning board membership 4476; fax (202) 720–2930, or e-mail at that are outside the scope of the [email protected]. The agent § 1250.514 Levy of assessments. proposed rule. may appoint subagents to assist in An assessment rate of 15 cents per The Act provides that AEB may performing duties related to the case of commercial eggs is levied on recommend an increased assessment referendum. each case of commercial eggs handled rate to the Secretary. In accordance with Ballots, instructions, eligibility for the account of each producer. * * * the provisions of the Act, AEB has done requirements, and other information Dated: September 3, 2010. so, and the assessment increase pertinent to the referendum will be David R. Shipman, provided for herein will be subject to a mailed to all known eligible egg referendum vote. producers. Acting Administrator, Agricultural Marketing The proposed rule published on If any eligible voter does not receive Service. September 25, 2009, stated that a ballot by the beginning date of the [FR Doc. 2010–22643 Filed 9–9–10; 8:45 am] producers owning 75,000 or fewer referendum period, such individual may BILLING CODE 3410–02–P laying hens were exempt and ineligible obtain a ballot from the address to vote, as producers owning 75,000 or provided in the information contact fewer laying hens are eligible to receive section of this rule. Single copies of the an exemption. However, § 1250.530 of complete text of the proposed SECURITIES AND EXCHANGE the regulations provide that, to obtain amendments to the Egg Research and COMMISSION an exemption, producers must file an Promotion Order and Rules and 17 CFR Chapter II exemption statement with their Regulations may also be obtained from collecting handler(s) and provide a copy this address. to AEB. Producers who would qualify [Release Nos. 33–9138, 34–62841, 39–2470, for an exemption but who are not List of Subjects in 7 CFR Part 1250 IA–3078, IC–29408; File No. S7–20–10] Administrative practice and certified for exemption and who pay List of Rules To Be Reviewed Pursuant procedure, Advertising, Agricultural assessments are not exempt and to the Regulatory Flexibility Act therefore eligible to vote in the research, Eggs and egg products, referendum. The referendum order so Reporting and recordkeeping AGENCY: Securities and Exchange states. requirements. Commission. Referendum Order For the reasons set forth in the ACTION: Publication of list of rules preamble 7 CFR part 1250 is proposed scheduled for review. It is hereby directed that a referendum to be amended as follows: be conducted among eligible egg SUMMARY: The Securities and Exchange producers to determine whether such PART 1250—EGG RESEARCH AND Commission is today publishing a list of producers favor the assessment increase. PROMOTION rules to be reviewed pursuant to Section The procedure applicable to the 610 of the Regulatory Flexibility Act. referendum shall be the procedure for 1. The authority citation of 7 CFR part 1250 continues to read as follows: The list is published to provide the the conduct of referenda in connection public with notice that these rules are with the Egg Research and Promotion Authority: 7 U.S.C. 2701–2718 and 7 U.S.C. 7401. scheduled for review by the agency and Order (7 CFR 1250.200) as published in to invite public comment on them. this issue of the Federal Register. The 2. Section 1250.347 is revised to read DATES: Comments should be submitted referendum period shall be from as follows: October 29 through November 19, 2010. by December 15, 2010. For the purpose of determining voter § 1250.347 Assessments. ADDRESSES: Comments may be eligibility, the representative period is Each handler designated in § 1250.349 submitted by any of the following the period January 1 through December and pursuant to regulations issued by methods: the Board shall collect from each 31, 2009. Producers engaged in Electronic Comments commercial egg production are eligible producer, except for those producers to vote in the referendum if they (a) specifically exempted in § 1250.348, • Use the Commission’s Internet owned more than 75,000 laying hens and shall pay to the Board at such times comment form (http://www.sec.gov/ during that period, or (b) owned 75,000 and in such manner as prescribed by rules/other.shtml); or or fewer laying hens, are not certified as regulations issued by the Board an • Send an e-mail to rule- exempt producers, and paid assessment at a rate of 15 cents per 30- [email protected]. Please include File assessments. dozen case of eggs, or the equivalent Number S7–20–10 on the subject line; For the increase to be approved, it thereof, for such expenses and or must be approved or favored by at least expenditures, including provisions for a • Use the Federal eRulemaking Portal two-thirds of the producers voting in the reasonable reserve and those (http://www.regulations.gov). Follow the referendum, or a majority of such administrative costs incurred by the instructions for submitting comments.

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Paper Comments only their continued compliance with comments on the Initial Regulatory • Send paper comments in triplicate the RFA, but also to assess generally Flexibility Analysis. to Elizabeth M. Murphy, Secretary, their continued utility. The list below is * * * * * Securities and Exchange Commission, therefore broader than that required by Title: Cross-Border Tender and 100 F Street, NE., Washington, DC the RFA, and may include rules that do Exchange Offers, Business 20549–1090. not have a significant economic impact Combinations and Rights Offerings. All submissions should refer to File No. on a substantial number of small Citation: 17 CFR 230.800–802, 17 CFR S7–20–10. This file number should be entities. Where the Commission has 260.4d–10. included on the subject line if e-mail is previously made a determination of a Authority: 15 U.S.C. 77a et seq., 15 used. To help us process and review rule’s impact on small businesses, the U.S.C. 78a et seq. your comments more efficiently, please determination is noted on the list. The Description: These rules provide use only one method. The Commission Commission particularly solicits public tender offer and Securities Act will post all comments on the comment on whether the rules listed registration exemptions for cross-border Commission’s Internet Web site (http:// below affect small businesses in new or tender and exchange offers, business www.sec.gov/rules/other.shtml). different ways than when they were first combinations and rights offerings Comments also are available for Web adopted. relating to the securities of foreign site viewing and printing in the The rules and forms listed below are companies. Commission’s Public Reference Room, scheduled for review by staff of the Prior Commission Determination 100 F Street, NE., Washington, DC Commission during the next twelve Under 5 U.S.C. 601: A Final Regulatory 20549, on official business days months. The list includes rules from Flexibility Analysis was prepared in between the hours of 10 a.m. and 3 p.m. 1999. When the Commission accordance with 5 U.S.C. 604 in All comments received will be posted implemented the Act in 1980, it stated conjunction with the adoption of without change; we do not edit personal that it ‘‘intend[ed] to conduct a broader Release No. 33–7759, approved by the identifying information from review [than that required by the RFA], Commission on October 22, 1999, which submissions. You should submit only with a view to identifying those rules in adopted Securities Act Rules 800 information that you wish to make need of modification or even through 802 and Trust Indenture Act available publicly. rescission.’’ Securities Act Release No. Rule 4d–10. Comments to the proposing 6302 (Mar. 20, 1981), 46 FR 19251 (Mar. release were considered at that time. FOR FURTHER INFORMATION CONTACT: 30, 1981). The rules are grouped The Commission received no comments Anne Sullivan, Office of the General according to which Division or Office of on the Initial Regulatory Flexibility Counsel, 202–551–5019. the Commission recommended their Analysis. SUPPLEMENTARY INFORMATION: The adoption. * * * * * Regulatory Flexibility Act (‘‘RFA’’), Title: International Disclosure codified at 5 U.S.C. 600–611, requires Rules and Forms Division of Standards. an agency to review its rules that have Corporation Finance Citation: 17 CFR 210.3–01, 17 CFR a significant economic impact upon a Title: Regulation of Takeovers and 210.3–20, 239.36. substantial number of small entities Security Holder Communications. Authority: 15 U.S.C. 77a et seq., 15 within ten years of the publication of Citation: 17 CFR 229.1000–1016, 17 U.S.C. 78a et seq. such rules as final rules. 5 U.S.C. 610(a). CFR 230.162, 17 CFR 230.165, 17 CFR Description: These rules revise ‘‘ The purpose of the review is to 230.166, 17 CFR 230.425, 17 CFR disclosure requirements to conform to determine whether such rules should be 240.13e–4, 17 CFR 240.13e–100, 17 CFR the international disclosure standards continued without change, or should be 240.14d–11, 17 CFR 240.14e–5, 17 CFR endorsed by the International amended or rescinded * * * to 240.14e–8. Organization of Securities Commissions minimize any significant economic Authority: 15 U.S.C. 77a et seq., 15 in September 1998. impact of the rules upon a substantial U.S.C. 78a et seq. Prior Commission Determination number of such small entities.’’ 5 U.S.C. Description: These rules and Under 5 U.S.C. 601: Pursuant to the 610(a). regulations apply to takeover Regulatory Flexibility Act (15 U.S.C. The RFA sets forth specific transactions (including tender offers, 605(b)), the Chairman of the considerations that must be addressed mergers, acquisitions and similar Commission certified at the proposal in the review of each rule: stage on February 2, 1999 that the • The continued need for the rule; extraordinary transactions). They also • The nature of complaints or permit increased communications with revisions to rules and forms would not comments received concerning the rule security holders and the markets, have a significant economic impact on from the public; balance the treatment of cash and stock a substantial number of small entities. • The complexity of the rule; tender offers, simplify and centralize The Commission received no comments • The extent to which the rule disclosure requirements, and eliminate specifically addressing the certification. overlaps, duplicates or conflicts with regulatory inconsistencies in mergers * * * * * other federal rules, and, to the extent and tender offers. Title: Audit Committee Disclosure. feasible, with state and local Prior Commission Determination Citation: 17 CFR 210.10–01. governmental rules; and Under 5 U.S.C. 601: A Final Regulatory Authority: 15 U.S.C. 77a et seq., 15 • The length of time since the rule Flexibility Analysis was prepared in U.S.C. 78a et seq. has been evaluated or the degree to accordance with 5 U.S.C. 604 in Description: This rule requires that which technology, economic conditions, conjunction with the adoption of companies’ independent auditors or other factors have changed in the area Release No. 33–7760, approved by the review the companies’ financial affected by the rule. 5 U.S.C. 610(c). Commission on October 22, 1999, which information included in the companies’ The Securities and Exchange adopted Regulation M–A and the related quarterly reports prior to the filing of Commission, as a matter of policy, rules and revisions. Comments to the these reports. reviews all final rules that it published proposing release were considered at Prior Commission Determination for notice and comment to assess not that time. The Commission received no Under 5 U.S.C. 601: A Final Regulatory

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Flexibility Analysis was prepared in the Initial Regulatory Flexibility Dated: September 3, 2010. accordance with 5 U.S.C. 604 in Analysis were considered at that time. Elizabeth M. Murphy, conjunction with the adoption of * * * * * Secretary. Release No. 34–42266, approved by the [FR Doc. 2010–22574 Filed 9–9–10; 8:45 am] Commission on December 22, 1999, Rules and Forms Administered by the BILLING CODE 8010–01–P which adopted Rule 10–01 of Division of Trading and Markets Regulation S–X under the Securities Act Title: Rule 10b–18. of 1933 and the Securities Exchange Act FEDERAL COMMUNICATIONS of 1934. Comments to the proposing Citation: 17 CFR 240.10b–18. COMMISSION release and Initial Regulatory Flexibility Authority: 15 U.S.C. 78b, 78c, Analysis were considered at that time. 78i(a)(6), 78j(b), 78m(e), 78o(c) and 47 CFR Chapter I * * * * * 78w(a). [GN Docket No. 09–191; WC Docket No. Rules and Forms Administered by the Description: Rule 10b–18 under the 07–52; DA 10–1667] Securities Exchange Act of 1934 Rule Division of Investment Management Further Inquiry Into Two Under- 10b–18 provides a ‘‘safe harbor’’ from Developed Issues in the Open Internet Title: Rule 17j–1. liability for manipulation under Proceeding Citation: 17 CFR 270.17j–1. Sections 9(a)(2) and 10(b) of the Authority: 15 U.S.C. 80a–1 et seq., Exchange Act, and Rule 10b–5 AGENCY: Federal Communications 80a–17(j), 80a–37(a). thereunder, when an issuer or affiliated Commission. Description: Rule 17j–1 under the purchaser of the issuer bids for or buys ACTION: Proposed rule. Investment Company Act of 1940 shares of its common stock in (‘‘Act’’) prohibits fraudulent, deceptive compliance with the Rule’s conditions. SUMMARY: In this document, the or manipulative acts by persons Commission’s Wireline Competition Prior Commission Determination affiliated with a registered investment and Wireless Telecommunications Under 5 U.S.C. 601: A Final Regulatory company (‘‘fund’’) or with the fund’s Bureaus (collectively, the Bureaus) seek Flexibility Analysis was prepared in investment adviser or principal comment on two issues in the open accordance with 5 U.S.C. 604 in underwriter in connection with their Internet proceeding that merit further conjunction with the adoption of personal securities transactions in development. The first issue is the Release No. 34–41905, which was securities held or to be acquired by the relationship between open Internet approved by the Commission on Sept. fund. The rule requires 17j–1 protections and services that are 23, 1999. Comments to the proposing organizations to adopt codes of ethics provided over the same last-mile release and any comments to the Initial reasonably designed to prevent fraud facilities as broadband Internet access Regulatory Flexibility Analysis were and requires fund personnel to report service (commonly called ‘‘managed’’ or considered at that time. their personal securities transactions to ‘‘specialized’’ services). The second is their 17j–1 organization. * * * * * the application of open Internet rules to Prior Commission Determination Title: Rules 15b3–1, 15Ba2–2, and mobile wireless Internet access services, Under 5 U.S.C. 601: A Final Regulatory 15Ca2–1. which have unique characteristics related to technology, associated Flexibility Analysis was prepared in Citation: 17 CFR 240.15b3–1, application and device markets, and accordance with 5 U.S.C. 604 in 240.15Ba2–2, and 240.15Ca2–1. conjunction with the adoption of consumer usage. The intended effect is Release No. IC–23958, which was Authority: 15 U.S.C. 78o(a), 78o(b), to develop a more detailed record in the approved by the Commission on Aug. 78o–4(a)(2), 78o–5(a)(2), and 78w(a). Open Internet proceeding. 20, 1999. Comments to the proposing Description: Rule 15b3–1 under the DATES: Comments are due on or before release and any comments to the Initial Securities Exchange Act of 1934 governs October 12, 2010 and reply comments Regulatory Flexibility Analysis were amendments to applications for are due on or before November 4, 2010. considered at that time. registration as a broker or a dealer. Rule ADDRESSES: You may submit comments, * * * * * 15Ba2–2 under the Securities Exchange identified by GN Docket No. 09–191 and Title: Rule 154. Act of 1934 governs applications for WC Docket No. 07–52, by any of the Citation: 17 CFR 230.154. registration of non-bank municipal following methods: securities dealers whose business is • Federal Communications Authority: 15 U.S.C. 77a et seq. exclusively intrastate. Rule 15Ca2–1 Commission’s Web Site: http:// Description: Rule 154 under the under the Securities Exchange Act of www.fcc.gov/cgb/ecfs/. Follow the Securities Act of 1933 permits an issuer 1934 governs applications for instructions for submitting comments. or broker-dealer that has an obligation to registrations as a government securities • E-mail [email protected], and include deliver a prospectus to multiple persons broker or government securities dealer. the following words in the body of the at a single address to satisfy that message: ‘‘get form.’’ A sample form and obligation by delivering a single Prior Commission Determination Under 5 U.S.C. 601: A Final Regulatory directions will be sent in response. prospectus, subject to certain Include the docket numbers in the conditions. Flexibility Analysis was prepared in accordance with 5 U.S.C. 604 in subject line of the message. Prior Commission Determination • Mail: Secretary, Federal conjunction with the adoption of Under 5 U.S.C. 601: A Final Regulatory Communications Commission, 445 12th Release No. 34–41594, which was Flexibility Analysis was prepared in Street, SW., Washington, DC 20554. approved by the Commission on July 2, accordance with 5 U.S.C. 604 in • Hand Delivery/Courier: Secretary, 1999. Comments to the proposing conjunction with the adoption of Federal Communications Commission, release and any comments to the Initial Release No. IC–24123, which was 445 12th Street, SW., Washington, DC Regulatory Flexibility Analysis were approved by the Commission on 20554. November 4, 1999. Comments to the considered at that time. • Commercial overnight mail (other proposing release and any comments to By the Commission. than U.S. Postal Service Express Mail

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and Priority Mail): 9300 East Hampton ECFS can be sent as an electronic file Washington, DC 20554, 202–488–5300, Drive, Capitol Heights, MD 20743. via the Internet to http://www.fcc.gov/ or via e-mail to [email protected]. • People with Disabilities: Contact the cgb/ecfs/. Generally, only one copy of Documents in GN Docket No. 09–191 FCC to request reasonable an electronic submission must be filed. and WC Docket No. 07–52 will be accommodations (accessible format If multiple docket or rulemaking available for public inspection and documents, sign language interpreters, numbers appear in the caption of the copying during business hours at the CART, etc.) by e-mail: [email protected] proceeding, commenters must transmit FCC Reference Information Center, or phone: 202–418–0530 or TTY: 202– one electronic copy of the comments to Portals II, 445 12th St., SW., Room CY– 418–0432. each docket or rulemaking number A257, Washington, DC 20554. The For detailed instructions for submitting referenced in the caption. In completing documents may also be purchased from comments and additional information the transmittal screen, commenters BCPI, telephone 202–488–5300, on the rulemaking process, see the should include their full name, U.S. facsimile 202–488–5563, TTY 202–488– SUPPLEMENTARY INFORMATION section of Postal Service mailing address, and the 5562, e-mail [email protected]. this document. applicable docket or rulemaking To request materials in accessible FOR FURTHER INFORMATION CONTACT: numbers. Parties may also submit an formats for people with disabilities William Kehoe, Competition Policy electronic comment by Internet e-mail. (Braille, large print, electronic files, Division, Wireline Competition Bureau, To get filing instructions for e-mail audio format), send an e-mail to at 202–418–1580 or comments, commenters should send an [email protected] or call the Consumer & [email protected], or John Spencer, e-mail to [email protected], and should Governmental Affairs Bureau at 202– Broadband Division, Wireless include the following words in the body 418–0530 (voice), 202–418–0432 (tty). Telecommunications Bureau, at 202– of the message, ‘‘get form.’’ A sample Synopsis of Public Notice form and directions will be sent in 418–2487 or [email protected]. 1. In order to promote innovation, reply. Parties who choose to file by SUPPLEMENTARY INFORMATION: This is a investment, competition, and free summary of the Bureaus’ Public Notice paper must file an original and four expression, and to protect and empower in GN Docket No. 09–191 and WC copies of each filing. If more than one consumers, in late 2009 the Commission Docket No. 07–52, DA 10–1667, released docket or rulemaking number appears in issued the Open Internet NPRM. That on September 1, 2010. The Notice of the caption of this proceeding, NPRM sought public comment on rules Proposed Rulemaking initiating this commenters must submit two additional that would codify the four principles proceeding, Preserving the Open copies for each additional docket or adopted in Appropriate Framework for Internet; Broadband Industry Practices, rulemaking number. Broadband Access to the Internet Over GN Docket No. 09–191, WC Docket No. Filings can be sent by hand or Wireline Facilities et al., CC Docket Nos. 07–52, Notice of Proposed Rulemaking, messenger delivery, by commercial 02–33, 01–337, 95–20, 98–10, GN 74 FR 62638, November 30, 2009 (Open overnight courier, or by first-class or Docket No. 00–185, CS Docket No. 02– Internet NPRM) addressed two issues in overnight U.S. Postal Service mail 52, Policy Statement, 20 FCC Rcd 14986 less detail than many other issues, and (although we continue to experience (2005) (Internet Policy Statement) and the Commission’s analysis would delays in receiving U.S. Postal Service strengthen them by prohibiting benefit from further development of mail). Parties are strongly encouraged to broadband Internet access providers these issues in the record. The Bureaus file comments electronically using the from treating lawful traffic in a therefore found it appropriate to further Commission’s ECFS. All filings must be discriminatory manner, and by inquire into these areas. The complete addressed to the Commission’s requiring providers to be transparent text of this document is available on the Secretary, Office of the Secretary, regarding their network management Commission’s Internet site at Federal Communications Commission, practices. The discussion generated by www.fcc.gov and for public inspection 445 12th Street, SW., Washington, DC the Commission’s Open Internet Monday through Thursday from 8 a.m. 20554. proceeding appears to have narrowed to 4:30 p.m. and Friday from 8 a.m. to Effective December 28, 2009, all hand- disagreement on many of the key 11:30 a.m. in the Commission’s delivered or messenger-delivered paper elements of the framework proposed in Consumer and Governmental Affairs filings for the Commission’s Secretary the NPRM: First, that broadband Bureau Reference Information Center, must be delivered to FCC Headquarters providers should not prevent users from Room CY–A257, 445 12th Street, SW., at 445 12th St., SW., Room TW–A325, sending and receiving the lawful Washington, DC 20554. The full text of Washington, DC 20554. All hand content of their choice, using the lawful the Public Notice may also be purchased deliveries must be held together with applications and services of their from the Commission’s duplicating rubber bands or fasteners. Any choice, and connecting the nonharmful contractor, Best Copy and Printing, Inc., envelopes must be disposed of before devices of their choice to the network, Portals II, 445 12th Street, SW., entering the building. The filing hours at least on fixed or wireline broadband Washington, DC 20554, telephone 202– at this location are 8 a.m. to 7 p.m. platforms. Second, that broadband 488–5300, facsimile 202–488–5563, Commercial overnight mail (other providers should be transparent e-mail at [email protected], or via its than U.S. Postal Service Express Mail regarding their network management Web site at http://www.bcpiweb.com. and Priority Mail) must be sent to 9300 practices. Third, that with respect to the Interested parties may file comments East Hampton Drive, Capitol Heights, handling of lawful traffic, some form of and reply comments on or before the MD 20743. anti-discrimination protection is dates indicated on the first page of this U.S. Postal Service first-class, appropriate, at least on fixed or wireline document. When filing comments, Express, and Priority mail must be broadband platforms. Fourth, that please reference GN Docket No. 09–191 addressed to 445 12th Street, SW., broadband providers must be able to and WC Docket No. 07–52. Washington, DC 20554. reasonably manage their networks, Comments may be filed using the Parties shall also serve one copy with including through appropriate and Commission’s Electronic Comment the Commission’s copy contractor, Best tailored mechanisms that reduce the Filing System (ECFS) or by filing paper Copy and Printing, Inc. (BCPI), Portals effects of congestion or address traffic copies. Comments filed through the II, 445 12th Street, SW., Room CY–B402, that is unwanted by users or harmful to

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the network. Fifth, that in light of rapid broadband provider offers broadband address the policy implications of such technological and market change, Internet access service bundled with a services if and when such services are enforcing high-level rules of the road ‘‘specialized service’’ that provides further developed in the market. through case-by-case adjudication, prioritized access to a particular Web (B) Truth in Advertising: Prohibit informed by engineering expertise, is a site. broadband providers from marketing better policy approach than (2) Supplanting the Open Internet: specialized services as broadband promulgating detailed, prescriptive Broadband providers may constrict or Internet access service or as a substitute rules that may have consequences that fail to continue expanding the network for such service, and require providers are difficult to foresee. capacity allocated to broadband Internet to offer broadband Internet access 2. There are two complex issues, access service in order to provide more service as a stand-alone service, separate however, that merit further inquiry. The capacity for specialized services. If this from specialized services, in addition to first is the relationship between open occurs, and particularly if one or more any bundled offerings. Internet protections and services that specialized services serve as substitutes (C) Disclosure: Require providers to are provided over the same last-mile for the delivery of content, applications, disclose information sufficient to enable facilities as broadband Internet access and services over broadband Internet consumers, third parties, and the service (commonly called ‘‘managed’’ or access service, the open Internet may Commission to evaluate and report on ‘‘specialized’’ services). The second is wither as an open platform for specialized services, including their the application of open Internet rules to competition, innovation, and free effects on the capacity of and the mobile wireless Internet access services, expression. markets for broadband Internet access which have unique characteristics (3) Anti-competitive Conduct: service and Internet-based content, related to technology, associated Broadband providers may have the applications, and services. The application and device markets, and ability and incentive to engage in anti- Commission or Congress could then consumer usage. The NPRM raised both competitive conduct with respect to take action if necessary. of these issues but addressed them in specialized services, particularly if they (D) Non-exclusivity in Specialized less detail than many other issues, and are vertically integrated providers of Services: Require that any commercial the Commission’s analysis would content, applications, or services; or if arrangements with a vertically- benefit from further development of they enter into business arrangements integrated affiliate or a third party for these issues in the record. The Bureaus with third-party content, application, or the offering of specialized services be therefore find it appropriate to further service providers concerning offered on the same terms to other third inquire into these areas. specialized service offerings. Such parties. discriminatory conduct could harm (E) Limit Specialized Service A. Specialized Services competition among, and private Offerings: Allow broadband providers to 3. In the NPRM, the Commission investment in, content, application, and offer only a limited set of new recognized that broadband providers service providers. specialized services, with functionality may provide other services over the These concerns, particularly the that cannot be provided via broadband same last-mile facilities used to provide second and third, may be exacerbated Internet access service, such as a broadband Internet access service. by worries that due to limited choice telemedicine application that requires These services may drive additional among broadband Internet access enhanced quality of service. private investment in networks and service providers, consumers may not (F) Guaranteed Capacity for provide consumers new and valued be able to effectively exercise their Broadband Internet Access Service: services. However, there appear to be preferences for broadband Internet Require broadband providers to three general areas of concern about access service (or content, applications, continue providing or expanding how to maintain the investment- or services available through broadband network capacity allocated to broadband promoting benefits of specialized Internet access service) over specialized Internet access service, regardless of any services while protecting the Internet’s services. specialized services they choose to offer. openness: The NPRM used the term 4. There appear to be at least six Relatedly, prohibit specialized services ‘‘managed or specialized services’’ to general policy approaches to addressing from inhibiting the performance of describe the services that we here call these concerns while promoting private broadband Internet access services at ‘‘specialized services.’’ We avoid the investment and encouraging the any given time, including during term ‘‘managed services’’ to prevent development and deployment of new periods of peak usage. confusion with services that have long services that benefit consumers. These 5. The Bureaus seek comment on each been provided by communications approaches could be employed alone or of these concerns and suggested policy service providers to enterprise in combination: responses, as well as any other concerns customers, which may include (A) Definitional Clarity: Define or policies regarding specialized managing computing and broadband Internet access service services that the Commission should communications facilities on behalf of clearly and perhaps broadly, and apply consider. Which policies will best such customers. open Internet rules to all forms of protect the open Internet and maintain (1) Bypassing Open Internet broadband Internet access service. incentives for private investment and Protections: Open Internet protections Specialized services would be those deployment of innovative services that may be weakened if broadband services with a different scope or benefit consumers? In addition, the providers offer specialized services that purpose than broadband Internet access Bureaus seek comment on whether are substantially similar to, but do not service (i.e., which do not meet the specialized services provided over technically meet the definition of, definition of broadband Internet access mobile wireless platforms raise unique broadband Internet access service, and if service), and would not be subject to the issues. consumer protections do not apply to rules applicable to broadband Internet such services. A similar concern may access service. But such services could B. Application of Open Internet arise if specialized services are be addressed through one or more of the Principles to Mobile Wireless Platforms integrated into broadband Internet below policy approaches, or, 6. The NPRM seeks comment on access service; for example, if a alternatively, the Commission could ‘‘how, to what extent, and when’’

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openness principles should apply to laboratory testing, could such testing be example, if a provider’s customer had a mobile wireless platforms, with a conducted through independent choice of several app store providers particular emphasis on furthering authorized test centers? Were the that offered applications that could be innovation, private investment, Commission to require mobile providers downloaded onto the customer’s mobile competition, and freedom of expression. to allow any non-harmful device to device, would that adequately mitigate In light of developments since the connect to their network, subject to concerns about potentially anti- issuance of the NPRM, it is now reasonable network management, how competitive or anti-consumer effects of appropriate to update the record on would mobile broadband provider a provider excluding applications from certain questions related to the conduct have to change, if at all, in light its own app store? application of openness principles to of existing device certification 12. Finally, the Bureaus seek wireless. Mobile broadband providers programs? comment on how differences between such as AT&T Mobility and Leap 9. As noted above, some mobile web-based and native applications Wireless (Cricket) have recently providers have introduced usage-based should inform the Commission’s introduced pricing plans that charge data pricing. To what extent do these analysis. Should a mobile provider have different prices based on the amount of business models mitigate concerns more discretion to restrict consumers’ data a customer uses. The emergence of about congestion of scarce network downloading and/or use of native these new business models may reduce capacity by third-party devices? applications than they should with mobile broadband providers’ incentives 3. Applications respect to web-based applications? to employ more restrictive network Regulatory Flexibility Analysis management practices that could run 10. The Bureaus seek comment on afoul of open Internet principles. how best to maximize consumer choice, The NPRM in this proceeding Additionally, Verizon and Google innovation, and freedom of expression included an Initial Regulatory issued a proposal for open Internet in the mobile application space, while Flexibility Analysis (IRFA) pursuant to legislation that would exclude wireless, ensuring continued private investment 5 U.S.C. 603, exploring the potential except for proposed transparency and competition in mobile wireless impact of the Commission’s proposal on requirements. broadband services. To what extent small entities. The matters discussed in should mobile wireless providers be the Bureaus’ Public Notice do not 1. Transparency permitted to prevent or restrict the modify in any way the IRFA the 7. The Bureaus seek comment on distribution or use of types of Commission previously issued. what disclosure requirements are applications that may intensively use However, the Commission received appropriate to ensure that consumers network capacity, or that cause other comments concerning the IRFA with and content, application, service, and network management challenges? Is the regard to matters discussed in this device providers can make informed use of reasonable network management Public Notice. Parties that filed choices regarding use of mobile sufficient, by itself or in combination comments on the IRFA, and anyone broadband networks. What information with usage-based pricing, to address else, are invited to file comments on the should be disclosed about device and such concerns? Should mobile wireless IRFA in light of this additional notice. application requirements and providers have less discretion with certification processes? Are there any respect to applications that compete Procedural Matters existing models that could provide with services the provider offers? How Ex Parte Presentations. This matter guidance for shaping such rules? For should the ability of developers to load shall be treated as a ‘‘permit-but- instance, the Commission adopted software applications onto devices for disclose’’ proceeding in accordance with transparency requirements for licensees development or prototyping purposes be the ex parte rules. Persons making oral in the 700 MHz Upper C Block. protected? ex parte presentations are reminded that 11. The Bureaus also seek comment 2. Devices memoranda summarizing the on the extent to which certain presentations must contain summaries 8. The Bureaus seek further comment application distribution models—such of the substance of the presentations on the ability of new technologies and as a mobile broadband Internet access and not merely a listing of the subjects business models to facilitate non- service provider acting as both a discussed. More than a one- or two- harmful attachment of third-party network operator and an app store sentence description of the views and devices to mobile wireless networks. provider/curator—may affect consumer arguments presented generally is Can adherence to industry standards for choice. If providers were to be required. Other requirements pertaining mobile wireless networks ensure non- prohibited from denying or restricting to oral and written presentations are set harmful technical interoperability access to applications in their capacity forth in § 1.1206(b) of the rules. between mobile broadband devices and as network providers, should they networks? Will deployment of next- nevertheless have discretion regarding Federal Communications Commission. generation technologies (e.g., LTE) what apps are included in app stores Kirk Burgee, further facilitate interoperability? To the that they operate? Are there safe-harbor Chief of Staff, Wireline Competition Bureau. extent that compliance with technical criteria that, if met by a provider, would [FR Doc. 2010–22629 Filed 9–9–10; 8:45 am] standards needs to be validated through ameliorate potential concerns? For BILLING CODE 6712–01–P

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Notices Federal Register Vol. 75, No. 175

Friday, September 10, 2010

This section of the FEDERAL REGISTER assist them improve their productivity, use of automated collection techniques contains documents other than rules or improve profitability and enhance their or other forms of information proposed rules that are applicable to the economic competitiveness. The technology. public. Notices of hearings and investigations, information collected will provide the Comments submitted in response to committee meetings, agency decisions and MEP with information regarding MEP this notice will be summarized and/or rulings, delegations of authority, filing of included in the request for OMB petitions and applications and agency Center performance regarding the statements of organization and functions are delivery of technology, and business approval of this information collection; examples of documents appearing in this solutions to U.S.-based manufacturers. they also will become a matter of public section. The information will assist in record. determining the performance of the Dated: September 3, 2010. MEP Centers at both local and national Gwellnar Banks, DEPARTMENT OF COMMERCE levels, provide information critical to Management Analyst, Office of the Chief monitoring and reporting on MEP Information Officer. National Institute of Standards and programmatic performance, and assist [FR Doc. 2010–22560 Filed 9–9–10; 8:45 am] Technology management in policy decisions. Responses to the collection of BILLING CODE 3510–13–P Proposed Information Collection; information are mandatory per the Comment Request; National Institute regulations governing the operation of DEPARTMENT OF COMMERCE of Standards and Technology (NIST), the MEP Program (15 CFR parts 290, Manufacturing Extension Partnership 291, 292, and H.R. 1274-section 2). (MEP), Expanded Services Client National Oceanic and Atmospheric This information will include MEP Administration Impact Survey Customer inputs regarding their sales, AGENCY: National Institute of Standards costs, investments, employment, and Proposed Information Collection; and Technology (NIST). exports. Customers will take the survey Comment Request; Northeast Region online, once per year under this Gear Identification Requirements ACTION: Notice. collection. The data collected in this AGENCY: National Oceanic and SUMMARY: The Department of survey is confidential. Atmospheric Administration (NOAA). Commerce, as part of its continuing II. Method of Collection effort to reduce paperwork and ACTION: Notice. respondent burden, invites the general Information will be collected electronically. SUMMARY: The Department of public and other Federal agencies to Commerce, as part of its continuing take this opportunity to comment on III. Data effort to reduce paperwork and proposed and/or continuing information OMB Control Number: None. respondent burden, invites the general collections, as required by the Form Number: None. public and other Federal agencies to Paperwork Reduction Act of 1995. Type of Review: Regular submission. take this opportunity to comment on DATES: Written comments must be Affected Public: Business or other for- proposed and/or continuing information submitted on or before November 9, profit organizations (manufacturers collections, as required by the 2010. completing projects with MEP). Paperwork Reduction Act of 1995. ADDRESSES: Direct all written comments Estimated Number of Respondents: DATES: Written comments must be to Diana Hynek, Departmental 1,500. submitted on or before November 9, Paperwork Clearance Officer, Estimated Time per Response: 15 2010. minutes. Department of Commerce, Room 6616, ADDRESSES: Direct all written comments 14th and Constitution Avenue, NW., Estimated Total Annual Burden Hours: 375. to Diana Hynek, Departmental Washington, DC 20230 (or via the Paperwork Clearance Officer, Internet at [email protected]). Estimated Total Annual Cost to Public: $0. Department of Commerce, Room 6616, FOR FURTHER INFORMATION CONTACT: 14th and Constitution Avenue, NW., Requests for additional information or IV. Request for Comments Washington, DC 20230 (or via the copies of the information collection Comments are invited on: (a) Whether Internet at [email protected]). instrument and instructions should be the proposed collection of information FOR FURTHER INFORMATION CONTACT: directed to Christopher Carbone on is necessary for the proper performance Requests for additional information or (301) 975–2952, or via e-mail at of the functions of the agency, including copies of the information collection [email protected]. whether the information shall have instrument and instructions should be SUPPLEMENTARY INFORMATION: practical utility; (b) the accuracy of the directed to Lindsey Feldman, 978–275– agency’s estimate of the burden 2179 or [email protected]. I. Abstract (including hours and cost) of the SUPPLEMENTARY INFORMATION: Sponsored by the National Institute of proposed collection of information; (c) Standards and Technology (NIST), the ways to enhance the quality, utility, and I. Abstract Manufacturing Extension Partnership clarity of the information to be Under the Magnuson-Stevens Fishery (MEP) is a national network of locally collected; and (d) ways to minimize the Conservation and Management Act based manufacturing extension centers burden of the collection of information (MSA), the Secretary of Commerce working with small manufacturers to on respondents, including through the (Secretary) has the responsibility for the

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conservation and management of marine IV. Request for Comments directed to Callie Conroy, Senior Import fishery resources. Much of this Comments are invited on: (a) Whether Policy Analyst, phone number 202– responsibility has been delegated to the the proposed collection of information 482–0754, fax number 202–501–7952, or National Oceanic and Atmospheric is necessary for the proper performance via the Internet at Administration (NOAA)/National of the functions of the agency, including [email protected]. Marine Fisheries Service (NMFS). whether the information shall have SUPPLEMENTARY INFORMATION: Under this stewardship role, the practical utility; (b) the accuracy of the I. Abstract Secretary was given certain regulatory agency’s estimate of the burden authorities to ensure the most beneficial (including hours and cost) of the The Departments of Commerce (DOC) uses of these resources. One of the proposed collection of information; and Homeland Security (DHS) are regulatory steps taken to carry out the (c) ways to enhance the quality, utility, required to determine whether nonprofit conservation and management and clarity of the information to be institutions established for scientific or objectives is to collect data from users collected; and (d) ways to minimize the educational purposes are entitled to of the resource. burden of the collection of information duty-free entry for scientific instruments Regulations at 50 CFR 648.84(a), (b), on respondents, including through the the institutions import under the and (d), § 648.123(b)(3), § 648.144(b)(1), use of automated collection techniques Florence Agreement. Form ITA–338P § 648.264(a)(5), and § 697.21(a) and (b) or other forms of information enables: (1) DHS to determine whether require that Federal fishing permit technology. the statutory eligibility requirements for holders using specified fishing gear Comments submitted in response to the institution and the instrument are mark that gear with specified this notice will be summarized and/or fulfilled, and (2) DOC to make a information for the purposes of included in the request for OMB comparison and finding as to the identification (e.g., U.S. Coast Guard approval of this information collection; scientific equivalency of comparable official vessel number, Federal permit they also will become a matter of public instruments being manufactured in the number, or other methods identified in record. United States. Without the collection of the regulations). The regulations also Dated: September 7, 2010. the information, DHS and DOC would specify how the gear is to be marked for not have the necessary information to Gwellnar Banks, the purposes of visibility (e.g., buoys, carry out the responsibilities of radar reflectors, or other methods Management Analyst, Office of the Chief determining eligibility for duty-free Information Officer. identified in the regulations). The entry assigned by law. number of gear in the case of longline, [FR Doc. 2010–22613 Filed 9–9–10; 8:45 am] pots, and traps is not the number of BILLING CODE 3510–22–P II. Method of Collection hooks, pots, or traps, but rather the A copy of Form ITA–338P is provided number of attached end lines associated on and downloadable from a Web site with each string of hooks, pots, or traps. DEPARTMENT OF COMMERCE at http://ia.ita.doc.gov/sips/ A single Federal permit holder may be appform.html or the potential applicant International Trade Administration responsible for marking several strings may request a copy from the of a given type of gear, or may use Proposed Information Collection; Department. The applicant completes multiple different gear types that require Comment Request; Request for Duty- the form and then forwards it via mail marking for identification and visibility. Free Entry of Scientific Instrument or to DHS. The display of the identifying characters Apparatus Upon acceptance by DHS as a valid on fishing gear aids in fishery law application, the application is enforcement, and the marking of gear for AGENCY: International Trade transmitted to Commerce for further visibility increases safety at sea. Administration. processing. ACTION: Notice. II. Method of Collection III. Data No information is submitted to the SUMMARY: The Department of OMB Control Number: 0625–0037. NMFS as a result of this collection. The Commerce, as part of its continuing Form Number(s): ITA–338P. vessel official number or other means of effort to reduce paperwork and Type of Review: Regular submission. identification specified in the respondent burden, invites the general Affected Public: State or local regulations must be affixed to the buoy public and other Federal agencies to government; Federal government; not- or other marker specified in the take this opportunity to comment on for-profit institutions. regulations. proposed and/or continuing information Estimated Number of Respondents: collections, as required by the 65. III. Data Paperwork Reduction Act of 1995. Estimated Time per Response: 2 OMB Control Number: 0648–0351. DATES: Written comments must be hours. Form Number: None. submitted on or before November 9, Estimated Total Annual Burden Type of Review: Regular submission. 2010. Hours: 130. Affected Public: Individuals and Estimated Total Annual Cost to households, business or other for-profit ADDRESSES: Direct all written comments Public: $2,138. to Diana Hynek, Departmental organizations. IV. Request for Comments Estimated Number of Respondents: Paperwork Clearance Officer, 6,845. Department of Commerce, Room 6616, Comments are invited on: (a) Whether Estimated Time per Response: 1 14th and Constitution Avenue, NW., the proposed collection of information minute per string of gear. Washington, DC 20230 (or via the is necessary for the proper performance Estimated Total Annual Burden Internet at [email protected]). of the functions of the agency, including Hours: 23,480. FOR FURTHER INFORMATION CONTACT: whether the information shall have Estimated Total Annual Cost to Requests for additional information or practical utility; (b) the accuracy of the Public: $69,920 in recordkeeping/ copies of the information collection agency’s estimate of the burden reporting costs. instrument and instructions should be (including hours and cost) of the

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proposed collection of information; (c) medium-sized companies, export their IV. Request for Comments ways to enhance the quality, utility, and products and services to global markets. Comments are invited on: (a) Whether clarity of the information to be Additionally, the CS plays a leading role the proposed collection of information collected; and (d) ways to minimize the in achieving the President’s National is necessary for the proper performance burden of the collection of information Export Initiative and doubling exports of the functions of the agency, including on respondents, including through the within five years. To achieve its whether the information shall have use of automated collection techniques mission, the CS provides U.S. practical utility; (b) the accuracy of the or other forms of information businesses with a range of export agency’s estimate of the burden technology. assistance services and resources (including hours and cost) of the Comments submitted in response to including export counseling from one of proposed collection of information; (c) this notice will be summarized and/or our domestic Export Assistance Centers, ways to enhance the quality, utility, and included in the request for OMB educational webinars and seminars, an clarity of the information to be approval of this information collection; export-focused Web site (http:// collected; and (d) ways to minimize the they also will become a matter of public www.export.gov), a trade-related help burden of the collection of information record. line (1–800–USA–TRAD(E)), on respondents, including through the international industry research, Dated: September 7, 2010. use of automated collection techniques international business partner match- Gwellnar Banks, or other forms of information making services and basic due diligence Management Analyst, Office of the Chief technology. Information Officer. services on potential international partners. Comments submitted in response to [FR Doc. 2010–22614 Filed 9–9–10; 8:45 am] The CS relies on client feedback to this notice will be summarized and/or BILLING CODE 3510–DS–P guide the development of services to included in the request for OMB meet client’s needs and to improve the approval of this information collection; they also will become a matter of public DEPARTMENT OF COMMERCE effectiveness of its export assistance services. The CS uses an Annual record. International Trade Administration Customer Satisfaction Survey to Dated: September 7, 2010. measure client’s overall satisfaction Gwellnar Banks, Proposed Information Collection; with the full array of services and Management Analyst, Office of the Chief Comment Request; Commercial experiences they have had with the CS Information Officer. Service Annual Customer Satisfaction on an annual basis. The survey [FR Doc. 2010–22615 Filed 9–9–10; 8:45 am] Survey specifically addresses: Client service BILLING CODE 3510–FP–P principles, export assistance services AGENCY: International Trade and business practices. Administration. The Annual Customer Satisfaction DEPARTMENT OF COMMERCE ACTION: Notice. Survey results enable the CS to prioritize the allocation of time, budget National Institute of Standards and SUMMARY: The Department of and resources to improve the export Technology Commerce, as part of its continuing assistance services provided to U.S. effort to reduce paperwork and companies. Without this information, Proposed Information Collection; respondent burden, invites the general the CS is unable to systematically Comment Request; National Institute public and other Federal agencies to determine the actual and relative levels of Standards and Technology (NIST), take this opportunity to comment on of performance for attributes, identify Manufacturing Extension Partnership proposed and/or continuing information the drivers or determinants of overall (MEP) Expanded Services Center collections, as required by the satisfaction, and provide clear, Information and Reporting System Paperwork Reduction Act of 1995. actionable insights for managerial AGENCY: National Institute of Standards DATES: Written comments must be intervention. submitted on or before November 9, and Technology (NIST). 2010. II. Method of Collection ACTION: Notice. ADDRESSES: Direct all written comments The survey is deployed to a randomly SUMMARY: The Department of to Diana Hynek, Departmental selected sample of CS clients via an e- mail message containing a link to a web- Commerce, as part of its continuing Paperwork Clearance Officer, effort to reduce paperwork and Department of Commerce, Room 6625, enabled questionnaire. Two reminder messages are sent as needed to respondent burden, invites the general 14th and Constitution Avenue, NW., public and other Federal agencies to Washington, DC 20230 (or via the encourage customers to complete the questionnaire. take this opportunity to comment on Internet at [email protected]). proposed and/or continuing information FOR FURTHER INFORMATION CONTACT: III. Data collections, as required by the Requests for additional information or OMB Control Number: 0625–0262. Paperwork Reduction Act of 1995. copies of the information collection Form Number(s): Not applicable. DATES: Written comments must be instrument and instructions should be Type of Review: Regular submission. directed to Susan Crawford, 202–482– submitted on or before November 9, Affected Public: Business or for-profit 2010. 2050, [email protected], 202– organizations. Estimated Number of 482–2599. Respondents: 2,500. ADDRESSES: Direct all written comments SUPPLEMENTARY INFORMATION: Estimated Time per Response: 15 to Diana Hynek, Departmental minutes. Paperwork Clearance Officer, I. Abstract Estimated Total Annual Burden Department of Commerce, Room 6616, The U.S. Commercial Service (CS) is Hours: 625. 14th and Constitution Avenue, NW., mandated by Congress to help U.S. Estimated Total Annual Cost to Washington, DC 20230 (or via the businesses, particularly small and Public: $0. Internet at [email protected]).

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FOR FURTHER INFORMATION CONTACT: of the functions of the agency, including SUPPLEMENTARY INFORMATION: Requests for additional information or whether the information shall have I. Abstract copies of the information collection practical utility; (b) the accuracy of the instrument and instructions should be agency’s estimate of the burden This request is for a revision and directed to Christopher Carbone on (including hours and cost) of the renewal of a currently approved (301) 975–2952, or via e-mail at proposed collection of information; (c) information collection. [email protected]. ways to enhance the quality, utility, and National Marine Fisheries Service (NMFS) Northeast Region manages the SUPPLEMENTARY INFORMATION: clarity of the information to be collected; and (d) ways to minimize the Atlantic sea scallop (scallop) fishery of I. Abstract burden of the collection of information the Exclusive Economic Zone (EEZ) off Sponsored by the National Institute of on respondents, including through the the East Coast under the Atlantic Sea Standards and Technology (NIST), the use of automated collection techniques Scallop Fishery Management Plan Manufacturing Extension Partnership or other forms of information (FMP). The regulations implementing (MEP) is a national network of locally- technology. the FMP are at 50 CFR Part 648. This based manufacturing extension centers Comments submitted in response to collection includes the following working with small manufacturers to this notice will be summarized and/or reporting requirements for scallop assist them improve their productivity, included in the request for OMB vessel owners, operators, and fishery improve profitability and enhance their approval of this information collection; participants: vessel monitoring system economic competitiveness. The they also will become a matter of public (VMS) trip declarations for all scallop information collected will provide the record. vessels, including powerdown declarations; notification of access area MEP with information regarding MEP Dated: September 3, 2010. Center performance regarding the trip termination for limited access Gwellnar Banks, scallop vessels; submission of access delivery of technology, and business Management Analyst, Office of the Chief solutions to U.S.-based manufacturers. area compensation trip identification; Information Officer. submission of broken trip adjustment The collected information will assist in [FR Doc. 2010–22561 Filed 9–9–10; 8:45 am] determining the performance of the and access area trip exchange forms; BILLING CODE 3510–13–P MEP Centers at both local and national VMS purchase and installation for levels; provide information critical to individuals that purchase a Federally permitted-scallop vessel; submission of monitoring and reporting on MEP DEPARTMENT OF COMMERCE programmatic performance; and assist ownership cap forms for individual management in policy decisions. National Oceanic and Atmospheric fishing quota (IFQ) scallop vessels; Responses to the collection of Administration submission of vessel replacement, information are mandatory per the upgrade and permit history applications regulations governing the operation of Proposed Information Collection; for IFQ, Northern Gulf of Maine the MEP Program (15 CFR parts 290, Comment Request; Atlantic Sea (NGOM), and Incidental Catch (IC) 291, 292, and H.R. 1274—section 2). Scallops Amendment 10 Data scallop vessels; submission of VMS pre- The information will include center Collection landing notification form by IFQ inputs and activities including services vessels; enrollment into the State waters AGENCY: National Oceanic and delivered, clients served, center staff, exemption program; submission of Atmospheric Administration (NOAA), quarterly expenses and revenues, requests for IFQ transfers; payment of Commerce. partners and affiliates, strategic plan, cost recovery bills for IFQ vessels; sector operating plans, and client success ACTION: Notice. proposals for IFQ vessels and industry stories. No confidentiality for participants; sector operations plans for SUMMARY: The Department of approved sector proposals. information submitted is promised or Commerce, as part of its continuing provided. effort to reduce paperwork and II. Method of Collection II. Method of Collection respondent burden, invites the general Participants will submit electronic public and other Federal agencies to Information will be collected VMS transmissions and paper take this opportunity to comment on electronically, on a quarterly basis. applications by mail, facsimile, or e- proposed and/or continuing information mail. III. Data collections, as required by the III. Data OMB Control Number: None. Paperwork Reduction Act of 1995. Form Number: None. DATES: Written comments must be OMB Control Number: 0648–0491. Type of Review: Regular submission. submitted on or before November 9, Form Number: None. Affected Public: Mep-funded 2010. Type of Review: Renewal submission. Recipients (centers). Affected Public: Business or other for- ADDRESSES: Direct all written comments Estimated Number of Respondents: profits organizations. to Diana Hynek, Departmental 60. Estimated Number of Respondents: Paperwork Clearance Officer, Estimated Time per Response: 20 1,296. Department of Commerce, Room 6616, hours. Estimated Time per Response: VMS Estimated Total Annual Burden 14th and Constitution Avenue, NW., trip declaration, trip termination, Hours: 4,800. Washington, DC 20230 (or via the compensation trip identification, Estimated Total Annual Cost to Internet at [email protected]). powerdown provision, 2 minutes; Public: $50,000. FOR FURTHER INFORMATION CONTACT: broken trip adjustment and access area Requests for additional information or trip exchange, 10 minutes; VMS IV. Request for Comments copies of the information collection purchase and installation, 2 hours; IFQ Comments are invited on: (a) Whether instrument and instructions should be ownership cap forms, 5 minutes; vessel the proposed collection of information directed to Peter Christopher, 978–281– replacement, upgrade and permit is necessary for the proper performance 9288 or [email protected]. history applications, 3 hours; VMS pre-

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landing notification form, 5 minutes; DATES: Written comments must be former fishermen in New England in VMS State waters exemption program, 2 submitted on or before November 9, 2009/2010 partially captured this minutes; quota transfers, 10 minutes; 2010. baseline for fisheries in general, as well cost recovery, 2 hours; sector proposals, ADDRESSES: Direct all written comments as some immediate post-implementation 150 hours; sector operations plans, 100 to Diana Hynek, Departmental impacts for groundfishermen in that hours; IFQ, Northern Gulf of Maine, and Paperwork Clearance Officer, region. This research aims to study the incidental catch vessel VMS Department of Commerce, Room 6616, immediate post-implementation effects requirements, 2 minutes. 14th and Constitution Avenue, NW., on fishermen in the groundfish fishery Estimated Total Annual Burden Washington, DC 20230 (or via the and those that have already exited the Hours: 11,322. Internet at [email protected]). fishery in the Mid-Atlantic, as well as provide a baseline for other fisheries Estimated Total Annual Cost to FOR FURTHER INFORMATION CONTACT: prior to any implementation of Public: $1,488,557. Requests for additional information or additional catch share programs. copies of the information collection IV. Request for Comments The data collected will provide a instrument and instructions should be baseline description of the affected Comments are invited on: (a) Whether directed to Lisa L. Colburn, (401) 782– industry to compare with future the proposed collection of information 3253 or [email protected]. assessments of fishermen and cover is necessary for the proper performance SUPPLEMENTARY INFORMATION: of the functions of the agency, including (1) Participation in sectors and the whether the information shall have I. Abstract management process, (2) job satisfaction, and (3) self-reported practical utility; (b) the accuracy of the This request is for new information general well-being. This information agency’s estimate of the burden collection. (including hours and cost) of the Social Impact Assessment (SIA) is will lead to a greater understanding of proposed collection of information; (c) required in fisheries under both the the social impacts this management ways to enhance the quality, utility, and National Environmental Policy Act (42 measure may have on the individuals in clarity of the information to be U.S.C. 4321 et seq.) and the Magnuson- the fishery. To achieve these goals it is critical to collected; and (d) ways to minimize the Stevens Fishery Conservation and collect the necessary data immediately burden of the collection of information Management Act (16 U.S.C. 1801 et after the implementation of the program. on respondents, including through the seq.). use of automated collection techniques The required information is used to This study is a post-implementation or other forms of information evaluate the impacts of the proposed data collection effort to achieve the technology. activity on fishermen still involved in stated objectives. Comments submitted in response to fishing since catch shares were II. Method of Collection this notice will be summarized and/or implemented. In promulgating and The surveys will be conducted by included in the request for OMB issuing regulations, National Marine in-person interviews. approval of this information collection; Fisheries Service (NMFS) must they also will become a matter of public determine the relative impacts of III. Data record. different management measures. OMB Control Number: None. Dated: September 3, 2010. Catch shares are being highly Form Number: None. encouraged as a core strategy to improve Gwellnar Banks, Type of Review: Regular submission the status of fish stock and habitat, and (new information collection). Management Analyst, Office of the Chief also the social and economic status of Information Officer. Affected Public: Individuals or communities and individual fishermen [FR Doc. 2010–22575 Filed 9–9–10; 8:45 am] households. (NOAA Draft Catch Share Policy). The Estimated Number of Respondents: BILLING CODE 3510–22–P use of catch share programs will have an 300. impact on those individuals Estimated Time per Response: participating in the affected fisheries. DEPARTMENT OF COMMERCE 25 minutes. Possible impacts include loss of Estimated Total Annual Burden National Oceanic and Atmospheric employment opportunities and Hours: 125. Administration shoreside infrastructure, and disruption Estimated Total Annual Cost to to social networks. Public: $0 in recordkeeping/reporting Proposed Information Collection; Amendment 16 to the Multispecies costs. Comment Request; Social Impacts of (groundfish) Fishery Management Plan, IV. Request for Comments the Implementation of a Catch Shares implemented on May 1, 2010, is the Program in the Mid-Atlantic largest catch share program in number Comments are invited on: (a) Whether of permit holders that has ever been the proposed collection of information AGENCY: National Oceanic and implemented in the U.S., and includes is necessary for the proper performance Atmospheric Administration (NOAA). 17 group quota or ‘sector’ allocations. of the functions of the agency, including ACTION: Notice. More catch share plans are in discussion whether the information shall have for the Northeast within the next several practical utility; (b) the accuracy of the SUMMARY: The Department of years. NMFS is required to assess the agency’s estimate of the burden Commerce, as part of its continuing impact of these plans as well as their (including hours and cost) of the effort to reduce paperwork and impacts relative to other management proposed collection of information; respondent burden, invites the general measures in place in the Northeast. The (c) ways to enhance the quality, utility, public and other Federal agencies to rapid implementation of the groundfish and clarity of the information to be take this opportunity to comment on catch share program made capturing a collected; and (d) ways to minimize the proposed and/or continuing information full pre-implementation baseline burden of the collection of information collections, as required by the virtually impossible. A University of on respondents, including through the Paperwork Reduction Act of 1995. Rhode Island survey of fishermen and use of automated collection techniques

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or other forms of information Standards and Technology (NIST) on Grid Interoperability, National Institute technology. carrying out duties authorized by of Standards and Technology, 100 Comments submitted in response to section 1305 of the Energy Bureau Drive, Mail Stop 8100, this notice will be summarized and/or Independence and Security Act of 2007 Gaithersburg, MD 20899–8100; fax 301– included in the request for OMB (Pub. L. 110–140). 975–4091; or via e-mail at approval of this information collection; 2. The Committee functions solely as [email protected]. they also will become a matter of public an advisory body in accordance with the All visitors to the NIST site are record. provisions of the Federal Advisory required to pre-register to be admitted. Dated: September 7, 2010. Committee Act. Anyone wishing to attend this meeting 3. The Committee shall report to the must register by close of business Gwellnar Banks, Director of NIST. Monday, September 20, 2010, in order Management Analyst, Office of the Chief 4. The Committee shall provide input to attend. Please submit your name, Information Officer. to NIST on the Smart Grid Standards, time of arrival, e-mail address, and [FR Doc. 2010–22591 Filed 9–9–10; 8:45 am] Priority, and Gaps. The Committee shall phone number to Cuong Nguyen. Non- BILLING CODE 3510–22–P provide input on the overall direction, U.S. citizens must also submit their status and health of the Smart Grid country of citizenship, title, employer/ implementation by the Smart Grid sponsor, and address. Mr. Nguyen’s e- DEPARTMENT OF COMMERCE industry, including identification of mail address is [email protected] issues and needs. Input to NIST will be National Institute of Standards and and his phone number is (301) 975– used to help guide the Smart Grid 2254. Technology Interoperability Panel activities and also Dated: September 2, 2010. Smart Grid Advisory Committee assist NIST in directing research and standards activities. Harry S. Hertz, AGENCY: National Institute of Standards 5. Upon request of the Director of Director, Baldrige National Quality Program. and Technology, Department of NIST, the Committee will prepare [FR Doc. 2010–22660 Filed 9–9–10; 8:45 am] Commerce. reports on issues affecting Smart Grid BILLING CODE 3510–13–P ACTION: Notice of open meeting. activities. Background information on the SUMMARY: The Smart Grid Advisory Committee is available at http:// DEPARTMENT OF COMMERCE Committee (SGAC or Committee), will www.nist.gov/smartgrid. hold a meeting on Wednesday, Pursuant to the Federal Advisory National Oceanic and Atmospheric September 29, 2010 from 8:30 a.m. to 5 Committee Act, 5 U.S.C. App., notice is Administration p.m. The primary purpose of this hereby given that the Smart Grid RIN 0648–XY86 meeting is to provide an orientation for Advisory Committee (SGAC) will hold a Committee members and provide an meeting on Wednesday, September 29, New England Fishery Management update on NIST’s Smart Grid program. 2010, from 8:30 a.m. until 5 p.m. The Council; Public Meeting meeting will be held in the Lecture The agenda may change to AGENCY: Room C, in the Administration Building National Marine Fisheries accommodate Committee business. The Service (NMFS), National Oceanic and final agenda will be posted on the Smart at NIST in Gaithersburg, Maryland. The primary purpose of this meeting is to Atmospheric Administration (NOAA), Grid Web site at http://www.nist.gov/ Commerce smartgrid. provide an orientation for Committee members and provide an update on ACTION: Notice of a public meeting. DATES: The SGAC will hold a meeting NIST’s Smart Grid program. The agenda on Wednesday, September 29, 2010, SUMMARY: The New England Fishery may change to accommodate Committee from 8:30 a.m. until 5 p.m. The meeting Management Council (Council) is business. The final agenda will be will be open to the public. scheduling a public meeting of its posted on the Smart Grid Web site at Habitat/MPA/Ecosystem Committee, in ADDRESSES: The meeting will be held in http://www.nist.gov/smartgrid. the Lecture Room C, in the September, 2010, to consider actions Individuals and representatives of affecting New England fisheries in the Administration Building at NIST in organizations who would like to offer Gaithersburg, Maryland. Please note exclusive economic zone (EEZ). comments and suggestions related to the Recommendations from this group will admittance instructions under the Committee’s affairs are invited to SUPPLEMENTARY INFORMATION section of be brought to the full Council for formal request a place on the agenda. On consideration and action, if appropriate. this notice. September 29, 2010, approximately one- DATES: This meeting will be held on FOR FURTHER INFORMATION CONTACT: Dr. half hour will be reserved at the end of Monday, September 27, 2010 at 9:30 George W. Arnold, National Coordinator the meeting for public comments, and a.m. for Smart Grid Interoperability, National speaking times will be assigned on a Institute of Standards and Technology, first-come, first-serve basis. The amount ADDRESSES: This meeting will be held at 100 Bureau Drive, Mail Stop 8100, of time per speaker will be determined the Hotel Viking, One Bellevue Avenue, Gaithersburg, MD 20899–8100; by the number of requests received, but Newport, RI 02840; telephone: (401) telephone 301–975–2232, fax 301–975– is likely to be about 3 minutes each. 847–3300; fax: (401) 848–4864. 4091; or via e-mail at [email protected]. Questions from the public will not be Council address: New England SUPPLEMENTARY INFORMATION: considered during this period. Speakers Fishery Management Council, 50 Water The Committee was established in who wish to expand upon their oral Street, Mill 2, Newburyport, MA 01950. accordance with the Federal Advisory statements, those who had wished to FOR FURTHER INFORMATION CONTACT: Paul Committee Act (5 U.S.C. App.). speak but could not be accommodated J. Howard, Executive Director, New on the agenda, and those who were England Fishery Management Council; Objectives and Duties unable to attend in person are invited to telephone: (978) 465–0492. 1. The Committee shall advise the submit written statements to the Office SUPPLEMENTARY INFORMATION: The Director of the National Institute of of the National Coordinator for Smart Committee will continue development

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of alternatives to minimize the impacts Permits, Conservation and Education FOR FURTHER INFORMATION CONTACT: of fishing on EFH; begin development of Division, Office of Protected Resources, Katie Marksberry or Josh Startup, AD/ alternatives to identify and protect NMFS, 1315 East-West Highway, Room CVD Operations, Office 9, Import deep-sea coral zones; review EFH 13705, Silver Spring, MD 20910; phone Administration, International Trade designation updates recommended by (301)713–2289; fax (301)713–0376; and Administration, U.S. Department of the Plan Development Team; review Southwest Region, NMFS, 501 West Commerce, 14th Street and Constitution SSC comments from 8/25/10 on Ocean Blvd., Suite 4200, Long Beach, Avenue, NW., Washington, DC 20230; applications of the Swept Area Seabed CA 90802–4213; phone (562)980–4001; telephone: (202) 482–7906 or (202) 482– Impact model and review Advisory fax (562)980–4018. 5260, respectively. Panel feedback from 8/12 meeting. FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Other topics may be discussed at the Jennifer Skidmore or Laura Morse, General Background Chair(s discretion. (301)713–2289. Although non-emergency issues not SUPPLEMENTARY INFORMATION: On On December 12, 2009, and December contained in this agenda may come December 2, 2009, notice was published 14, 2009, respectively, pursuant to before this group for discussion, those in the Federal Register (74 FR 63119) section 751(a)(2)(B)(i) of the Tariff Act ‘‘ ’’ issues may not be the subject of formal that a request for a public display of 1930, as amended ( the Act ), and 19 action during this meeting. Action will permit to import one male pilot whale, CFR 351.214(c), the Department be restricted to those issues specifically from the Kamogawa SeaWorld, Chiba, received NSR requests from Suzhou and listed in this notice and any issues Japan to Sea World of California, had Fenglian. On February 4, 2010, the arising after publication of this notice Department published in the Federal been submitted by the above-named 1 that require emergency action under organization. The requested permit has Register its initiation of these NSRs. On February 4, 2010, the Department section 305(c) of the Magnuson-Stevens been issued under the authority of the issued antidumping duty new shipper Act, provided the public has been Marine Mammal Protection Act of 1972, questionnaires to Fenglian and Suzhou. notified of the Council’s intent to take as amended (16 U.S.C. 1361 et seq.) and Between March 2010 and July 2010, the final action to address the emergency. the regulations governing the taking and Department received timely filed importing of marine mammals (50 CFR Special Accommodations original and supplemental questionnaire part 216). This meeting is physically accessible In compliance with the National responses from Suzhou and Fenglian, to people with disabilities. Requests for Environmental Policy Act of 1969 (42 respectively. On February 12, 2010, the Department sign language interpretation or other U.S.C. 4321 et seq.), a final exercised its discretion to toll the auxiliary aids should be directed to Paul determination has been made that the deadlines for all Import Administration J. Howard, Executive Director, at (978) activity proposed is categorically cases by seven calendar days due to the 465–0492, at least 5 days prior to the excluded from the requirement to February 5, through February 12, 2010, meeting date. prepare an environmental assessment or Federal Government closure. See Authority: 16 U.S.C. 1801 et seq. environmental impact statement. Memorandum to the Record from Dated: September 3, 2010. Dated: September 1, 2010. Ronald Lorentzen, DAS for Import Tracey L. Thompson, P. Michael Payne, Administration, regarding ‘‘Tolling of Acting Director, Office of Sustainable Chief, Permits, Conservation and Education Administrative Deadlines as a Result of Fisheries, National Marine Fisheries Service. Division, Office of Protected Resources, the Government Closure During the [FR Doc. 2010–22543 Filed 9–9–10; 8:45 am] National Marine Fisheries Service. Recent Snowstorm,’’ dated February 12, BILLING CODE 3510–22–S [FR Doc. 2010–22518 Filed 9–9–10; 8:45 am] 2010. BILLING CODE 3510–22–S Extension of Time Limits DEPARTMENT OF COMMERCE On July 7, 2010, the Department DEPARTMENT OF COMMERCE extended the time limits for these National Oceanic and Atmospheric preliminary results by 90 days to Administration International Trade Administration November 2, 2010.2 RIN 0648–XY41 [A–570–863] Expansion of the POR Marine Mammals; File No. 15014 Honey From the People’s Republic of When the sale of the subject China: Preliminary Intent To Rescind merchandise occurs within the POR AGENCY: National Marine Fisheries New Shipper Reviews specified by the Department’s Service (NMFS), National Oceanic and regulations but the entry occurs after the Atmospheric Administration (NOAA), AGENCY: Import Administration, POR, the specified POR may be Commerce. International Trade Administration, extended unless it would be likely to ACTION: Notice; issuance of permit. Department of Commerce. prevent the completion of the review SUMMARY: The Department is conducting within the time limits set by the SUMMARY: Notice is hereby given that two new shipper reviews (‘‘NSRs’’) Department’s regulations.3 Additionally, Sea World, LLC, 9205 South Park Center covering the period of review (‘‘POR’’) of the preamble to the Department’s Loop, Suite 400, Orlando, FL 32819 December 1, 2008, through November regulations states that both the entry [Brad Andrews, Responsible Party] has 30, 2009. Because the sales made by and the sale should occur during the been issued a permit to import one pilot Suzhou Shanding Honey Product Co., whale (Globicephala macrorhynchus) Ltd. (‘‘Suzhou’’) and Wuhu Fenglian Co., 1 See Honey from the People’s Republic of China: for public display. Ltd. (‘‘Fenglian’’) are not bona fide, we Initiation of New Shipper Antidumping Duty ADDRESSES: The permit and related have preliminarily determined to Reviews, 75 FR 5764 (February 4, 2010). rescind these NSRs. 2 See Honey From the People’s Republic of China: documents are available for review Extension of Time Limit for the Preliminary Results upon written request or by appointment DATES: Effective Date: September 10, for New Shipper Review, 75 FR 38980 (July 7, 2010). in the following office(s): 2010. 3 See 19 CFR 351.214(f)(2)(ii).

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POR, and that under ‘‘appropriate’’ whether or not a sale in a NSR is bona fides of the transaction involves circumstances the Department has the commercially reasonable, and therefore business proprietary information, a full flexibility to extend the POR.4 In this bona fide, the Department considers, discussion of the bases for our decision instance, both Suzhou and Fenglian’s inter alia, such factors as: (1) The timing to find Suzhou’s single POR sale not sales of subject merchandise were made of the sale; (2) the price and quantity; (3) bona fide is set forth in the during the POR specified by the the expenses arising from the Memorandum to the File from Katie Department’s regulations but the transaction; (4) whether the goods were Marksberry, International Trade shipment entered within thirty days resold at a profit; and (5) whether the Specialist, through Catherine Bertrand, after the end of that POR. The transaction was made on an arm’s- Program Manager, regarding Department finds that extending the length basis.7 Accordingly, the ‘‘Antidumping Duty New Shipper POR to capture these entry would not Department considers a number of Review of Honey from the People’s prevent the completion of the review factors in its bona fides analysis, ‘‘all of Republic of China: Bona Fide Analysis within the time limits set by the which may speak to the commercial of the Sale Under Review for Suzhou Department’s regulations. Therefore, the realities surrounding an alleged sale of Shanding Honey Product Co., Ltd.,’’ Department is expanding the POR for the subject merchandise.’’ 8 An dated September 2, 2010. the new shipper review of Suzhou and additional factor may be the business Fenglian by thirty days.5 practices of U.S. customers.9 In TTPC, Fenglian the court affirmed the Department’s Surrogate Country and Surrogate In analyzing Fenglian’s single POR practice of considering that ‘‘any factor Values sale to the United States, the which indicates that the sale under Department preliminarily determines On May 27, 2010, Suzhou and consideration is not likely to be typical that this sale is not bona fide, as it is Fenglian (collectively ‘‘respondents’’) of those which the producer will make not typical of Fenglian’s usual submitted market economy (‘‘ME’’) 10 in the future is relevant,’’ and found commercial practices nor is it surrogate value (‘‘SV’’) information. On that ‘‘the weight given to each factor commercially reasonable. The June 7, 2010, Petitioners 6 submitted investigated will depend on the Department reached this conclusion rebuttal surrogate value comments. No 11 circumstances surrounding the sale.’’ based on the totality of the other party submitted surrogate country Finally, in New Donghua, the CIT circumstances, including the atypical or SV data. affirmed the Department’s practice of nature of Fenglian’s POR pricing, and Scope of the Order evaluating the circumstances other proprietary circumstances surrounding a NSR sale so that a concerning the nature of Fenglian’s sale. The products covered by this order respondent does not unfairly benefit are natural honey, artificial honey Because much of our analysis regarding from an atypical sale, and obtain a lower the evidence of the bona fides of the containing more than 50 percent natural dumping margin than the producer’s honey by weight, preparations of natural transaction involves business usual commercial practice would proprietary information, a full honey containing more than 50 percent 12 dictate. Where a review is based on a discussion of the bases for our decision natural honey by weight and flavored single sale, exclusion of that sale as non- honey. The subject merchandise to find Fenglian’s single POR sale not bona fide necessarily must end the bona fide is set forth in the includes all grades and colors of honey review.13 whether in liquid, creamed, comb, cut Memorandum to the File from Josh comb, or chunk form, and whether Suzhou Startup, International Trade Specialist, through Catherine Bertrand, Program packaged for retail or in bulk form. In analyzing Suzhou’s single POR sale Manager, regarding ‘‘Antidumping Duty The merchandise subject to this order to the United States, the Department New Shipper Review of Honey from the is currently classifiable under preliminarily determines that this sale is People’s Republic of China: Bona Fide subheadings 0409.00.00, 1702.90.90 and not bona fide, as it is not typical of Analysis of the Sale Under Review for 2106.90.99 of the Harmonized Tariff Suzhou’s usual commercial practices Wuhu Fenglian Co., Ltd.,’’ dated Schedule of the United States nor is it commercially reasonable. The September 2, 2010. (‘‘HTSUS’’). Although the HTSUS Department reached this conclusion subheadings are provided for based on the totality of the Therefore, the Department is convenience and customs purposes, the circumstances, including the atypical preliminarily rescinding the NSR for Department’s written description of the nature of Suzhou’s POR pricing, and the Suzhou and Fenglian, as we have merchandise under order is dispositive. unusual business practices of Suzhou’s preliminarily determined that each Preliminary Intent To Rescind U.S. customer. Because much of our company’s single sale during the POR is analysis regarding the evidence of the not bona fide and, consequently, not Consistent with the Department’s subject to review. practice, we investigated the bona fide 7 See Tianjin Tiancheng Pharmaceutical Co., Ltd. nature of the sales made by Suzhou and v. United States, 366 F. Supp. 2d 1246, 1250 (CIT Comments Fenglian for this NSR. In evaluating 2005) (‘‘TTPC’’). 8 See Hebei New Donghua Amino Acid Co., Ltd. In accordance with 19 CFR 4 See Antidumping Duties; Countervailing Duties; v. United States, 374 F. Supp. 2d 1333, 1342 (CIT 351.301(c)(1), for the final results of Final Rule, 62 FR 27296, 27319–27320 (May 19, 2005) (‘‘New Donghua’’) (citing Fresh Garlic From these NSRs, interested parties may 1997). the People’s Republic of China: Final Results of submit factual information to rebut, Antidumping Administrative Review and Rescission 5 See Memorandum to The File, from Blaine of New Shipper Review, 67 FR 11283 (March 13, clarify, or correct factual information Wiltse, International Trade Compliance Analyst, 2002), and accompanying Issues and Decision submitted by an interested party less Office 9, regarding ‘‘Placing CBP Data on the Record Memorandum: New Shipper Review of Clipper of New Shipper Reviews of Honey from the than ten days before, on, or after, the Manufacturing Ltd.). People’s Republic of China,’’ dated January 8, 2010 applicable deadline for submission of 9 (‘‘CBP Entry Package Memo’’). See New Donghua, 374 F. Supp. 2d at 1343–44. such factual information. However, the 10 See TTPC, 366 F. Supp. 2d at 1250. 6 The Petitioners are the members of the Department notes that 19 CFR American Honey Producers Association and the 11 See id. at 1263. Sioux Honey Association (hereinafter referred to as 12 See New Donghua, 374 F. Supp. 2d at 1338. 351.301(c)(1) permits new information ‘‘Petitioners’’). 13 See TTPC, 366 F. Supp. 2d at 1249. only insofar as it rebuts, clarifies, or

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corrects information recently placed on rate applicable to the exporter. These pursuant to the FTZ Act and the Board’s the record.14 cash deposit requirements, when regulations; and Interested parties may submit case imposed, shall remain in effect until Whereas, the Board adopts the briefs and/or written comments no later further notice. findings and recommendations of the than 45 days after the date of examiner’s report, and finds that the Notification to Importers publication of these preliminary results requirements of the FTZ Act and of this NSR. See 19 CFR 351.309(c)(ii). This notice serves as a preliminary Board’s regulations are satisfied, and Rebuttal briefs and rebuttals to written reminder to importers of their that the proposal is in the public comments, limited to issues raised in responsibility under 19 CFR interest; such briefs or comments, may be filed 351.402(f)(2) to file a certificate Now, therefore, the Board hereby no later than 5 days after the deadline regarding the reimbursement of orders: for submitting the case briefs. See 19 antidumping duties prior to liquidation The application to reorganize FTZ 170 CFR 351.309(d). The Department of the relevant entries during this POR. under the alternative site framework is requests that interested parties provide Failure to comply with this requirement approved, subject to the FTZ Act and an executive summary of each argument could result in the Secretary’s the Board’s regulations, including contained within the case briefs and presumption that reimbursement of Section 400.28, to the Board’s standard rebuttal briefs. antidumping duties occurred and the 2,000-acre activation limit for the Any interested party may request a subsequent assessment of double overall general-purpose zone project, hearing within 30 days of publication of antidumping duties. and to a five-year ASF sunset provision these preliminary results. See 19 CFR We are issuing and publishing this for magnet sites that would terminate 351.310(c). Requests should contain the determination in accordance with authority for Sites 2 and 3 if not following information: (1) The party’s sections 751(a)(2)(B) and 777(i) of the activated by August 31, 2015. name, address, and telephone number; Act, and 19 CFR 351.214(h) and (2) the number of participants; and (3) Signed at Washington, DC, September 3, 351.221(b)(4). 2010. a list of the issues to be discussed. Oral presentations will be limited to issues Dated: September 2, 2010. Ronald K. Lorentzen, raised in the briefs. If we receive a Ronald K. Lorentzen, Deputy Assistant Secretary for Import request for a hearing, we plan to hold Deputy Assistant Secretary for Import Administration, Alternate Chairman, Foreign- Trade Zones Board. the hearing seven days after the Administration. deadline for submission of the rebuttal [FR Doc. 2010–22650 Filed 9–9–10; 8:45 am] Andrew McGilvray, briefs at the U.S. Department of BILLING CODE 3510–DS–P Executive Secretary. Commerce, 14th Street and Constitution [FR Doc. 2010–22668 Filed 9–9–10; 8:45 am] Avenue, NW., Washington, DC 20230. BILLING CODE 3510–DS–P The Department intends to issue the DEPARTMENT OF COMMERCE final results of this NSR, which will include the results of its analysis raised Foreign-Trade Zones Board COMMITTEE FOR PURCHASE FROM in any such comments, within 90 days [Order No. 1704] PEOPLE WHO ARE BLIND OR of publication of these preliminary SEVERELY DISABLED results, pursuant to section Reorganization of Foreign-Trade Zone 751(a)(2)(B)(iv) of the Act. 170 Under Alternative Site Framework; Procurement List Proposed Additions Cash Deposit Requirements Jeffersonville, IN AGENCY: Committee for Purchase From The following cash deposit Pursuant to its authority under the Foreign- People Who Are Blind or Severely requirements will be effective upon Trade Zones Act of June 18, 1934, as Disabled. publication of the final results of this amended (19 U.S.C. 81a–81u), the Foreign- ACTION: Proposed Additions to the NSR for all shipments of subject Trade Zones Board (the Board) adopts the Procurement List. merchandise from Suzhou or Fenglian following Order: SUMMARY: entered, or withdrawn from warehouse, Whereas, the Board adopted the The Committee is proposing for consumption on or after the alternative site framework (ASF) in to add products and services to the publication date, as provided for by December 2008 (74 FR 1170, 01/12/09; Procurement List that will be furnished section 751(a)(2)(C) of the Act: (1) For correction 74 FR 3987, 01/22/09) as an by nonprofit agencies employing subject merchandise produced and option for the establishment or persons who are blind or have other exported by Suzhou or Fenglian, the reorganization of general-purpose zones; severe disabilities. Comments must be received on or cash deposit rate will continue to be the Whereas, the Ports of Indiana, grantee before: 10/11/2010. PRC-wide rate (i.e., $2.63 per kilogram); of Foreign-Trade Zone 170, submitted (2) for subject merchandise exported by an application to the Board (FTZ Docket ADDRESSES: Committee for Purchase Suzhou or Fenglian but not 12–2010, filed 2/22/2010) for authority From People Who Are Blind or Severely manufactured by Suzhou or Fenglian, to reorganize under the ASF with a Disabled, Jefferson Plaza 2, Suite 10800, the cash deposit rate will continue to be service area that includes Jackson, 1421 Jefferson Davis Highway, the PRC-wide rate (i.e., $2.63 per Washington, Harrison, Floyd, Clark and Arlington, Virginia 22202–3259. kilogram); and (3) for subject Scott Counties, Indiana, within and For Further Information or to Submit merchandise manufactured by Suzhou adjacent to the Louisville Customs and Comments Contact: Barry S. Lineback, or Fenglian, but exported by any other Border Protection port of entry, and FTZ Telephone: (703) 603–7740, Fax: (703) party, the cash deposit rate will be the 170’s existing sites would be categorized 603–0655, or e-mail as magnet sites; [email protected]. 14 See Glycine from the People’s Republic of Whereas, notice inviting public SUPPLEMENTARY INFORMATION: China: Final Results of Antidumping Duty Administrative Review and Final Rescission in Part, comment was given in the Federal This notice is published pursuant to 72 FR 58809 (October 17, 2007), and accompanying Register (75 FR 11514, 3/11/10) and the 41 U.S.C 47(a)(2) and 41 CFR 51–2.3. Its Issues and Decision Memorandum at Comment 2. application has been processed purpose is to provide interested persons

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an opportunity to submit comments on NSN: 8415–01–538–8747—Drawers Size COMMODITY FUTURES TRADING the proposed actions. Large Long COMMISSION NSN: 8415–01–538–8750—Drawers Size X Additions Large Regular Performance of Registration Functions If the Committee approves the NSN: 8415–01–538–8751—Drawers Size X by National Futures Association With proposed additions, the entities of the Large Long Respect to Retail Foreign Exchange Federal Government identified in this NSN: 8415–01–545–7672—Drawers Size X Dealers and Associated Persons notice will be required to procure the Small Short products and services listed below from NSN: 8415–01–545–7676—Drawers Size X AGENCY: Commodity Futures Trading nonprofit agencies employing persons Small Regular Commission who are blind or have other severe NSN: 8415–01–545–7717—Drawers Size ACTION: Notice and order disabilities. Small Short NSN: 8415–01–545–7768—Drawers Size SUMMARY: The Commodity Futures Regulatory Flexibility Act Certification Small Long Trading Commission (‘‘Commission’’ or I certify that the following action will NSN: 8415–01–545–7810—Drawers Size ‘‘CFTC’’) is authorizing the National not have a significant impact on a Medium Long Futures Association (‘‘NFA’’), effective substantial number of small entities. NSN: 8415–01–545–7960—Drawers Size X September 10, 2010, to process and The major factors considered for this Large X Long grant applications for initial registration, certification were: NSN: 8415–01–545–7965—Drawers Size renewed registration and withdrawals of 1. If approved, the action will not XX Large Regular retail foreign exchange dealers result in any additional reporting, NSN: 8415–01–545–7966—Drawers Size (‘‘RFEDs’’) and their associated persons recordkeeping or other compliance XX Large Long (‘‘APs’’) and to issue temporary licenses requirements for small entities other NSN: 8415–01–545–7968—Drawers Size to eligible APs; to conduct proceedings than the small organizations that will XX Large X Long to deny, condition, suspend, restrict or NPAs: New Horizons Rehabilitation furnish the products and services to the revoke the registration of any RFED or Services, Inc., Auburn Hills, MI AP of an RFED, or an applicant for Government. Peckham Vocational Industries, Inc., 2. If approved, the action will result registration in either category; and to Lansing, MI Contracting Activity: Defense maintain records regarding RFEDs and in authorizing small entities to furnish Logistics Agency, Defense Supply Center their APs, and to serve as the official the products and services to the Philadelphia, Philadelphia, PA custodian of those Commission records. Government. Coverage: C–List for an additional 25% of 3. There are no known regulatory the requirement of the Department of DATES: Effective Date: September 10, alternatives which would accomplish Defense, as aggregated by the Defense 2010. the objectives of the Javits-Wagner- Logistics Agency Troop Support, FOR FURTHER INFORMATION CONTACT: For O’Day Act (41 U.S.C. 46–48c) in Philadelphia, PA. Note that 75% of this information contact: William Penner, connection with the products and requirement is already on the PL; this Deputy Director, Division of Clearing services proposed for addition to the addition will bring the total to 100% of the and Intermediary Oversight, 1155 21st Procurement List. requirement. Comments on this certification are Street, NW, Washington, DC 20581. invited. Commenters should identify the Services: Telephone number: 202–418–5450; statement(s) underlying the certification Service Type/Locations: Custodial Service, facsimile number: 202–418–5547; and on which they are providing additional USARC Mare Island, 1481 Railroad Ave., electronic mail: [email protected]. information. Vallejo, CA. USARC Hunter Hall, 2600 Christopher Cummings, Special Castro Rd., San Pablo, CA. Counsel, Division of Clearing and End of Certification NPA: Solano Diversified Services, Vallejo, Intermediary Oversight, 1155 21st The following products and services CA. Street, NW., Washington, DC 20581. are proposed for addition to Contracting Activity: Dept of the Army, XR Telephone number (202) 418–5450; Procurement List for production by the W6BB ACA Presidio of Monterey, facsimile number: 202–418–5547; and nonprofit agencies listed: Presidio of Monterey, CA. electronic mail: [email protected]. Service Type/Location: Janitorial Service, SUPPLEMENTARY INFORMATION: Products: Anchorage FAA Tower/TRACON, 5200 NSN: 8470–00–NSH–0030—Improved West International Airport Road, I. Authority and Background Oxygen Harness Anchorage, AK. In a separate document published NSN: 8470–00–NSH–0031—Center NPA: MQC Enterprises, Inc., Anchorage, AK. elsewhere in today’s Federal Register, Mounted Weapon Harness Contracting Activity: Dept of Transportation, NPA: Employment Source, Inc., the Commission is issuing final rules Federal Aviation Administration, Fayetteville, NC regarding the regulation of off-exchange Contracting Activity: Dept of the Army, XR Northwest/Mountain REG, LOG. DIV retail foreign exchange transactions and W2DF RDECOM ACQ CTR, NATICK, (ANM–55), Renton, WA. intermediaries. The final rules follow MA Service Type/Location: Custodial Service, the publication of proposed rules on Isle Royale National Park, Houghton, MI. COVERAGE: C–List for 100% of the January 20, 2010,1 and represent a NPA: Goodwill Industries of Northern requirements of the U.S. Army, as comprehensive regulatory scheme to aggregated by the Department of the Wisconsin and Upper Michigan, Army Research, Development, & Marinette, WI Contracting Activity: implement the requirements of the Engineering Command, Natick, MA. National Park Service, Midwest Region, CFTC Reauthorization Act of 2008 Major Acquisition Buying Office, (‘‘CRA’’) with regard to off-exchange Cold Weather Midweight Drawers (GEN III) 2 Sagamore Hills, OH. retail forex transactions. The NSN: 8415–01–538–8727—Drawers Size Small Regular Barry S. Lineback, 1 See Regulation of Off-Exchange Retail Foreign NSN: 8415–01–538–8730—Drawers Size Director, Business Operations. Exchange Transactions and Intermediaries; Medium Regular Proposed Rule, 75 FR 3282 (Jan. 20, 2010). [FR Doc. 2010–22621 Filed 9–9–10; 8:45 am] NSN: 8415–01–538–8745—Drawers Size 2 Food, Conservation, and Energy Act of 2008, Large Regular BILLING CODE 6353–01–P Pub. L. 110–246, 122 Stat. 1651, 2189–2201 (2008).

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Commodity Exchange Act (‘‘Act’’),3 as licenses to eligible APs; and conducting these records as may be acceptable to amended by the CRA, provides that the proceedings to deny, condition, the Commission; to facilitate prompt Commission’s jurisdiction extends to suspend, restrict or revoke the access to these records by the off-exchange contracts of sale of a registration of existing registrants or Commission and its staff; to facilitate commodity for future delivery (or an applicants for registration in each disclosure of public or nonpublic option on such a contract) or an option category.6 By today’s order the information in those records when (other than an option executed or traded Commission authorizes NFA to perform permitted by Commission Orders or on a national securities exchange), and these functions with regard to RFEDs rules, and to keep logs as required by to certain off-exchange leveraged or and their APs. the Commission concerning disclosures margined contracts in foreign currency As proposed and adopted, of nonpublic information; and otherwise that are offered to or entered into with Commission Regulations 5.3(a)(4) and to safeguard the confidentiality of the retail customers. Moreover, the CRA (6) require all those who meet the records. provides the Commission with the definition of an RFED, and any such authority to register persons serving as associated persons of RFEDs to register II. Conclusion and Order intermediaries or counterparties to these with the Commission in accordance The Commission has determined, in transactions. with part 3 of the Commission’s Specifically, the CRA gives the Regulations. (17 CFR 3.1, et seq.) accordance with the provisions of Commission the authority to require the Commission Regulation 3.2 provides Sections 2(c)(2)(B), 2(c)(2)(C), and 8a(10) registration of intermediaries who that the registration functions of the of the Act, to authorize NFA, effective solicit retail customers to participate in Commission are to be performed by the September 10, 2010 to perform the off-exchange forex contracts, who pool National Futures Association. Upon following registration functions: customer money for the purpose of consideration, the Commission has (1) To process and grant applications trading off-exchange currency contracts determined to authorize NFA, effective for initial registration, renewed or who manage customer money for this September 10, 2010, to perform registration and withdrawals from purpose. In the final rules published registration functions with regard to registration of retail foreign exchange today, the Commission has determined RFEDs and their APs as set forth in part dealers (‘‘RFEDs’’) and their associated that these entities should be registered 3 of the Commission’s Regulations. persons (‘‘APs’’) and to issue temporary in the existing categories of introducing Moreover, Section 17(o)(2) of the Act licenses to eligible APs; broker (‘‘IB’’), commodity pool operator provides that the Commission may (2) To conduct proceedings to deny, (‘‘CPO’’), or commodity trading advisor authorize a registered futures condition, suspend, restrict or revoke (‘‘CTA’’), as appropriate. association, such as NFA, to perform the registration of any RFED or AP of an The CRA also authorizes the Commission registration functions, to RFED, or any applicant for registration Commission to register entities that deny, condition, suspend, restrict or in either category; and serve as counterparties to such revoke any registration, subject to transactions, either within the existing Commission review.7 The Commission (3) To maintain records regarding category of futures commission is therefore also authorizing NFA to take RFEDs and their APs, and to serve as the merchant (‘‘FCM’’) or as an RFED, a new such actions with regard to RFED and official custodian of those Commission category of registrant. RFEDs are AP applicants as well as existing records. counterparties not engaged primarily or registrants in each of these categories. NFA shall perform these functions in substantially in the offer and sale of The Commission further notes that it accordance with the standards exchange-traded futures (as opposed to has, by prior orders, authorized NFA to established by the Act and the FCMs, which are).4 The CRA provides maintain various Commission regulations promulgated thereunder. that RFEDs, their APs, and each of the registration records, and has certified NFA shall follow the same procedures other categories of registrants discussed NFA as the official custodian of such with respect to recordkeeping, above, must be members of a registered records for the Commission.8 The disclosure and tracking of fitness futures association such as the National Commission has determined, in investigations and adverse action Futures Association (‘‘NFA’’) and must accordance with its authority under proceedings concerning RFEDs and register with the Commission subject to section 8a(10) of the Act, to authorize their APs as it must follow in cases such terms as the Commission may NFA to maintain and serve as official involving FCMs, IBs, CPOs, CTAs, and prescribe.5 custodian of the Commission’s their respective APs. The CFTC has previously authorized registration records with respect to NFA to perform the full range of RFEDs and their APs. These determinations are based upon registration functions with regard to In maintaining the Commission’s the Congressional intent expressed in FCMs, IBs, CTAs, CPOs and their registration records pursuant to this sections 2(c)(2)(B), 2(c)(2)(C), 8a(10) and respective APs, including granting Order, NFA shall be subject to all other 17(o) of the Act. This Order does not, applications for initial registration and requirements and obligations imposed however, authorize NFA to accept or act renewed registration; enabling upon it by the Commission in existing upon requests for exemption from withdrawals and issuing temporary or future Orders or regulations. In this registration, or to render ‘‘no-action’’ or regard, NFA shall also implement such interpretive letters with respect to 3 7 U.S.C. 1, et seq. additional procedures (or modify applicable registration requirements. 4 Previously, firms serving as counterparties to existing procedures) as are necessary to Nothing in this Order, or in sections retail forex typically registered as FCMs, even ensure the security and integrity of though they may not have engaged in exchange- 2(c)(2)(B), 2(c)(2)(C), 8a(10) and 17(o) of traded futures business. Under the CRA, either the Act, shall affect the Commission’s FCMs or RFEDs can offer to serve as counterparties 6 See 48 FR 15940 (Apr. 13, 1983); 48 FR 35158 authority to review the performance by to retail forex transactions, but the entity must (Aug. 3, 1983); 48 FR 51809 (Nov. 14, 1983); 49 FR NFA of Commission registration register as an FCM if primarily and substantially 8226 (Mar. 5, 1984); 49 FR 39593 (Oct. 9, 1984); and 9 engaged in on-exchange trading, or an RFED if not. 50 FR 34885 (Aug. 28, 1985). functions. See, 7 U.S.C. 2(c)(2)(B)(i)(II)(cc) and (gg) and 7 7 7 U.S.C. 21(o)(2). U.S.C. 2(c)(2)(C)(i). 8 See 49 FR 39593 (Oct. 9, 1984) and 66 FR 43227 9 See also section 17(o)(3) of the Act, 7 U.S.C. 5 Id. (Aug. 17, 2001). 21(o)(3).

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Issued in Washington, DC, on August 26, assets to promote more effective training SUPPLEMENTARY INFORMATION: A CAB 2010. and force management. The PEIS will consists of approximately 120 David A. Stawick, evaluate the environmental impacts helicopters, 600 wheeled vehicles, and Secretary of the Commission. associated with the proposed action, 2,700 Soldiers. The CAB is organized [FR Doc. 2010–21726 Filed 9–9–10; 8:45 am] which includes the construction and into five battalions and a headquarters BILLING CODE P renovation of garrison facilities and unit. CAB units include combat, additional training needed to support reconnaissance, and logistics support the establishment and realignment of aircraft. CONSUMER PRODUCT SAFETY aviation units. The National Environmental Policy The Army is considering the COMMISSION Act (NEPA) of 1969 (42 U.S.C. et seq.) following alternatives in the PEIS: (1) and Federal Regulations (40 CFR part Realign and consolidate existing Sunshine Act Meetings 1500 et seq. and 32 CFR part 651) aviation elements of up to a full CAB at require the Army to consider the TIME AND DATE: Wednesday, September Fort Carson (CO) or Joint Base Lewis- environmental impact of its actions and 15, 2010, 10 a.m.–11 a.m. McChord (WA); (2) implement those alternatives and to solicit the views of PLACE: actions discussed in Alternative 1; in Hearing Room 420, Bethesda the public in order to make a final addition, establish a new CAB and Towers, 4330 East West Highway, decision on how to proceed. Bethesda, Maryland. station it at Fort Carson or Joint Base The PEIS will assess, consider, and STATUS: Commission Meeting—Open to Lewis-McChord; and, (3) No-Action the Public. Alternative that would retain the Army compare the direct, indirect, and cumulative environmental effects of MATTERS TO BE CONSIDERED: aviation force structure at its current Decisional proposed CAB growth and realignment Matter: Final Interpretative Rule: levels, configurations, and locations. No more than one additional CAB would be for each alternative. The primary Interpretation of Children’s Product. environmental issues to be analyzed A live webcast of the Meeting can be assigned to either of the stationing include (but are not limited to) impacts viewed at http://www.cpsc.gov/webcast. locations being considered. As part of to air quality, soil, airspace, cultural For a recorded message containing the Alternatives 1 and 2, aviation units resources, natural resources, noise. In latest agenda information, call (301) would conduct training on existing addition, the Army will consider those 504–7948. training land at either the Yakima Training Center (YTC) (WA) or the issues identified by the public and other CONTACT PERSON FOR MORE INFORMATION: Pinon Canyon Maneuver Site (PCMS) organizations as part of the process. Todd A. Stevenson, Office of the (CO) in order to maintain training Secretary, U.S. Consumer Product Predicted environmental impacts proficiency and support integrated Safety Commission, 4330 East West associated with the implementation of training with ground units. Land Highway, Bethesda, MD 20814, (301) the proposed action at Fort Carson and acquisition is not being considered as 504–7923. Joint Base Lewis-McChord will be part of this action. analyzed to include increases in Dated: September 7, 2010. Fort Carson and Joint Base Lewis- aviation activity, potential for wildlife Todd A. Stevenson, McChord are the only stationing disturbance, as well as additional Secretary. alternatives that meet all of the Army’s impacts to soils, biological resources, [FR Doc. 2010–22780 Filed 9–8–10; 4:15 pm] stationing requirements for new CAB surface water, and vegetation. BILLING CODE 6355–01–P stationing. These locations provide an Additional vehicle traffic and growth in existing runway and airfield, provide school population associated with an adequate maneuver and airspace for increase in Soldier populations will also DEPARTMENT OF DEFENSE CAB operations, and are equipped with be analyzed. At YTC, there is increased existing training ranges that can support potential for vegetation and habitat Department of the Army CAB training. Each location is currently degradation associated with aviation the home station of three or more training. At PCMS, cumulative impacts Preparation of a Programmatic ground maneuver Brigade Combat to soils are predicted to be manageable Environmental Impact Statement Teams (BCTs), which allows the Army with current dust control mitigation (PEIS) for the Growth, Realignment, to maximize integrated air/ground techniques. and Stationing of Army Aviation training. Joint Base Lewis-McChord and Members of the public, including Assets Fort Carson are the only major native communities and federally installations that have three or more AGENCY: Department of the Army, DoD. recognized Native American Tribes, and BCTs but no CAB dedicated to provide federal, state, and local agencies are ACTION: Notice of Intent. aviation support for training. invited to submit written comments on Additionally, Joint Base Lewis-McChord SUMMARY: The Army announces its environmental issues, concerns and has many of the existing garrison intent to prepare a PEIS for the opportunities to be analyzed in the facilities to accommodate CAB units proposed growth, realignment, and PEIS. Written comments will be while Fort Carson has space available to stationing of new and existing Army accepted for 30 days following construct additional CAB facilities. aviation assets. The proposed action publication of the Notice of Intent in the includes the consolidation and ADDRESSES: Written comments may be Federal Register. reorganization of existing aviation units, sent to: Public Affairs Office, U.S. Army and the establishment of one or more Environmental Command, Attention: Dated: September 2, 2010. Combat Aviation Brigades (CABs). The IMPA–AE, 5179 Hoadley Road, Hershell E. Wolfe, proposed action will increase the Aberdeen Proving Ground, MD 21010– Acting Deputy Assistant Secretary of the availability of rotary wing assets to meet 5401; fax (410) 436–1693; or e-mail at Army (Environment, Safety, and current and future national security [email protected]. Occupational Health). requirements and will allow the Army FOR FURTHER INFORMATION CONTACT: [FR Doc. 2010–22658 Filed 9–9–10; 8:45 am] better to organize existing aviation Public Affairs Office at (410) 436–2556. BILLING CODE 3710–08–P

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DEPARTMENT OF DEFENSE specific actions for the alternatives to at: http://www.lewis.army.mil/ implement the Proposed Action. These publicworks/sites/envir/EIA_2.htm. Department of the Army actions include troop stationing, Dated: September 1, 2010. maneuver and live-fire training, Hershell E. Wolfe, Final Environmental Impact Statement demolition of outdated facilities, and (FEIS) for Grow the Army Actions at Acting Deputy Assistant Secretary of the construction of new facilities and firing Army (Environment, Safety and Occupational Fort Lewis and the Yakima Training ranges. Center (YTC), WA Health). Four alternatives for the Proposed [FR Doc. 2010–22677 Filed 9–9–10; 8:45 am] AGENCY: Department of the Army, DoD. Action are analyzed. Under all BILLING CODE 3710–08–P ACTION: Notice of Availability (NOA). alternatives, the Soldiers would train at Fort Lewis and YTC. SUMMARY: The Department of the Army (1) The No Action alternative assumes DEPARTMENT OF DEFENSE announces the availability of an FEIS for that the Army GTA decisions would not Fort Lewis and YTC that analyzes the be implemented. Analysis of the No Department of the Army environmental impacts of implementing Action alternative serves as a baseline the decisions in the 2007 Army Growth for comparison of the other alternatives. Record of Decision (ROD) for and Force Structure Realignment Under this alternative, planned Conversion of the 3rd Armored Cavalry Programmatic EIS (also referred to as the construction that is not part of the GTA Regiment (3rd ACR) to a Stryker Grow The Army PEIS or GTA PEIS) and decisions includes troop barracks, Brigade Combat Team (SBCT) at Fort other ongoing Army realignment and recreational facilities, traffic flow Hood, TX stationing initiatives, such as the improvements and other infrastructure AGENCY: Department of the Army, DoD. potential for Combat Aviation Brigade upgrades at Fort Lewis. ACTION: Notice of Availability (NOA). (CAB) stationing that may potentially (2) The GTA alternative implements effect Fort Lewis and YTC. The the Army GTA decisions affecting Fort SUMMARY: The Department of the Army Proposed Action could station up to Lewis and YTC. Maneuver and live-fire announces a ROD for conversion of the 5,700 Soldiers and their Families at Fort training of an additional 1,900 Soldiers 3rd ACR to an SBCT at Fort Hood and Lewis. The Proposed Action includes will occur at Fort Lewis and YTC. This discusses the environmental impacts of the stationing of 1,900 Soldiers directed alternative also includes the training of this decision. After conversion, the 3rd under the GTA PEIS, the potential three Stryker Brigade Combat Teams ACR will provide the Army with a force additional stationing of up to 1,000 (SBCTs) simultaneously at Fort Lewis structure that has the flexibility to combat service support (CSS) Soldiers, and YTC. Planned new construction respond better to threats in an and the potential stationing of a includes brigade barracks complexes, unpredictable global security medium Combat Aviation Brigade the upgrade of substandard SBCT environment. The Army’s strategic (CAB) of approximately 2,800 Soldiers facilities to meet Army standards, and estimate remains that its force for a total of up to 5,700 Soldiers. After additional firing ranges at Fort Lewis requirements will best be met by a reviewing the alternatives analyzed in and YTC. robust multiweight force, composed of a the FEIS, the Army has identified (3) The CSS alternative represents the mix of Infantry BCTs and Heavy Armor Alternative 4 as its preferred alternative, potential stationing at Fort Lewis of up BCTs augmented with the protection which includes all components of the to 1,000 CSS Soldiers in addition to and versatility of an additional SBCT. GTA, CSS, and CAB alternatives (up to Alternative 2. Maneuver and live-fire The 3rd ACR at Fort Hood is being a total of 5,700 Soldiers and 8,260 training of up to 2,900 new Soldiers selected because the unit will have family members). would occur at Fort Lewis and YTC. maximum time to convert and train DATES: The waiting period for the FEIS Specific construction projects cannot be with new equipment prior to will end on September 27, 2010. identified until the types and numbers redeploying. In addition, Fort Hood is ADDRESSES: Questions or comments of CSS units are known, but new an installation capable of providing regarding the FEIS should be forwarded construction would include barracks, fully modernized training infrastructure, to: Directorate of Public Works, motor pools, classrooms, and as well as many of the existing garrison Attention: IMWE–LEW–PWE (Mr. Paul administrative facilities. support facilities required for an SBCT, T. Steucke, Jr.), Building 2012, Liggett (4) The CAB alternative represents the and has adequate maneuver space to Avenue, Box 339500 MS 17, Joint Base potential stationing at Fort Lewis of a accommodate SBCT training. The 3rd Lewis-McChord, WA 98433–9500. CAB in addition to Alternative 3. ACR will begin converting in 2012 and FOR FURTHER INFORMATION CONTACT: Mr. Maneuver and live-fire training of up to will be complete in Fiscal Year 2014. Bill Van Hoesen, Joint Base Lewis- 5,700 new Soldiers would occur at Fort With this conversion, the Army will McChord National Environmental Lewis and YTC. This maneuver would have nine SBCTs (eight Active Policy Act (NEPA) Coordinator, at (253) include the air and ground assets of the Component and one Reserve 966–1780 during normal business CAB. New construction facilities to Component). hours. support the CAB would be similar to ADDRESSES: A request for a copy of the SUPPLEMENTARY INFORMATION: On those required for Alternative 3. ROD can be sent to the Public Affairs February 1, 2010, Fort Lewis, Yakima The Army will soon initiate a Office, U.S. Army Environmental Training Center, and McChord Air Force programmatic environmental analysis Command, Building E4460, Attention: Base were designated a joint base and that may result in the stationing of a IMAE–PA, 5179 Hoadley Road, renamed ‘‘Joint Base Lewis-McChord’’; CAB or additional CAB units at Fort Aberdeen Proving Ground, MD 21010– however, the terms ‘‘Fort Lewis,’’ and Lewis. No final decisions have been 5401. ‘‘Yakima Training Center (YTC)’’ are made at the Headquarters, Department FOR FURTHER INFORMATION CONTACT: retained in the FEIS and will be used of the Army level on a CAB at this time. Lieutenant Colonel David Patterson, until the EIS process is complete. Copies of the FEIS are available at Office of the Chief of Public Affairs, The FEIS analyzes the direct, indirect, local libraries surrounding Fort Lewis Media Relations Division, at (703) 697– and cumulative impacts of the site and YTC. The FEIS can also be viewed 7592.

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SUPPLEMENTARY INFORMATION: In 2007, teleconference site is accessible to registration information to the Advisory the Department of the Army prepared a individuals with disabilities. This Committee staff office at (202) 219– Programmatic Environmental Impact notice also describes the functions of 3032. You may also contact the Statement (PEIS) as part of the Grow the the Advisory Committee. Notice of this Advisory Committee staff directly at Army initiative that evaluated the hearing is required under Section (202) 219–2099. The registration potential environmental and 10(a)(2) of the Federal Advisory deadline is Friday, September 24, 2010. socioeconomic effects associated with a Committee Act. This document is Records are kept for Advisory range of stationing alternatives for Army intended to notify the general public. Committee proceedings, and are growth and realignment. The Final PEIS Date and Time: Wednesday, available for inspection at the Office of provided the Army senior leadership September 29, 2010, beginning at 4 p.m. the Advisory Committee on Student with an assessment of environmental and ending at approximately 5:30 p.m. Financial Assistance, Capitol Place, 80 F and socioeconomic impacts that would (EST). Street, NW., Suite 413, Washington, DC be associated with the stationing of the ADDRESSES: Office of the Advisory from the hours of 9 a.m. to 5:30 p.m. different types of Army BCTs and Committee on Student Financial Monday through Friday, except Federal combat support units to include SBCTs. Assistance, Capitol Place, 80 F Street, holidays. Information regarding the This ROD determines that National NW., Room 412, Washington, DC Advisory Committee is available on the Environmental Policy Act supplemental 20202–7582. Committee’s Web site, http:// documentation is not required because FOR FURTHER INFORMATION CONTACT: Dr. www.ed.gov/ACSFA. there are no substantial changes or new William J. Goggin, Executive Director, circumstances in the proposed action Dated: September 2, 2010. Advisory Committee on Student William J. Goggin, causing any significant new Financial Assistance, Capitol Place, 80 F environmental concerns. The Executive Director, Advisory Committee on Street, NW., Suite 413, Washington, DC Student Financial Assistance. adjustments to stationing decisions 20202–7582, (202) 219–2099. result in small proportional gains to the [FR Doc. 2010–22545 Filed 9–9–10; 8:45 am] SUPPLEMENTARY INFORMATION: Soldier populations of Fort Hood and The BILLING CODE 4000–01–P are not anticipated to cause any new Advisory Committee on Student environmental impacts that are not Financial Assistance is established already addressed in the 2007 EIS. under Section 491 of the Higher ELECTION ASSISTANCE COMMISSION A copy of the updated ROD and Final Education Act of 1965 as amended by PEIS are available at http:// Public Law 100–50 (20 U.S.C. 1098). Federal Advisory Committee Act; aec.army.mil/usaec/nepa/topics00.html. The Advisory Committee serves as an Technical Guidelines Development independent source of advice and Committee Charter Renewal Dated: August 26, 2010. counsel to the Congress and the Addison D. Davis, IV, Secretary of Education on student AGENCY: Election Assistance Deputy Assistant Secretary of the Army financial aid policy. Since its inception, Commission. (Environment, Safety and Occupational the congressional mandate requires the ACTION: Notice of Charter Renewal. Health). Advisory Committee to conduct [FR Doc. 2010–22681 Filed 9–9–10; 8:45 am] objective, nonpartisan, and independent SUMMARY: In accordance with the BILLING CODE 3710–08–P analyses on important aspects of the Federal Advisory Committee Act (Pub. student assistance programs under Title L. 92–463), the purpose of this notice is IV of the Higher Education Act. In to announce that the Election Assistance DEPARTMENT OF EDUCATION addition, Congress expanded the Commission (EAC) has renewed the Advisory Committee’s mission in the charter for the Technical Guidelines Advisory Committee on Student Higher Education Opportunity Act of Development Committee (TGDC) for a Financial Assistance: Meeting 2008 to include several important areas: two-year period through September 2, 2012. The TGDC is a federal advisory AGENCY: Advisory Committee on Access, Title IV modernization, early committee under the Federal Advisory Student Financial Assistance, information and needs assessment and Committee Act. Education. review and analysis of regulations. DATES: ACTION: Notice of open teleconference Specifically, the Advisory Committee is Renewed through September 2, meeting. to review, monitor and evaluate the 2012. Department of Education’s progress in ADDRESSES: Election Assistance SUMMARY: This notice sets forth the these areas and report recommended Commission, 1201 New York Avenue, schedule and proposed agenda of a improvements to Congress and the NW., Suite 1100, Washington, DC forthcoming teleconference meeting of Secretary. 20005. the Advisory Committee on Student The Advisory Committee has Financial Assistance. Individuals who scheduled this teleconference for annual FOR FURTHER INFORMATION CONTACT: will need accommodations for a election of officers and to approve its Donetta Davidson, Designated Federal disability in order to attend the Fiscal Year 2011 work plan. Officer, Technical Guidelines teleconference meeting (i.e., interpreting Space for the teleconference meeting Development Committee, at (202) 566– services, assistive listening devices, is limited and you are encouraged to 3100. E-mail: [email protected]. and/or materials in alternative format) register early if you plan to attend. You SUPPLEMENTARY INFORMATION: The TGDC should notify the Advisory Committee may register by sending an e-mail to the is a Federal advisory committee created no later than Monday, September 20, following addresses: by statute whose mission is to assist the 2010 by contacting Ms. Tracy Jones at [email protected]. Please EAC Executive Director in the (202) 219–2099 or via e-mail at include your name, title, affiliation, development of voluntary voting system [email protected]. We will complete address (including internet guidelines. In accordance with the attempt to meet requests after this date, and e-mail, if available), and telephone Federal Advisory Committee Act, Public but cannot guarantee availability of the and fax numbers. If you are unable to Law 92–463, as amended, this notice requested accommodation. The register electronically, you may fax your advises interested persons of the

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renewal of the TGDC. The renewal proposed NVRA regulations. Please note exceptions, the staff of the Office of charter will be posted on EAC’s Web that these testimonies will be made Enforcement’s Division of Investigations site as of the date this notice is available to the public at http// (DOI) as non-decisional staff in published. www.eac.gov. deliberations by the Commission in this Written testimony from members of docket. Donetta Davidson, the public, regarding proposed NVRA Chair, Election Assistance Commission. regulations will also be accepted. This By this order, the Commission [FR Doc. 2010–22536 Filed 9–9–10; 8:45 am] testimony will be included as part of the amends the January 15, 2009 notice to BILLING CODE 6820–KF–P written record of the hearing, and add Larry Gasteiger, Deputy Director, available on our website. Written Office of Enforcement to the non- testimony must be submitted before the decisional staff in this docket. The ELECTION ASSISTANCE COMMISSION end of the public hearing, and received Commission also adds Norman Bay, Director, Office of Enforcement, Larry Sunshine Act Notice by 4:30 p.m. EDT on September 21, 2010. Written testimony should be Parkinson, Director, DOI, and Geof AGENCY: U.S. Election Assistance submitted via e-mail at Hobday of DOI to the January 15, 2009 Commission. [email protected], via mail addressed list of staff excepted from the DOI non- ACTION: Notice of Public Meeting and to the U.S. Election Assistance decisional staff designation. Hearing Agenda. Commission, 1201 New York Avenue, NW., Suite 300, Washington, DC 20005, Kimberly D. Bose, DATE AND TIME: Tuesday, September 21, or by fax at 202–566–1392. All Secretary. 2010, 9 a.m.–4 p.m. EDT. correspondence that contains written [FR Doc. 2010–22513 Filed 9–9–10; 8:45 am] PLACE: U.S. Election Assistance testimony must have in the subject/ BILLING CODE 6717–01–P Commission, 1225 New York Ave., attention line (or on the envelope if by Suite 150, Washington, DC 20005. 202– mail): Written testimony on proposed 566–3100 NVRA regulations. DEPARTMENT OF ENERGY MEETING AGENDA: The Commission will Members of the public may observe hold a public meeting to hold a but not participate in EAC meetings Federal Energy Regulatory discussion on and consider the unless this notice provides otherwise. Commission following matters: (1) The EAC Quality Members of the public may use small Monitoring: Creating a Successful electronic audio recording devices to [Docket No. IN09–10–000] Partnership, and (2) Voluntary Voting record the proceedings. The use of other Systems Guidelines 1.1 Policy Issues recording equipment and cameras National Fuel Marketing Company, Update. Commissioners will consider requires advance notice to and LLC; NFM Midstream, LLC; NFM Texas other administrative matters. coordination with the Commission’s Pipeline, LLC; NFM Texas Gathering, HEARING AGENDA: The Commission will Communications Office.* LLC; Notice of Amended Designation conduct a public hearing to receive * View EAC Regulations of Commission Staff as Non-Decisional testimony on proposed draft National Implementing Government in the September 2, 2010. Voter Registration Act (NVRA) Sunshine Act. This meeting and hearing will be regulations. Members of the public who On January 15, 2009, the Commission open to the public. wish to speak at the hearing, regarding issued an order in the above-captioned PERSON TO CONTACT FOR INFORMATION: proposed NVRA regulations may send a docket designating, with certain listed Bryan Whitener, Telephone: (202) 566– request to participate to the EAC via e- exceptions, the staff of the Office of 3100. mail to [email protected] by 5 p.m. Enforcement’s Division of Investigations EDT September 20, 2010. Members of Donetta Davidson, (DOI) as non-decisional staff in the public may also sign up at the Chair, U.S. Election Assistance Commission. deliberations by the Commission in this public meeting as long as they do so [FR Doc. 2010–22692 Filed 9–8–10; 11:15 am] docket. before the public meeting adjourns and BILLING CODE 6820–KF–P By this order, the Commission the public hearing begins. Due to time constraints, the EAC can select no more amends the January 15, 2009 notice to add Larry Gasteiger, Deputy Director, than ten participants amongst the DEPARTMENT OF ENERGY volunteers who request to participate. Office of Enforcement to the non- decisional staff in this docket. The The selected volunteers will be allotted Federal Energy Regulatory three-minutes each to share their Commission Commission also adds Norman Bay, viewpoint. Participants will be selected Director, Office of Enforcement, Larry on a first-come, first-served basis. [Docket No. IN09–9–000] Parkinson, Director, DOI, and Geof Hobday of DOI to the January 15, 2009 However, to maximize diversity of Seminole Energy Services, LLC; list of staff excepted from the DOI non- input, only one participant per Seminole Gas Company, LLC; organization or entity will be chosen if Seminole High Plains, LLC; Lakeshore decisional staff designation. necessary. Participants may also submit Energy Services, LLC; Vanguard Kimberly D. Bose, written testimony to be published at Energy Services, LLC http://www.eac.gov. All requests must Secretary. [FR Doc. 2010–22514 Filed 9–9–10; 8:45 am] include a description of what will be Notice of Amended Designation of said, contact information which will be Commission Staff as Non-Decisional BILLING CODE 6717–01–P used to notify the requestor with status of request (phone number on which a September 2, 2010. message may be left or e-mail), and On January 15, 2009, the Commission include the subject/attention line (or on issued an order in the above-captioned the envelope if by mail): Testimony on docket designating, with certain listed

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DEPARTMENT OF ENERGY removing connections to the existing comments, motions to intervene or water supply pipeline with protests should relate to project works Federal Energy Regulatory electronically controlled valves and a which are the subject of the license Commission 40-kilowatt reverse pump generator and surrender. Agencies may obtain copies [Project No. 12605–004] restoring site to original condition. of the application directly from the l. Locations of the Application: A applicant. A copy of any protest or Rentricity, Inc.; Notice of Application copy of the application is available for motion to intervene must be served Accepted for Filing, Soliciting Motions inspection and reproduction at the upon each representative of the Commission’s Public Reference Room, To Intervene and Protests, Ready for applicant specified in the particular located at 888 First Street, NE., Room Environmental Analysis, and Soliciting application. If an intervenor files 2A, Washington, DC 20426, or by calling Comments, Recommendations, and comments or documents with the Terms and Conditions (202) 502–8371. This filing may also be viewed on the Commission’s Web site at Commission relating to the merits of an September 2, 2010. http://www.ferc.gov/docs-filing/ issue that may affect the responsibilities Take notice that the following efiling.asp. Enter the docket number of a particular resource agency, they hydroelectric application has been filed excluding the last three digits in the must also serve a copy of the document with the Commission and is available docket number field to access the on that resource agency. A copy of all for public inspection: document. You may also register online other filings in reference to this a. Type of Application: Surrender of at http://www.ferc.gov/docs-filing/ application must be accompanied by Conduit Exemption. esubscription.asp to be notified via e- proof of service on all persons listed in b. Project No.: 12605–004. mail of new filings and issuances the service list prepared by the c. Date Filed: May 7, 2010. related to this or other pending projects. Commission in this proceeding, in d. Applicant: Rentricity, Inc. For assistance, call 1–866–208–3676 or accordance with 18 CFR 4.34(b) and e. Name of Project: Stamford Energy e-mail [email protected], 385.2010. Recovery Project. for TTY, call (202) 502–8659. A copy is p. Comments and motions to f. Location: At a pressure regulator also available for inspection and vault on an Aquarian Water Company reproduction at the address in item (h) intervene may be filed electronically via Supply Conduit in the Town of above. the Internet. See 18 CFR Stamford, Fairfield County, m. Mailing list: Individuals desiring to 385.2001(a)(1)(iii)(2008) and the Connecticut. be included on the Commission’s instructions on the Commission’s Web g. Filed Pursuant to: Federal Power mailing list should so indicate by site under the ‘‘e-Filing’’ link. If unable Act, 16 U.S.C. 791a–825r. writing to the Secretary of the to be filed electronically, documents h. Applicant Contact: Mr. Frank Commission. may be paper-filed. To paper-file, an Zammataro, President, Rentricity, Inc., n. Comments, Protests, or Motions to original and seven copies should be P.O. Box 1021 Planetarium Station, New Intervene: Anyone may submit mailed to: Kimberly D. Bose, Secretary, York, NY 10024. Phone (732) 319–4501. comments, a protest, or a motion to Federal Energy Regulatory Commission, i. FERC Contact: Robert Bell, (202) intervene in accordance with the 888 First Street, NE., Washington, DC 502–6062. requirements of Rules of Practice and 20426. For more information on how to j. Deadline for filing motions to Procedure, 18 CFR 385.210, .211, .214. submit these types of filings please go intervene and protests, comments, In determining the appropriate action to to the Commission’s Web site located at recommendations, and preliminary take, the Commission will consider all http://www.ferc.gov/filing- terms and conditions, is 30 days from protests or other comments filed, but comments.asp. Commenters can submit the issuance date of this notice. All only those who file a motion to brief comments up to 6,000 characters, documents (original and seven copies) intervene in accordance with the should be filed with: Secretary, Federal Commission’s Rules may become a without prior registration, using the Energy Regulatory Commission, 888 party to the proceeding. Any comments, eComment system at http:// First Street, NE., Washington, DC 20426. protests, or motions to intervene must www.ferc.gov/docs-filing/ Please include the project number (P– be received on or before the specified ecomment.asp. You must include your 12605–004) on any comments or comment date for the particular name and contact information at the end motions filed. application (see item (j) above). of your comments. More information The Commission’s Rules of Practice o. Filing and Service of Responsive about this project can be viewed or and Procedure require all intervenors Documents: All filings must (1) bear in printed on the eLibrary link of filing documents with the Commission all capital letters the title ‘‘PROTEST’’, Commission’s Web site at http:// to serve a copy of that document on ‘‘MOTION TO INTERVENE’’, www.ferc.gov/docs-filing/elibrary.asp. each person whose name appears on the ‘‘COMMENTS,’’ ‘‘REPLY COMMENTS,’’ Enter the docket number (P–12605–004) official service list for the project. ‘‘RECOMMENDATIONS,’’ or ‘‘TERMS in the docket number field to access the Further, if an intervenor files comments AND CONDITIONS’’; (2) set forth in the document. For assistance, call toll-free or documents with the Commission heading the name of the applicant and 1–866–208–3372. relating to the merits of an issue that the project number of the application to may affect the responsibilities of a which the filing responds; (3) furnish Kimberly D. Bose, particular resource agency, they must the name, address, and telephone Secretary. also serve a copy of the document on number of the person protesting or [FR Doc. 2010–22517 Filed 9–9–10; 8:45 am] that resource agency. A copy of any intervening; and (4) otherwise comply BILLING CODE 6717–01–P motion to intervene must also be served with the requirements of 18 CFR upon each representative of the 385.2001 through 385.2005. All applicant specified in a particular comments, motions to intervene or application. protests must set forth their evidentiary k. Description of Request: The basis and otherwise comply with the proposed surrender would consist of requirements of 18 CFR 4.34(b). All

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DEPARTMENT OF ENERGY or documents with the Commission o. Agency Comments: Federal, state, relating to the merits of an issue that and local agencies are invited to file Federal Energy Regulatory may affect the responsibilities of a comments on the described application. Commission particular resource agency, they must A copy of the application may be [Project No. 11475–013] also serve a copy of the document on obtained by agencies directly from the that resource agency. applicant. If an agency does not file Central Vermont Public Service k. Description of Application: The comments within the time specified for Corporation; Notice of Application for applicant seeks approval to replace the filing comments, it will be presumed to Amendment of License and Soliciting existing Unit #1 turbine, with a have no comments. One copy of an Comments, Motions To Intervene, and hydraulic capacity of 162 cfs and a agency’s comments must also be sent to Protests nameplate capacity of 1,100 kW, with a the Applicant’s representatives. new turbine unit having a hydraulic September 2, 2010. capacity of 177 cfs and a nameplate Kimberly D. Bose, Take notice that the following capacity of 1,451 kW. The replacement Secretary. hydroelectric application has been filed of the Unit #1 turbine will increase the [FR Doc. 2010–22516 Filed 9–9–10; 8:45 am] with the Commission and is available total project generation from 1,900 kW BILLING CODE 6717–01–P for public inspection: to 2,251 kW, and increase total project a. Application Type: Amendment of hydraulic capacity from 254 cfs to 269 License. cfs. DEPARTMENT OF ENERGY b. Project No.: 11475–013. l. A copy of the application is c. Date Filed: June 17, 2010. available for review at the Commission Federal Energy Regulatory d. Applicant: Central Vermont Public in the Public Reference Room or may be Commission Service Corporation. viewed on the Commission’s Web site at [Project No. 2662–002; Project No. 12968– e. Name of Project: Carver Falls http://www.ferc.gov using the ‘‘eLibrary’’ 001] Hydroelectric Project. link. Enter the docket number excluding f. Location: On the Poultney River, in the last three digits in the docket FirstLight Hydro Generating Company; Washington County, New York and number field to access the document. City of Norwich Department of Public Rutland County, Vermont. For assistance, contact FERC Online Utilities; Notice of Applications g. Filed Pursuant to: Federal Power Support. A copy is also available for Tendered for Filing With the Act, 16 U.S.C. 791(a)-825(r). inspection and reproduction at the Commission and Establishing h. Applicant Contact: Mr. Michael address in item h above. Procedural Schedule for Licensing and Scarzello, Generation Asset Manager, You may also register online at Deadline for Submission of Final Central Vermont Public Service http://www.ferc.gov/docs-filing/ Amendments Corporation, 77 Grove St., Rutland, VT esubscription.asp to be notified via e- September 2, 2010. 05701, (802) 747–5207. mail of new filings and issuances i. FERC Contact: Christopher Chaney, related to this or other pending projects. Take notice that the following (202) 502–6778, For assistance, contact FERC Online hydroelectric applications have been [email protected]. Support. filed with the Commission and are j. Deadline for filing comments, m. Individuals desiring to be included available for public inspection. motions to intervene, and protests: on the Commission’s mailing list should a. Type of Applications: New Major October 4, 2010. so indicate by writing to the Secretary License. All documents may be filed of the Commission. b. Project Nos.: 2662–002 and 12968– electronically via the Internet. See 18 n. Comments, Protests, or Motions to 001. CFR 385.2001(a)(1)(iii) and the Intervene: Anyone may submit c. Date Filed: August 31, 2010 (P– instructions on the Commission’s Web comments, a protest, or a motion to 2662) and August 27, 2010 (P–12968). site http://www.ferc.gov/docs-filing/ intervene in accordance with the d. Applicants: Existing licensee— efiling.asp. Commenters can submit requirements of Rules of Practice and FirstLight Hydro Generating Company brief comments up to 6,000 characters, Procedure, 18 CFR 385.210, .211, .214. (FirstLight); and Competitor—City of without prior registration, using the In determining the appropriate action to Norwich Department of Public Utilities eComment system at http:// take, the Commission will consider all (Norwich Public Utilities). e. Name of Project: Scotland www.ferc.gov/docs-filing/ protests or other comments filed, but Hydroelectric Project. ecomment.asp. You must include your only those who file a motion to f. Location: On the Shetucket River, in name and contact information at the end intervene in accordance with the Windham County, Connecticut. The of your comments. For assistance, Commission’s Rules may become a project does not occupy federal lands. please contact FERC Online Support. party to the proceeding. Any comments, g. Filed Pursuant to: Federal Power Although the Commission strongly protests, or motions to intervene must Act, 16 U.S.C. 791 (a)–825(r). encourages electronic filing, documents be received on or before the specified h. Applicant Contact: may also be paper-filed. To paper-file, comment date for the particular For Project No. 2662: John Whitfield, mail an original and seven copies to: application. Senior Project Engineer, FirstLight Kimberly D. Bose, Secretary, Federal Any filings must bear in all capital Hydro Generating Company, 20 Church Energy Regulatory Commission, 888 letters the title ‘‘COMMENTS,’’ Street, Hartford, CT 06103. First Street, NE., Washington, DC 20426. ‘‘PROTEST,’’ or ‘‘MOTION TO For Project No. 12968: John F. Bilda, The Commission’s Rules of Practice INTERVENE,’’ as applicable, and the General Manager, Norwich Public and Procedure require all intervenors Project Number of the particular Utilities, 16 South Golden Street, filing documents with the Commission application to which the filing refers. A Norwich, CT 06360. to serve a copy of that document on copy of any motion to intervene must i. FERC Contact: John Costello, (202) each person whose name appears on the also be served upon each representative 502–6119 or [email protected] official service list for the project. of the Applicant specified in the j. These applications are not ready for Further, if an intervenor files comments particular application. environmental analysis at this time.

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k. The Project Description: The project 77.9 feet local datum with a usable link. Enter the docket number excluding includes the following constructed storage capacity of 268 acre-feet at a the last three digits in the docket facilities: (1) A 480-foot-long earthen drawdown of 2 feet; and (3) appurtenant number field to access the document. dam with a 12-inch reinforced concrete facilities. For assistance, contact FERC Online corewall consisting of (a) A 183-foot- The existing Scotland project operates Support at long, 32.5-foot-high earthen dike with a in a run-of-river mode during high flow [email protected] or toll- top elevation 90.0 feet local datum; (b) periods and a store-and-release mode, free at 1–866–208–3676, or for TTY, a 119-foot-long, 34-foot-high Taintor with ponding, during low-flow periods. (202) 502–8659. Copies are also gate section with a sill elevation at 64 Both applicants propose to increase available for inspection and feet local datum and a 3-foot-wide capacity by installing an additional reproduction at the addresses in item (h) transition section, five 20-foot-wide turbine and generator in the existing above. bays, and four 4-foot-wide gate piers; (c) powerhouse. Norwich Public Utilities’ m. You may also register online at an 89-foot-long, 35-foot-high Ambursen- proposal would increase capacity by 3.0 http://www.ferc.gov/docs-filing/ type ungated spillway section with a MW. FirstLight’s proposal would esubscription.asp to be notified via e- crest elevation of 75.38 feet local datum; increase capacity by 1.026 MW. Both mail of new filings and issuances (d) an 18.83-foot-long gravity-type applicants propose to operate the related to this or other pending projects. ungated spillway section with a crest project in a run-of-river mode. For assistance, contact FERC Online elevation of 75.38 feet local datum and l. Locations of the Applications: Support. 30-inch wooden pin-type flashboards; Copies of the applications are available n. Procedural Schedule: and (e) a 70-foot-long powerhouse and for review at the Commission in the The applications will be processed intake integral with the dam containing Public Reference Room or may be according to the following Hydro a single 2,000 kW turbine-generator; (2) viewed on the Commission’s Web site at Licensing Schedule. Revisions to the a 134-acre reservoir at an elevation of http://www.ferc.gov using the ‘‘eLibrary’’ schedule may be made as appropriate.

Milestone Target date

Notice of Acceptance/Notice of Ready for Environmental Analysis (when FERC approved studies are complete) ...... November 11, 2010. Filing of recommendations, preliminary terms and conditions, and fishway prescriptions ...... December 29, 2010. Commission issues EA ...... June 13, 2011. Comments on EA or EIS ...... July 13, 2011. Modified terms and conditions ...... September 11, 2011.

o. Final amendments to the Applicants: Central Vermont Public Applicants: The Cleveland Electric applications must be filed with the Service Corp. Illuminating Comp. Commission no later than 30 days from Description: Application under Description: The Cleveland Electric the issuance date of the notice of ready Section 203 of the Federal Power Act of Illuminating Company submits tariff for environmental analysis. Central Vermont Public Service filing per 35: Compliance filing Remove Corporation for the Merger of Facilities. Headers to be effective 6/17/2010. Kimberly D. Bose, Filed Date: 08/31/2010. Filed Date: 09/01/2010. Secretary. Accession Number: 20100831–5246. Accession Number: 20100901–5054. [FR Doc. 2010–22515 Filed 9–9–10; 8:45 am] Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time BILLING CODE 6717–01–P on Tuesday, September 21, 2010. on Wednesday, September 22, 2010. Take notice that the Commission Docket Numbers: ER10–1468–001. Applicants: The Toledo Edison DEPARTMENT OF ENERGY received the following electric rate filings: Company. Description: The Toledo Edison Federal Energy Regulatory Docket Numbers: ER10–1304–002. Company submits tariff filing per 35: Commission Applicants: DownEast Power Compliance Filing Remove Headers 2 to Company, LLC. Combined Notice of Filings #1 be effective 6/17/2010. Description: DownEast Power Filed Date: 08/31/2010. Company, LLC submits tariff filing per September 1, 2010. Accession Number: 20100831–5132. 35: eTariff Compliance Filing to be Take notice that the Commission Comment Date: 5 p.m. Eastern Time effective 9/1/2010. on Tuesday, September 21, 2010. received the following electric corporate Filed Date: 08/31/2010. filings: Docket Numbers: ER10–1720–001. Accession Number: 20100831–5127. Applicants: Dry Lake Wind Power II Docket Numbers: EC10–86–000. Comment Date: 5 p.m. Eastern Time LLC. Applicants: NRG South Central on Tuesday, September 21, 2010. Description: Dry Lake Wind Power II Generating LLC, CottonWood Energy Docket Numbers: ER10–1467–001. LLC submits an amendment to Section Company LP. Applicants: Ohio Edison Company. III.A of their application to demonstrate Description: Cottonwood Energy Description: Ohio Edison Company that Dry Lake II lacks generation market Company LP submits application for submits tariff filing per 35: Compliance- power within the Arizona Public authorization under Section 203 of the Remove Headers to be effective 6/17/ Service Company balancing authority Federal Power Act. 2010. area, effective 9/4/2010. Filed Date: 08/26/2010. Filed Date: 09/01/2010. Filed Date: 08/31/2010. Accession Number: 20100827–0205. Accession Number: 20100901–5115. Accession Number: 20100831–5147. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time on Thursday, September 16, 2010. on Wednesday, September 22, 2010. on Tuesday, September 21, 2010. Docket Numbers: EC10–90–000. Docket Numbers: ER10–1469–001. Docket Numbers: ER10–1736–001.

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Applicants: Wisconsin Electric Power Applicants: Boralex Stratton Energy Comment Date: 5 p.m. Eastern Time Company. LP. on Tuesday, September 21, 2010. Description: Wisconsin Electric Power Description: Boralex Stratton Energy Docket Numbers: ER10–2491–000. Company’s Compliance Filing; Second LP submits tariff filing per 35: Boralex Applicants: DPL Energy, LLC. Revised Rate Schedule FERC No. 88, Stratton Energy LP Baseline Compliance Description: DPL Energy, LLC. Third Revised Sheet No. 38 Superseding to be effective 8/5/2010. submits tariff filing per 35.12: FERC Substitute Second Revised Sheet No. 38. Filed Date: 09/01/2010. Rate Schedule No. 1 to be effective 8/ Filed Date: 08/31/2010. Accession Number: 20100901–5081. 31/2010. Accession Number: 20100831–5248. Comment Date: 5 p.m. Eastern Time Filed Date: 08/31/2010. Comment Date: 5 p.m. Eastern Time on Wednesday, September 22, 2010. Accession Number: 20100831–5117. on Tuesday, September 07, 2010. Docket Numbers: ER10–2119–002. Comment Date: 5 p.m. Eastern Time Docket Numbers: ER10–1777–001. Applicants: Boralex Fort Fairfield LP. on Tuesday, September 21, 2010. Applicants: Sundevil Power Holdings, Description: Boralex Fort Fairfield LP Docket Numbers: ER10–2492–000. LLC. submits tariff filing per 35: Boralex Fort Applicants: Public Service Company Description: Sundevil Power Fairfield LP Baseline Compliance to be of New Mexico. Holdings, LLC submits tariff filing per effective 8/5/2010. Description: Public Service Company 35.17(b): Supplement to Market-Based Filed Date: 09/01/2010. of New Mexico submits tariff filing per Rate Application to be effective 8/16/ Accession Number: 20100901–5083. 35.12: Electric Coordination Tariff No. 1 2010. Comment Date: 5 p.m. Eastern Time to be effective 8/31/2010. Filed Date: 08/26/2010. on Wednesday, September 22, 2010. Filed Date: 08/31/2010. Accession Number: 20100826–5115. Docket Numbers: ER10–2294–001. Accession Number: 20100831–5125. Comment Date: 5 p.m. Eastern Time Applicants: ORNI 18, LLC. Comment Date: 5 p.m. Eastern Time on Thursday, September 09, 2010. Description: ORNI 18, LLC submits on Tuesday, September 21, 2010. Docket Numbers: ER10–2068–002. tariff filing per 35: ORNI 18 Baseline Docket Numbers: ER10–2493–000. Applicants: Delaware City Refining MBR Filing to be effective 8/31/2010. Applicants: DPL Energy, LLC. Company LLC. Filed Date: 08/31/2010. Description: DPL Energy, LLC. Description: Delaware City Refining Accession Number: 20100831–5109. submits tariff filing per 35.12: FERC Company LLC submits tariff filing per Comment Date: 5 p.m. Eastern Time Electric Tariff, Vol. No. 2 to be effective 35: Revised Change in Status on Tuesday, September 21, 2010. 8/31/2010. Notification to be effective 10/1/2010. Docket Numbers: ER10–2322–001. Filed Date: 08/31/2010. Filed Date: 09/01/2010. Applicants: BE Ironwood LLC. Accession Number: 20100831–5128. Accession Number: 20100901–5158. Description: BE Ironwood LLC Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time submits tariff filing per 35: eTariff on Tuesday, September 21, 2010. on Wednesday, September 22, 2010. Compliance Filing to be effective 9/1/ Docket Numbers: ER10–2494–000. Docket Numbers: ER10–2077–001. 2010. Applicants: Unitil Power Corp. Applicants: PBF Power Marketing Filed Date: 08/31/2010. Description: Unitil Power Corp. LLC. Accession Number: 20100831–5188. submits tariff filing per 35.12: UPC Description: PBF Power Marketing Comment Date: 5 p.m. Eastern Time Market Based Rate Tariff Baseline Filing LLC submits tariff filing per 35: Revised on Tuesday, September 21, 2010. to be effective 8/31/2010. Change in Status Notification to be Docket Numbers: ER10–2324–001. Filed Date: 08/31/2010. effective 10/1/2010. Applicants: BE KJ LLC. Accession Number: 20100831–5133. Filed Date: 09/01/2010. Description: BE KJ LLC submits tariff Comment Date: 5 p.m. Eastern Time Accession Number: 20100901–5161. filing per 35: eTariff Compliance Filing on Tuesday, September 21, 2010. Comment Date: 5 p.m. Eastern Time to be effective 9/1/2010. Docket Numbers: ER10–2495–000. on Wednesday, September 22, 2010. Filed Date: 08/31/2010. Applicants: Fulgora Arbitrage Fund, Docket Numbers: ER10–2092–002. Accession Number: 20100831–5187. LLC. Applicants: Boralex Ashland LP. Comment Date: 5 p.m. Eastern Time Description: Fulgora Arbitrage Fund, Description: Boralex Ashland LP on Tuesday, September 21, 2010. LLC submits tariff filing per 35.12: submits tariff filing per 35: Boralex Docket Numbers: ER10–2327–001. Application for Market-Based Rate Ashland LP Baseline Compliance to be Applicants: Cedar Brakes II LLC. Authorization of Fulgora Arbitrage effective 8/3/2010. Description: Cedar Brakes II LLC Fund, LLC to be effective 9/15/2010. Filed Date: 09/01/2010. submits its baseline eTariff filing of Rate Filed Date: 08/31/2010. Accession Number: 20100901–5084. Schedule FERC No. 1 in Compliance Accession Number: 20100831–5134. Comment Date: 5 p.m. Eastern Time with Order 614, to be effective 9/1/2010. Comment Date: 5 p.m. Eastern Time on Wednesday, September 22, 2010. Filed Date: 08/31/2010. on Tuesday, September 21, 2010. Docket Numbers: ER10–2117–002. Accession Number: 20100831–5186. Docket Numbers: ER10–2496–000. Applicants: Boralex Livermore Falls Comment Date: 5 p.m. Eastern Time Applicants: Midwest Independent LP. on Tuesday, September 21, 2010. Transmission System Operator, Inc. Description: Boralex Livermore Falls Docket Numbers: ER10–2490–000. Description: Midwest Independent LP submits tariff filing per 35: Boralex Applicants: The Dayton Power and Transmission System Operator, Inc. Livermore Falls LP Baseline Compliance Light Company. submits tariff filing per 35.13(a)(2)(iii): to be effective 8/5/2010. Description: The Dayton Power and Section 7 Errata_7.16.2 to be effective Filed Date: 09/01/2010. Light Company submits tariff filing per 10/26/2010. Accession Number: 20100901–5079. 35.12: FERC Electric Tariff, Volume No. Filed Date: 08/31/2010. Comment Date: 5 p.m. Eastern Time 6 to be effective 8/31/2010. Accession Number: 20100831–5148. on Wednesday, September 22, 2010. Filed Date: 08/31/2010. Comment Date: 5 p.m. Eastern Time Docket Numbers: ER10–2118–002. Accession Number: 20100831–5106. on Tuesday, September 21, 2010.

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Docket Numbers: ER10–2497–000. Accession Number: 20100831–5210. Docket Numbers: ER10–2508–000. Applicants: Alliant Energy Corporate Comment Date: 5 p.m. Eastern Time Applicants: Pacific Gas and Electric Services, Inc. on Tuesday, September 21, 2010. Company. Description: Alliant Energy Corporate Docket Numbers: ER10–2503–000. Description: Notice of Termination for Services, Inc. submits tariff filing per Applicants: Indiana Michigan Power GWF LLC GSFA and GIA of Pacific Gas 35.12: Baseline Alliant Energy Corporate Company, Appalachian Power and Electric Company. Services Agreements to be effective Company, AEP Texas Central Company, Filed Date: 08/31/2010. 9/1/2010. Ohio Power Company, Public Service Accession Number: 20100831–5241. Filed Date: 08/31/2010. Company of Oklahoma, Southwestern Comment Date: 5 p.m. Eastern Time Accession Number: 20100831–5167. Electric Power Company, Kingsport on Tuesday, September 21, 2010. Comment Date: 5 p.m. Eastern Time Power Company, Columbus Southern Docket Numbers: ER10–2509–000. on Tuesday, September 21, 2010. Power Company, Kentucky Power Applicants: Otter Tail Power Docket Numbers: ER10–2498–000. Company, Wheeling Power Company, Company. Applicants: South Carolina Electric & AEP Texas North Company. Description: Otter Tail Power Gas Transmission. Description: Indiana Michigan Power Company submits tariff filing per 35: Description: South Carolina Electric & Company submits tariff filing per 35.12: Transmission Capacity Exchange Gas Transmission submits tariff filing APCo OATT Baseline 20100831 to be Agreement Compliance to be effective per 35.12: Compliance filing for WR, effective 9/1/2010. 12/31/1998. NMST and Cost-Based Tariffs to be Filed Date: 08/31/2010. Filed Date: 09/01/2010. effective 3/30/2010. Accession Number: 20100831–5223. Accession Number: 20100901–5044. Filed Date: 08/31/2010. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Accession Number: 20100831–5175. on Tuesday, September 21, 2010. on Wednesday, September 22, 2010. Comment Date: 5 p.m. Eastern Time Docket Numbers: ER10–2504–000. Docket Numbers: ER10–2510–000. on Tuesday, September 21, 2010. Applicants: Shiloh Wind Project 2, Applicants: Goshen Phase II LLC. Docket Numbers: ER10–2499–000. LLC. Description: Goshen Phase II, LLC Applicants: Westar Energy, Inc. Description: Shiloh Wind Project 2, submits Shared Facilities Agreement Description: Westar Energy, Inc. LLC submits tariff filing per 35.12: between Goshen II, RAE, and AE Power submits tariff filing per 35.12: Westar Shiloh Wind Project 2 LLC Market- Services, LLC, effective 9/1/10. Energy, OATT Baseline Filing to be Based Rate Tariff Baseline Filing to be Filed Date: 08/31/2010. effective 8/31/2010. effective 8/31/2010. Accession Number: 20100901–0206. Filed Date: 08/31/2010. Filed Date: 08/31/2010. Comment Date: 5 p.m. Eastern Time Accession Number: 20100831–5183. Accession Number: 20100831–5224. on Tuesday, September 21, 2010. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time on Tuesday, September 21, 2010. on Tuesday, September 21, 2010. Docket Numbers: ER10–2511–000. Applicants: PacifiCorp. Docket Numbers: ER10–2500–000. Docket Numbers: ER10–2505–000. Description: PacifiCorp submits Applicants: Arizona Public Service Applicants: Northwest Wind Partners, Network Integration Transmission Company. LLC. Service Agreement between Bonneville Description: Arizona Public Service Description: Northwest Wind Power Administration, Company submits tariff filing per 35.12: Partners, LLC submits tariff filing per et al. Baseline Open Access Transmission 35.12: Northwest Wind Partners LLC Filed Date: 08/31/2010. Tariff, FERC Electric Tariff, Volume No. Market-Based Rate Tariff Baseline Filing Accession Number: 20100901–0207. 2 to be effective 8/31/2010. to be effective 8/31/2010. Comment Date: 5 p.m. Eastern Time Filed Date: 08/31/2010. Filed Date: 08/31/2010. on Tuesday, September 21, 2010. Accession Number: 20100831–5194. Accession Number: 20100831–5228. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Docket Numbers: ER10–2512–000. on Tuesday, September 21, 2010. on Tuesday, September 21, 2010. Applicants: New England Power Pool. Docket Numbers: ER10–2501–000. Docket Numbers: ER10–2506–000. Description: New England Power Pool Applicants: Midwest Independent Applicants: Westar Energy, Inc. Participants Committee submits Transmission System Operator, Inc. Description: Westar Energy, Inc. counterpart signature pages of the Description: Midwest Independent submits tariff filing per 35.12: Westar NEPOOL, dated as of 9/1/71, as Transmission System Operator, Inc. Energy, Cost-Based Tariff Baseline Tariff amended executed by Hexis Energy submits tariff filing per 35.13(a)(2)(iii): Filing to be effective 8/31/2010. et al. METC–Consumers DTIA to be effective Filed Date: 08/31/2010. Filed Date: 08/31/2010. 9/1/2010. Accession Number: 20100831–5229. Accession Number: 20100901–0208. Filed Date: 08/31/2010. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Accession Number: 20100831–5206. on Tuesday, September 21, 2010. on Tuesday, September 21, 2010. Comment Date: 5 p.m. Eastern Time Docket Numbers: ER10–2507–000. Docket Numbers: ER10–2513–000. on Tuesday, September 21, 2010. Applicants: Westar Energy, Inc. Applicants: Alta Wind II, LLC. Docket Numbers: ER10–2502–000. Description: Westar Energy, Inc. Description: Alta Wind II, LLC Applicants: Black Hills/Colorado submits its Baseline Filing of its Market- submits petitions for order accepting Electric Utility Company, LP. Based Rate Tariff, FERC Electric Tariff, market-based rate tariff for filing and Description: Black Hills/Colorado Fourth Revised Volume No 6. to comply granting waivers and blanket approvals. Electric Utility Company, LP submits with Order No. 714, to be effective Filed Date: 08/31/2010. tariff filing per 35.12: Baseline MBR 9/1/2010. Accession Number: 20100901–0209. Tariff Filing of Black Hills/Colorado Filed Date: 09/01/2010. Comment Date: 5 p.m. Eastern Time Electric Utility Company, LP to be Accession Number: 20100901–5003. on Tuesday, September 21, 2010. effective 9/2/2010. Comment Date: 5 p.m. Eastern Time Docket Numbers: ER10–2514–000. Filed Date: 08/31/2010. on Wednesday, September 22, 2010. Applicants: Alta Wind III, LLC.

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Description: Petition of Alta Wind III, Docket Numbers: RD10–14–001. eRegistration link. Select the eFiling LLC for order accepting market-based Applicants: North American Electric link to log on and submit the rate tariff for filing and granting waivers Reliability Corporation. intervention or protests. and blanket approvals. Description: Second Quarter 2010 Persons unable to file electronically Filed Date: 08/31/2010. Compliance Filing of the North should submit an original and 14 copies Accession Number: 20100901–0210. American Electric Reliability of the intervention or protest to the Comment Date: 5 p.m. Eastern Time Corporation in Response to Paragraph Federal Energy Regulatory Commission, on Tuesday, September 21, 2010. 629 of Order No. 693 and Request to 888 First St., NE., Washington, DC Docket Numbers: ER10–2515–000. Terminate Compliance Filing 20426. Applicants: Alta Wind IV, LLC. Obligation. The filings in the above proceedings Description: Alta Wind IV, LLC Filed Date: 08/31/2010. are accessible in the Commission’s submits petitions for order accepting Accession Number: 20100831–5154. eLibrary system by clicking on the market-based rate tariff for filing and Comment Date: 5 p.m. Eastern Time appropriate link in the above list. They granting waivers and blanket approvals. on Thursday, September 09, 2010. are also available for review in the Filed Date: 08/31/2010. Any person desiring to intervene or to Commission’s Public Reference Room in Accession Number: 20100901–0211. protest in any of the above proceedings Washington, DC. There is an Comment Date: 5 p.m. Eastern Time must file in accordance with Rules 211 eSubscription link on the Web site that on Tuesday, September 21, 2010. and 214 of the Commission’s Rules of enables subscribers to receive e-mail Docket Numbers: ER10–2516–000. Practice and Procedure (18 CFR 385.211 notification when a document is added Applicants: Alta Wind V, LLC. and 385.214) on or before 5 p.m. Eastern to a subscribed dockets(s). For Description: Petition of Alta Wind V, time on the specified comment date. It assistance with any FERC Online LLC for order accepting market-based is not necessary to separately intervene service, please e-mail rate tariff for filing and granting waivers again in a subdocket related to a [email protected]. or call and blanket approvals. compliance filing if you have previously (866) 208–3676 (toll free). For TTY, call Filed Date: 08/31/2010. intervened in the same docket. Protests (202) 502–8659. Accession Number: 20100901–0212. will be considered by the Commission Nathaniel J. Davis, Sr., Comment Date: 5 p.m. Eastern Time in determining the appropriate action to Deputy Secretary. on Tuesday, September 21, 2010. be taken, but will not serve to make [FR Doc. 2010–22601 Filed 9–9–10; 8:45 am] protestants parties to the proceeding. Docket Numbers: ER10–2517–000. BILLING CODE 6717–01–P Applicants: New York Independent Anyone filing a motion to intervene or System Operator, Inc. protest must serve a copy of that Description: New York Independent document on the Applicant. In reference DEPARTMENT OF ENERGY System Operator submits tariff filing per to filings initiating a new proceeding, 35.13(a)(2)(iii): NYISO 205—Pre- interventions or protests submitted on Federal Energy Regulatory Scheduled Transaction Capability— or before the comment deadline need Commission Bluvas 9/1/10 to be effective 1/19/2011. not be served on persons other than the Filed Date: 09/01/2010. Applicant. Combined Notice of Filings #1 As it relates to any qualifying facility Accession Number: 20100901–5130. September 2, 2010. Comment Date: 5 p.m. Eastern Time filings, the notices of self-certification or Take notice that the Commission on Wednesday, September 22, 2010. (self-recertification) listed above, do not institute a proceeding regarding received the following electric corporate Docket Numbers: ER10–2518–000. filings: Applicants: New Brunswick Power qualifying facility status. A notice of Docket Numbers: EC10–91–000. Generation Corporation. self-certification (or self-recertification) Applicants: Entergy Power Ventures, Description: New Brunswick Power simply provides notification that the L.P. Generation Corporation submits tariff entity making the filing has determined Description: Application for filing per 35.12: NB Power MBR Tariff the facility named in the notice meets authorization of disposition of to be effective 9/2/2010. the applicable criteria to be a qualifying jurisdictional assets under Section 203 Filed Date: 09/01/2010. facility. Intervention and/or protest do of the Federal Power Act re Entergy Accession Number: 20100901–5144. not lie in dockets that are qualifying Power Ventures, LP. Comment Date: 5 p.m. Eastern Time facility self-certifications or self- Filed Date: 09/01/2010. on Wednesday, September 22, 2010. recertifications. Any person seeking to challenge such qualifying facility status Accession Number: 20100902–0214. Take notice that the Commission may do so by filing a motion pursuant Comment Date: 5 p.m. Eastern Time received the following electric securities to 18 CFR 292.207(d)(iii). Intervention on Wednesday, September 22, 2010. filings: and protests may be filed in response to Docket Numbers: EC10–92–000. Docket Numbers: ES10–57–000. notices of qualifying facility dockets Applicants: Alta Wind II, LLC, Alta Applicants: Ameren Services other than self-certifications and self- Wind III, LLC, Alta Wind IV, LLC, Alta Company. recertifications. Wind V, LLC. Description: Application of Ameren The Commission encourages Description: Application for Illinois Co. for Section 204 electronic submission of protests and Authorization of Sale/Leaseback Authorization. interventions in lieu of paper, using the Financing Transactions and Requests for Filed Date: 08/31/2010. FERC Online links at http:// Expedited Consideration and Accession Number: 20100831–5251. www.ferc.gov. To facilitate electronic Confidential Treatment of Alta Wind III, Comment Date: 5 p.m. Eastern Time service, persons with Internet access LLC, et al. on Tuesday, September 21, 2010. who will eFile a document and/or be Filed Date: 09/01/2010. Take notice that the Commission listed as a contact for an intervenor Accession Number: 20100901–5249. received the following electric must create and validate an Comment Date: 5 p.m. Eastern Time reliability filings: eRegistration account using the on Wednesday, September 22, 2010.

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Take notice that the Commission Applicants: Allegheny Power. to filings initiating a new proceeding, received the following electric rate Description: Allegheny Power submits interventions or protests submitted on filings: Construction Services Agreement. or before the comment deadline need Docket Numbers: ER99–3502–011. Filed Date: 08/31/2010. not be served on persons other than the Applicants: Berkshire Power Accession Number: 20100901–0225. Applicant. Company, LLC. Comment Date: 5 p.m. Eastern Time on Tuesday, September 21, 2010. As it relates to any qualifying facility Description: Berkshire Power filings, the notices of self-certification Company, LLC Notice of Non-Material Docket Numbers: ER10–2520–000. [or self-recertification] listed above, do Change of Status. Applicants: Wisconsin Power and Filed Date: 09/02/2010. Light Company. not institute a proceeding regarding Accession Number: 20100902–5109. Description: Wisconsin Power and qualifying facility status. A notice of Comment Date: 5 p.m. Eastern Time Light Company submits tariff filing per self-certification [or self-recertification] on Thursday, September 23, 2010. 35.12: Baseline WPL Agreements to be simply provides notification that the Docket Numbers: ER06–736–004. effective 9/1/2010. entity making the filing has determined Applicants: Midway Sunset Filed Date: 09/01/2010. the facility named in the notice meets Cogeneration Company. Accession Number: 20100901–5236. the applicable criteria to be a qualifying Description: Midway Sunset Comment Date: 5 p.m. Eastern Time facility. Intervention and/or protest do Cogeneration Company Supplement to on Wednesday, September 22, 2010. not lie in dockets that are qualifying Updated Market Power Analysis. Docket Numbers: ER10–2521–000. facility self-certifications or self- Filed Date: 09/01/2010. Applicants: Southwest Power Pool, recertifications. Any person seeking to Accession Number: 20100901–5246. Inc. challenge such qualifying facility status Comment Date: 5 p.m. Eastern Time Description: Cancellation Notice of may do so by filing a motion pursuant on Wednesday, September 22, 2010. Southwest Power Pool, Inc. to 18 CFR 292.207(d)(iii). Intervention Docket Numbers: ER05–717–015; Filed Date: 09/01/2010. and protests may be filed in response to ER04–374–016; ER06–1334–012; ER05– Accession Number: 20100901–5242. notices of qualifying facility dockets 721–015; ER06–230–012; ER07–277– Comment Date: 5 p.m. Eastern Time other than self-certifications and self- 011; ER07–810–010; ER08–1172–009; on Wednesday, September 22, 2010. recertifications. Docket Numbers: ER10–2522–000. ER08–237–010; ER09–1339–005; ER09– The Commission encourages 1340–005; ER09–1342–005; ER09–1341– Applicants: Top of the World Wind electronic submission of protests and 005; ER09–429–006; ER09–430–006; Energy, LLC. interventions in lieu of paper, using the ER09–946–005; ER99–2341–018. Description: Top of the World Wind Applicants: Forward Energy LLC, Energy, LLC submits their Initial Market FERC Online links at http:// Sheldon Energy LLC, Invenergy Cannon Based-Rate Application and Tariff www.ferc.gov. To facilitate electronic Falls LLC, Spindle Hill Energy LLC, Filing, to be effective 9/3/2010. service, persons with Internet access Spring Canyon Energy LLC, Grays Filed Date: 09/02/2010. who will eFile a document and/or be Harbor Energy LLC, Grand Ridge Energy Accession Number: 20100902–5130. listed as a contact for an intervenor LLC, Willow Creek Energy LLC, Hardee Comment Date: 5 p.m. Eastern Time must create and validate an Power Partners Limited, Judith Gap on Thursday, September 23, 2010. eRegistration account using the Energy LLC, Invenergy TN LLC, Docket Numbers: ER10–2523–000. eRegistration link. Select the eFiling Wolverine Creek Energy LLC, Grand Applicants: Midwest Independent link to log on and submit the Ridge Energy II LLC, Grand Ridge Transmission System Operator, Inc. intervention or protests. Energy V LLC, Beech Ridge Energy LLC, Description: Midwest Independent Persons unable to file electronically Grand Ridge Energy III LLC, Grand Transmission System Operator, Inc. should submit an original and 14 copies Ridge Energy IV LLC. submits tariff filing per 35.13(a)(2)(iii): of the intervention or protest to the Description: Notification of Change in MidAmerican-NIPCO IA to be effective Federal Energy Regulatory Commission, Facts Under Market-Based Rate 9/7/2010. 888 First St. NE., Washington, DC Authority of Spring Canyon Energy LLC, Filed Date: 09/02/2010. 20426. et al. Accession Number: 20100902–5155. Filed Date: 09/01/2010. Comment Date: 5 p.m. Eastern Time The filings in the above proceedings Accession Number: 20100901–5247. on Thursday, September 23, 2010. are accessible in the Commission’s Comment Date: 5 p.m. Eastern Time Any person desiring to intervene or to eLibrary system by clicking on the on Wednesday, September 22, 2010. protest in any of the above proceedings appropriate link in the above list. They Docket Numbers: ER10–1750–001; must file in accordance with Rules 211 are also available for review in the ER10–1751–001. and 214 of the Commission’s Rules of Commission’s Public Reference Room in Applicants: Stream Energy Practice and Procedure (18 CFR 385.211 Washington, DC. There is an Pennsylvania, LLC; SGE Energy and 385.214) on or before 5 p.m. Eastern eSubscription link on the Web site that Sourcing, LLC. time on the specified comment date. It enables subscribers to receive e-mail Description: Stream Energy is not necessary to separately intervene notification when a document is added Pennsylvania, LLC et al. submits again in a subdocket related to a to a subscribed docket(s). For assistance additional information requested by compliance filing if you have previously with any FERC Online service, please e- FERC Staff for Attachments A and B to intervened in the same docket. Protests mail [email protected]. or the pending market-based rate will be considered by the Commission call (866) 208–3676 (toll free). For TTY, applications. in determining the appropriate action to call (202) 502–8659. Filed Date: 09/02/2010. be taken, but will not serve to make Accession Number: 20100902–0217. protestants parties to the proceeding. Nathaniel J. Davis, Sr., Comment Date: 5 p.m. Eastern Time Anyone filing a motion to intervene or Deputy Secretary. on Thursday, September 23, 2010. protest must serve a copy of that [FR Doc. 2010–22600 Filed 9–9–10; 8:45 am] Docket Numbers: ER10–2519–000. document on the Applicant. In reference BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Online service, please e-mail Comments may be filed electronically [email protected], or call via the Internet. See 18 CFR Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call 385.2001(a)(1)(iii) and the instructions Commission (202) 502–8659. on the Commission’s Web site http:// [Docket No. EL10–86–000] Comment Date: 5 p.m. Eastern Time www.ferc.gov/docs-filing/ferconline.asp. on September 21, 2010. Commenters can submit brief comments up to 6,000 characters, without prior Jeffers South, LLC v. Midwest Kimberly D. Bose, Independent Transmission System registration, using the eComment system Operator, Inc.; Notice of Complaint Secretary. at http://www.ferc.gov/dcos-filing/ [FR Doc. 2010–22512 Filed 9–9–10; 8:45 am] ecomment.asp. You must include your September 2, 2010. BILLING CODE 6717–01–P name and contact information at the end Take notice that on September 1, of the your comments. For assistance, 2010, pursuant to section 206 of the please contact FERC Online Support. Federal Power Act, 16 U.S.C. 824c, and DEPARTMENT OF ENERGY Although the Commission strongly Rule 206 of the Federal Energy encourages electronic filing, documents Regulatory Commission’s (Commission) Federal Energy Regulatory Commission may also be paper-filed. To paper-file, Rules of Practice and Procedure, 18 CFR mail an original and seven copies to: 385.206, Jeffers South, LLC [Project No. 12492–001] Kimberly D. Bose, Secretary, Federal (Complainant) filed a complaint against Energy Regulatory Commission, 888 the Midwest Independent Transmission Ha-Best, Inc.; Notice of Availability of First Street, NE., Washington, DC 20426. System Operator, Inc. (Respondent), Environmental Assessment Please affix Project No. 12492–001 to all alleging that the Respondent violated its comments. obligations with respect to the study of August 31, 2010. In accordance with the National For further information, contact network upgrades that are required to Jennifer Adams by phone at 202–502– accommodate Complainant’s requested Environmental Policy Act of 1969 and the Federal Energy Regulatory 8087, or by e-mail at generation interconnection. [email protected]. Complainant certifies that copies of Commission’s (Commission or FERC) the complaint were served on the regulations, 18 Code of Federal Kimberly D. Bose, contacts listed for Respondent as listed Regulations (CFR) Part 380 (Order No. Secretary. on the Commission’s list of Corporate 486, 52 Federal Register [FR] 47897), [FR Doc. 2010–22272 Filed 9–9–10; 8:45 am] the Office of Energy Projects has Officials. BILLING CODE 6717–01–P Any person desiring to intervene or to reviewed Ha-Best’s application for protest this filing must file in license for the Miner Shoal Waterpower accordance with Rules 211 and 214 of Project (FERC Project No. 12492–001), DEPARTMENT OF ENERGY the Commission’s Rules of Practice and located on the Soque River, near the Procedure (18 CFR 385.211, 385.214). town of Demorest, Habersham County, Federal Energy Regulatory Protests will be considered by the Georgia. The project does not occupy Commission federal lands. Commission in determining the [Docket No. EL10–85–000] appropriate action to be taken, but will Staff prepared an environmental not serve to make protestants parties to assessment (EA), which analyzes the Alta Wind Holdings, LLC; Notice of the proceeding. Any person wishing to potential environmental effects of Petition for Declaratory Order become a party must file a notice of licensing the project, and concludes that intervention or motion to intervene, as licensing the project, with appropriate September 2, 2010. appropriate. The Respondent’s answer environmental protective measures, Take notice that on August 31, 2010, and all interventions, or protests must would not constitute a major federal Alta Wind Holdings, LLC filed a be filed on or before the comment date. action that would significantly affect the Petition for Declaratory Order The Respondent’s answer, motions to quality of the human environment. requesting that the Federal Energy intervene, and protests must be served A copy of the EA is available for Regulatory Commission (Commission) on the Complainants. review at the Commission in the Public disclaim jurisdiction, under section 201 The Commission encourages Reference Room or may be viewed on of the Federal Power Act, over passive electronic submission of protests and the Commission’s Web site at owner lessors and owner participants interventions in lieu of paper using the www.ferc.gov using the ‘‘eLibrary’’ link. associated with a proposed sale and ‘‘eFiling’’ link at http://www.ferc.gov. Enter the docket number excluding the leaseback of generation associated with Persons unable to file electronically last three digits in the docket number four generation projects under should submit an original and 14 copies field to access the document. For development. of the protest or intervention to the assistance, contact FERC Online Any person desiring to intervene or to Federal Energy Regulatory Commission, Support at protest this filing must file in 888 First Street, NE., Washington, DC [email protected], or toll- accordance with Rules 211 and 214 of 20426. free at 1–866–208–3676, or for TTY, the Commission’s Rules of Practice and This filing is accessible online at 202–502–8659. Procedure (18 CFR 385.211, 385.214). http://www.ferc.gov, using the You may also register online at Protests will be considered by the ‘‘eLibrary’’ link and is available for www.ferc.gov/docs-filing/ Commission in determining the review in the Commission’s Public esubscription.asp to be notified via e- appropriate action to be taken, but will Reference Room in Washington, DC. mail of new filings and issuances not serve to make protestants parties to There is an ‘‘eSubscription’’ link on the related to this or other pending projects. the proceeding. Any person wishing to Web site that enables subscribers to For assistance, contact FERC Online become a party must file a notice of receive e-mail notification when a Support. intervention or motion to intervene, as document is added to a subscribed Any comments should be filed within appropriate. Such notices, motions, or docket(s). For assistance with any FERC 30 days from the date of this notice. protests must be filed on or before the

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comment date. On or before the Enter the docket number excluding the Protection Agency (EPA) is planning to comment date, it is not necessary to last three digits in the docket number submit a request for a new Information serve motions to intervene or protests field to access the document. For Collection Request (ICR) to the Office of on persons other than the Applicant. assistance, contact FERC at Management and Budget (OMB). Before The Commission encourages [email protected] or call submitting the ICR to OMB for review electronic submission of protests and toll-free, (866) 208–3676 or TTY, (202) and approval, EPA is soliciting interventions in lieu of paper using the 502–8659. comments on specific aspects of the ‘‘eFiling’’ link at http://www.ferc.gov. Any questions regarding the proposed information collection as Persons unable to file electronically application should be directed to Fredic described below. should submit an original and 14 copies J. George, Senior Counsel, Columbia Gas DATES: Comments must be submitted on of the protest or intervention to the Transmission, LLC, P.O. Box 1273, or before November 9, 2010. Charleston, West Virginia 25325–1273 Federal Energy Regulatory Commission, ADDRESSES: Submit your comments, 888 First Street, NE., Washington, DC at (304) 357–2359, or by e-mail at identified by Docket ID No. EPA–HQ– 20426. [email protected]. OW–2010–0689, by one of the following Any person may, within 60 days after This filing is accessible on-line at methods: the issuance of the instant notice by the http://www.ferc.gov, using the • http://www.regulations.gov: Follow Commission, file pursuant to Rule 214 ‘‘eLibrary’’ link and is available for the on-line instructions for submitting of the Commission’s Procedural Rules review in the Commission’s Public comments. Reference Room in Washington, DC. (18 CFR 385.214) a motion to intervene • E-mail: [email protected]. There is an ‘‘eSubscription’’ link on the or notice of intervention. Any person • Fax: 202–564–3757. Web site that enables subscribers to filing to intervene or the Commission’s • Mail: Water Docket, EPA Docket receive e-mail notification when a staff may, pursuant to section 157.205 of Center (EPA/DC), Environmental document is added to a subscribed the Commission’s regulations under the Protection Agency, Mailcode: 28221T, docket(s). For assistance with any FERC NGA (18 CFR 157.205) file a protest to 1200 Pennsylvania Avenue, NW., Online service, please e-mail the request. If no protest is filed within Washington, DC 20460. [email protected], or call the time allowed therefore, the proposed • Hand Delivery: Water Docket, EPA (866) 208–3676 (toll free). For TTY, call activity shall be deemed to be Docket Center (EPA/DC), EPA West, (202) 502–8659. authorized effective the day after the Room 3334, 1301 Constitution Ave., Comment Date: 5 p.m. Eastern Time time allowed for protest. If a protest is NW., Washington, DC. on September 30, 2010. filed and not withdrawn within 30 days Instructions: Direct your comments to after the time allowed for filing a Kimberly D. Bose, Docket ID No. EPA–HQ–OW–2010– protest, the instant request shall be 0689. EPA’s policy is that all comments Secretary. treated as an application for [FR Doc. 2010–22511 Filed 9–9–10; 8:45 am] received will be included in the public authorization pursuant to section 7 of docket without change and may be BILLING CODE 6717–01–P the NGA. made available online at http:// The Commission strongly encourages www.regulations.gov, including any electronic filings of comments, protests, DEPARTMENT OF ENERGY personal information provided, unless and interventions via the internet in lieu the comment includes information of paper. See 18 CFR 385.2001(a)(1)(iii) Federal Energy Regulatory claimed to be Confidential Business and the instructions on the Commission Information (CBI) or other information Commission’s Web site (http:// of which disclosure is restricted by [Docket No. CP10–489–000] ‘‘ ’’ www.ferc.gov) under the e-Filing link. statute. Do not submit information that Columbia Gas Transmission, LLC; Kimberly D. Bose, you consider to be CBI or otherwise Notice of Request Under Blanket Secretary. protected through http:// Authorization [FR Doc. 2010–22510 Filed 9–9–10; 8:45 am] www.regulations.gov or by e-mail. The BILLING CODE 6717–01–P http://www.regulations.gov Web site is September 2, 2010. an ‘‘anonymous access’’ system, which Take notice that on August 23, 2010, means EPA will not know your identity Columbia Gas Transmission, LLC ENVIRONMENTAL PROTECTION or contact information unless you (Columbia), 5151 San Felipe, Suite AGENCY provide it in the body of your comment. 2500, Houston, TX, 77056, filed an If you send an e-mail comment directly application pursuant to Section 7(b), [EPA–HQ–OW–2010–0689; FRL–9200–2] to EPA without going through http:// Parts 157.205 and 157.216, of the www.regulations.gov, your e-mail Commission’s regulations under the Agency Information Collection address will be automatically captured Natural Gas Act (NGA) for authorization Activities: Proposed Collection; and included as part of the comment to abandon: (1) The Weaver Storage Comment Request; 2011 Drinking that is placed in the public docket and Well No. 9297 together with the Water Infrastructure Needs Survey and made available on the Internet. If you associated well pipeline designated as Assessment (Reinstatement); EPA ICR submit an electronic comment, EPA Line SLW–9297 and appurtenances; and No. 2234.03; OMB Control No. 2040– recommends that you include your (2) the Lucas Storage Well No. 10572 0274 name and other contact information in together with the associated well AGENCY: Environmental Protection the body of your comment and with any pipeline designated as Line SWL–10572 Agency (EPA). disk or CD–ROM you submit. If EPA and appurtenances, all as more fully set ACTION: Notice. cannot read your comment due to forth in the application, which is on file technical difficulties and cannot contact with the Commission and open to SUMMARY: In compliance with the you for clarification, EPA may not be public inspection. The filing may also Paperwork Reduction Act (PRA) (44 able to consider your comment. be viewed on the Web at http:// U.S.C. 3501 et seq.), this document Electronic files should avoid the use of www.ferc.gov using the ‘‘eLibrary’’ link. announces that the Environmental special characters or any form of

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encryption and be free of any defects or use of appropriate automated electronic, by other appropriate means, such as on viruses. For additional information mechanical, or other technological the related collection instrument or about EPA’s public docket visit the EPA collection techniques or other forms of form, if applicable. The display of OMB Docket Center homepage at http:// information technology, e.g., permitting control numbers in certain EPA www.epa.gov/dockets. electronic submission of responses. In regulations is consolidated in 40 CFR FOR FURTHER INFORMATION CONTACT: particular, EPA is requesting comments part 9. Robert Barles, Drinking Water from very small businesses (those that Abstract: The purpose of this Protection Division (Mail Code 4606M), employ less than 25 people) on information collection is to identify the Office of Ground Water and Drinking examples of specific additional efforts infrastructure needs of public water Water, U.S. EPA, 1200 Pennsylvania that EPA could make to reduce the systems for the 20-year period from Avenue, NW., Washington, DC 20460; paperwork burden for very small January 2011 through December 2031. telephone number: 202–564–3814; fax businesses affected by this collection. EPA’s Office of Ground Water and Drinking Water (OGWDW) will collect number: 202–564–3757; e-mail address: What should I consider when I prepare [email protected]. these data to comply with Sections my comments for EPA? 1452(h) and 1452(i)(4) of the Safe SUPPLEMENTARY INFORMATION: You may find the following Drinking Water Act (42 U.S.C. 300j–12). How can I access the docket and/or suggestions helpful for preparing your EPA will use a questionnaire to submit comments? comments: collect capital investment need 1. Explain your views as clearly as information from community water EPA has established a public docket possible and provide specific examples. systems serving more than 3,300 for this ICR under Docket ID No. EPA– 2. Describe any assumptions that you persons and from American Indian and HQ–OW–2010–0689 which is available used. Alaskan Native Village community for online viewing at http:// 3. Provide copies of any technical water systems and not-for-profit non- www.regulations.gov or in person information and/or data you used that community water systems serving more viewing at the Water Docket in the EPA support your views. than 25 persons. Participation in the Docket Center (EPA/DC), EPA West, 4. If you estimate potential burden or survey is voluntary. The data from the Room 3334, 1301 Constitution Ave., costs, explain how you arrived at the questionnaires will provide EPA with a NW., Washington, DC. The EPA/DC estimate that you provide. basis for estimating the nationwide Public Reading Room is open from 8:30 5. Offer alternative ways to improve infrastructure needs of public water a.m. to 4:30 p.m., Monday through the collection activity. systems. Also, as mandated by section Friday, excluding legal holidays. The 6. Make sure to submit your 1452(a)(1)(D)(ii) of the Safe Drinking telephone number for the Reading Room comments by the deadline identified Water Act, EPA uses the results of the is 202–566–1744 and the telephone under DATES. latest survey to allocate the next fiscal number for the Water Docket is 202– 7. To ensure proper receipt by EPA, year’s appropriation of the Drinking 566–2426. be sure to identify the docket ID number Water State Revolving Fund (DWSRF) Use http://www.regulations.gov to assigned to this action in the subject monies to the States. Under the obtain a copy of the draft collection of line on the first page of your response. allotment formula, each state receives a information, submit or view public You may also provide the name, date grant of the annual DWSRF comments, access the index listing of and Federal Register citation. appropriation in proportion to its share the contents of the docket, and access of the total national need—with the What information collection activity or those documents in the public docket proviso that each state receives at least that are available electronically. Once in ICR does this apply to? one percent of the total funds available. the system, select ‘‘search,’’ then key in Affected entities: Entities potentially Burden Statement: Over the entire the docket ID number identified in this affected by this action are those which survey effort, the annual public document. own, operate or regulate community reporting and recordkeeping burden for this collection of information is What information is EPA particularly water systems including, but not limited estimated to average 7.55 hours per interested in? to, owners/operators of community water systems, state environmental response for States and water system Pursuant to section 3506(c)(2)(A) of water quality agencies, and state respondents combined. However, nearly the PRA, EPA specifically solicits departments of health. all of the responses from water systems comments and information to enable it Title: 2011 Drinking Water will occur in the single year of 2011. to: Infrastructure Needs Survey and Burden means the total time, effort, or (i) Evaluate whether the proposed Assessment (DWINSA) (Reinstatement). financial resources expended by persons collection of information is necessary ICR numbers: EPA ICR No. 2234.03, to generate, maintain, retain, or disclose for the proper performance of the OMB Control No. 2040–0274. or provide information to or for a functions of the Agency, including ICR status: This ICR seeks Federal agency. This includes the time whether the information will have reinstatement of a previously approved needed to review instructions; develop, practical utility; information collection activity that was acquire, install and utilize technology (ii) Evaluate the accuracy of the discontinued on December 31, 2009. An and systems for the purposes of Agency’s estimate of the burden of the agency may not conduct or sponsor, and collecting, validating, and verifying proposed collection of information, a person is not required to respond to, information, processing and including the validity of the a collection of information, unless it maintaining information, and disclosing methodology and assumptions used; displays a currently valid OMB control and providing information; adjust the (iii) Enhance the quality, utility, and number. The OMB control numbers for existing ways to comply with any clarity of the information to be EPA’s regulations in title 40 of the CFR, previously applicable instructions and collected; and after appearing in the Federal Register requirements which have subsequently (iv) Minimize the burden of the when approved, are listed in 40 CFR changed; train personnel to be able to collection of information on those who part 9, and are displayed either by respond to a collection of information; are to respond, including through the publication in the Federal Register or search data sources; complete and

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review the collection of information; availability of EPA comments, which Wait Period Ends: 10/11/2010, and transmit or otherwise disclose the includes a brief summary of EPA’s Contact: Greg Helseth 702–515–5173. information. comment letters, in the Federal EIS No. 20100366, Final EIS, USFWS, The ICR provides a detailed Register. Since February 2008, EPA has MT, Montana Department of Natural explanation of the Agency’s estimate, been including its comment letters on Resources and Conservation Forested which is only briefly summarized here: EISs on its Web site at: http:// Trust Lands Habitat Conservation • Estimated total number of potential www.epa.gov/compliance/nepa/ Plan, Issuance of Incidental Take respondents: 3,176. eisdata.html. Including the entire EIS Permit, Implementation, MT, Wait • Frequency of response: Once. comment letters on the website satisfies Period Ends: 10/11/2010, Contact: • Estimated total average number of the Section 309(a) requirement to make Kathleen Ports 406–542–4330. responses for each respondent: One per EPA’s comments on EISs available to Amended Notices system. the public. Accordingly, on March 31, • Estimated total annual burden: 2010, EPA discontinued the publication EIS No. 20100322, Draft EIS, USAF, 00, 16,250 hours. of the notice of availability of EPA Powder River Training Complex • Estimated total annual costs: comments in the Federal Register. Project, Proposal to Improve Airspace $613,014. This includes an estimated EIS No. 20100360, Draft EIS, USFS, CA, for Training, Primarily, B–1 Aircrews burden cost of $613,014 and an Gemmill Thin Project, Updated at Ellsworth AFB, South Dakota, and estimated cost of $0.00 for capital Information on Four Alternatives, B–52 Aircrews at Minot AFB, North investment or maintenance and Chanchellula Late-Successional Dakota, Comment Period Ends: 11/15/ operational costs. Reserve, Shasta-Trinity National 2010, Contact: Linda Devine 757– 964–9434. What is the next step in the process for Forest, Trinity County, CA, Comment Revision to FR Notice Published 08/ this ICR? Period Ends: 10/25/2010, Contact: Bobbie DiMonte Miller 530–226– 20/2010: Change to Contact Phone EPA will consider the comments 2425. Number and Change Comment Period received and amend the ICR as EIS No. 20100361, Revised Draft EIS, from 11/17/2010 to 11/15/2010. appropriate. The final ICR package will FHWA, CO, PROGRAMMATIC—I–70 Dated: September 7, 2010. then be submitted to OMB for review Mountain Corridor Tier 1 Project, and approval pursuant to 5 CFR Cliff Rader, from Glenwood Springs and C–470, Environmental Protection Specialist, Office 1320.12. At that time, EPA will issue Proposes to Increase Capacity, another Federal Register notice of Federal Activities. Improve Accessibility and Mobility, [FR Doc. 2010–22617 Filed 9–9–10; 8:45 am] pursuant to 5 CFR 1320.5(a)(1)(iv) to and Decrease Congestion, Colorado, BILLING CODE 6560–50–P announce the submission of the ICR to Garfield, Eagle, Summit, Clear Creek, OMB and the opportunity to submit and Jefferson Counties, CO, Comment additional comments to OMB. If you Period Ends: 11/08/2010, Contact: ENVIRONMENTAL PROTECTION have any questions about this ICR or the Monica Pavilik, P.E. 720–963–3012. AGENCY approval process, please contact the EIS No. 20100362, Draft EIS, USFS, CA, technical person listed under the FOR Big Pony Project, Proposes to Reduce [FRL–9199–9] FURTHER INFORMATION CONTACT section. Fire Hazard to Permanent Research Notice of Proposed Administrative Dated: September 3, 2010. Plots and to Areas Within and Settlement Pursuant to the Adjacent to Wildland Urban Interface Cynthia C. Dougherty, Comprehensive Environmental near Tennant, Goosenest Ranger Director, Office of Ground Water and Drinking Response, Compensation, and Liability District, Klamath National Forest, Water. Act [FR Doc. 2010–22642 Filed 9–9–10; 8:45 am] Siskiyou County, CA, Comment BILLING CODE 6560–50–P Period Ends: 10/25/2010, Contact: AGENCY: Environmental Protection Wendy Coats 530–841–4470. Agency. EIS No. 20100363, Draft EIS, NOAA, ACTION: Notice; request for public ENVIRONMENTAL PROTECTION CA, Gray’s Reef National Marine comment. AGENCY Sanctuary (GRNMS) Research Areas Designation, Establish a Research SUMMARY: In accordance with Section [ER–FRL–8992–6] Area, Implementation, GA, Comment 122(h) of the Comprehensive Environmental Impacts Statements; Period Ends: 12/08/2010, Contact: Environmental Response, Notice of Availability George Sedberry 912–598–2345. Compensation, and Liability Act, as EIS No. 20100364, Final EIS, USN, 00, amended (‘‘CERCLA’’), 42 U.S.C. 9622(i), Responsible Agency: Office of Federal Northwest Training Range Complex notice is hereby given of a proposed Activities, General Information (202) (NWTRC), Support and Conduct administrative settlement concerning 564–1399 or http://www.epa.gov/ Current, Emerging, and Future the Malone Service Company Superfund compliance/nepa/. Training, and Research Development, Site, Texas City, Galveston County, Weekly receipt of Environmental Impact Test and Evaluation (RDT&E) Texas. Statements. Activities, WA, OR, and CA, Wait The settlement requires the thirty-two Filed 08/30/2010 through 09/03/2010. Period Ends: 10/11/2010, Contact: (32) settling parties to pay a total of Pursuant to 40 CFR 1506.9. Kimberly Kler 360–396–0927. $1,015,013 payment of response costs to Notice: EIS No. 20100365, Final EIS, BLM, NV, the Hazardous Substances Superfund. In accordance with Section 309(a) of Silver State Solar Energy Project, The settlement includes a covenant not the Clean Air Act, EPA is required to Construction and Operation of a 400- to sue pursuant to Sections 106 or 107 make its comments on EISs issued by megawatt Photovoltaic Solar Plant of CERCLA, 42, U.S.C. 9606 or 9607. other Federal agencies public. and Associated Facilities on Public For thirty (30) days following the date Historically, EPA has met this mandate Lands, Application, Right-of-Way of publication of this notice, the Agency by publishing weekly notices of Grant, Primm and Clark Counties, NV, will receive written comments relating

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to this notice and will receive written commercial institutions; institutional or contact information unless you comments relating to the settlement. and industrial areas/premises; provide it in the body of your comment. The Agency will consider all comments swimming pool water systems; If you send an e-mail comment directly received and may modify or withdraw household or domestic dwelling to EPA without going through its consent to the settlement if contents; evaporated condenser water regulations.gov, your e-mail address comments received disclose facts or systems; irrigation systems; and metal will be automatically captured and considerations which indicate that the working fluids. The request would not included as part of the comment that is settlement is inappropriate, improper, terminate the last tetrahydro-3,5- placed in the docket and made available or inadequate. The Agency’s response to dimethyl-2H-1,3,5-thiadiazine-2-thione on the Internet. If you submit an any comments received will be available products registered for use in the United electronic comment, EPA recommends for public inspection at 1445 Ross States. EPA intends to grant this request that you include your name and other Avenue, Dallas, Texas 75202–2733. at the close of the comment period for contact information in the body of your DATES: Comments must be submitted on this announcement unless the Agency comment and with any disk or CD-ROM or before October 12, 2010. receives substantive comments within you submit. If EPA cannot read your ADDRESSES: The proposed settlement the comment period that would merit its comment due to technical difficulties and additional background information further review of the request, or unless and cannot contact you for clarification, relating to the settlement are available the registrant withdraws its request. If EPA may not be able to consider your for public inspection at 1445 Ross this request is granted, any sale, comment. Electronic files should avoid Avenue, Dallas, Texas 75202–2733. A distribution, or use of products listed in the use of special characters, any form copy of the proposed settlement may be this notice will be permitted after the of encryption, and be free of any defects obtained from Patrice Miller, 1445 Ross uses are deleted only if the sale, or viruses. Avenue, Dallas, Texas 75202–2733 or by distribution, or use is consistent with Docket: All documents in the docket are listed in the docket index available calling (214) 665–3158. Comments the terms as described in the final order. at http://www.regulations.gov. Although should reference the Malone Service DATES: Comments must be received on listed in the index, some information is Company Superfund Site, Texas City, or before October 12, 2010. not publicly available, e.g., CBI or other Galveston County, Texas, and EPA ADDRESSES: Submit your comments, information whose disclosure is Docket Number 06–17–07, and should identified by docket identification (ID) restricted by statute. Certain other be addressed to Patrice Miller at the number EPA–HQ–OPP–2005–0128, by material, such as copyrighted material, address listed above. one of the following methods: • is not placed on the Internet and will be FOR FURTHER INFORMATION CONTACT: Federal eRulemaking Portal: http:// publicly available only in hard copy Anne Foster, 1445 Ross Avenue; Dallas, www.regulations.gov. Follow the on-line form. Publicly available docket Texas 75202–2733 or call (214) 665– instructions for submitting comments. • materials are available either in the 2169. Mail: Office of Pesticide Programs electronic docket at http:// Dated: August 30, 2010. (OPP) Regulatory Public Docket (7502P), www.regulations.gov, or, if only Al Armendariz, Environmental Protection Agency, 1200 available in hard copy, at the OPP Pennsylvania Ave., NW., Washington, Regional Administrator, Region 6. Regulatory Public Docket in Rm. S– DC 20460–0001. 4400, One Potomac Yard (South Bldg.), [FR Doc. 2010–22641 Filed 9–9–10; 8:45 am] • Delivery: OPP Regulatory Public BILLING CODE 6560–50–P 2777 S. Crystal Dr., Arlington, VA. The Docket (7502P), Environmental hours of operation of this Docket Protection Agency, Rm. S–4400, One Facility are from 8:30 a.m. to 4 p.m., ENVIRONMENTAL PROTECTION Potomac Yard (South Bldg.), 2777 S. Monday through Friday, excluding legal AGENCY Crystal Dr., Arlington, VA. Deliveries holidays. The Docket Facility’s are only accepted during the Docket telephone number is (703) 305–5805. [EPA–HQ–OPP–2005–0128; FRL–8843–2] Facility’s normal hours of operation FOR FURTHER INFORMATION CONTACT: (8:30 a.m. to 4 p.m., Monday through Tetrahydro-3,5-dimethyl-2H-1,3,5- Abigail Downs, Antimicrobials Division Friday, excluding legal holidays). (7501P), Office of Pesticide Programs, thiadiazine-2-thione (Dazomet); Notice Special arrangements should be made of Receipt of Request to Voluntarily Environmental Protection Agency, 1200 for deliveries of boxed information. The Pennsylvania Ave., NW., Washington, Amend Registrations To Terminate Docket Facility’s telephone number is Certain Uses DC 20460–0001; telephone number: (703) 305–5805. (703) 305–5259; fax number: (703) 308– AGENCY: Environmental Protection Instructions: Direct your comments to 6467; e-mail address: Agency (EPA). docket ID number EPA–HQ–OPP–2005– [email protected]. ACTION: Notice. 0128. EPA’s policy is that all comments received will be included in the docket SUPPLEMENTARY INFORMATION: SUMMARY: In accordance with section without change and may be made I. General Information 6(f)(1) of the Federal Insecticide, available on-line at http:// Fungicide, and Rodenticide Act www.regulations.gov, including any A. Does this Action Apply to Me? (FIFRA), as amended, EPA is issuing a personal information provided, unless This action is directed to the public notice of receipt of a request by the the comment includes information in general, and may be of interest to a registrant to voluntarily amend two claimed to be Confidential Business wide range of stakeholders including tetrahydro-3,5-dimethyl-2H-1,3,5- Information (CBI) or other information environmental, human health, and thiadiazine-2-thione product whose disclosure is restricted by statute. agricultural advocates; the chemical registrations to terminate or delete one Do not submit information that you industry; pesticide users; and members or more uses. The request would delete consider to be CBI or otherwise of the public interested in the sale, tetrahydro-3,5-dimethyl-2H-1,3,5- protected through regulations.gov or e- distribution, or use of pesticides. Since thiadiazine-2-thione use in or on air mail. The regulations.gov website is an others also may be interested, the washer systems; eating establishments; ‘‘anonymous access’’ system, which Agency has not attempted to describe all hospitals and related institutions; means EPA will not know your identity the specific entities that may be affected

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by this action. If you have any questions 2. Tips for preparing your comments. II. Background on the Receipt of regarding the applicability of this action When submitting comments, remember Requests to Cancel and/or Amend to a particular entity, consult the person to: Registrations to Delete Uses listed under FOR FURTHER INFORMATION i. Identify the document by docket ID This notice announces receipt by EPA CONTACT. number and other identifying information (subject heading, Federal of a request from registrant Verichem, B. What Should I Consider as I Prepare Register date and page number). Inc., to delete certain uses of tetrahydro- My Comments for EPA? ii. Follow directions. The Agency may 3,5-dimethyl-2H-1,3,5-thiadiazine-2- ask you to respond to specific questions thione product registrations. In letters 1. Submitting CBI. Do not submit this or organize comments by referencing a dated April 29, 2009, October 6, 2009, information to EPA through Code of Federal Regulations (CFR) part and July 8, 2010, Verichem, Inc., regulations.gov or e-mail. Clearly mark or section number. requested EPA to amend to delete the part or all of the information that iii. Explain why you agree or disagree; certain uses of pesticide product you claim to be CBI. For CBI suggest alternatives and substitute registrations identified in Table 1 of information in a disk or CD-ROM that language for your requested changes. Unit III. you mail to EPA, mark the outside of the iv. Describe any assumptions and III. What Action is the Agency Taking? disk or CD-ROM as CBI and then provide any technical information and/ identify electronically within the disk or or data that you used. This notice announces receipt by EPA CD-ROM the specific information that is v. If you estimate potential costs or of a request from Verichem, Inc., to claimed as CBI. In addition to one burdens, explain how you arrived at delete certain uses of tetrahydro-3,5- your estimate in sufficient detail to complete version of the comment that dimethyl-2H-1,3,5-thiadiazine-2-thione allow for it to be reproduced. product registrations. The affected includes information claimed as CBI, a vi. Provide specific examples to products are identified in Tables 1 and copy of the comment that does not illustrate your concerns and suggest 2 of this unit. contain the information claimed as CBI alternatives. must be submitted for inclusion in the vii. Explain your views as clearly as Unless a request is withdrawn by the public docket. Information so marked possible, avoiding the use of profanity registrant or if the Agency determines will not be disclosed except in or personal threats. that there are substantive comments that accordance with procedures set forth in viii. Make sure to submit your warrant further review of this request, 40 CFR part 2. comments by the comment period EPA intends to issue an order amending deadline identified. the affected registrations.

TABLE 1.—TETRAHYDRO-3,5-DIMETHYL-2H-1,3,5-THIADIAZINE-2-THIONE PRODUCT REGISTRATIONS WITH PENDING REQUESTS FOR AMENDMENT

Registration Number Product Name Company Uses to be Deleted

67869–18 N521 Technical Verichem, Inc. Air washer systems Eating establishments Hospitals and related institutions Commercial institutions Institutional and industrial areas/premises Swimming pool water systems Household or domestic dwelling contents Evaporated condenser water systems Irrigation systems

67869–46 VeriGuard OD Verichem, Inc. Metal working Fluids

Table 2 of this unit includes the name IV. What is the Agency’s Authority for comment period on a request for and address of record for the registrant Taking this Action? voluntary cancellation or termination of of the products listed in Table 1 of this Section 6(f)(1) of FIFRA provides that any minor agricultural use before unit. a registrant of a pesticide product may granting the request, unless: at any time request that any of its 1. The registrants request a waiver of TABLE 2.— REGISTRANTS REQUESTING pesticide registrations be canceled or the comment period, or VOLUNTARY CANCELLATION AND/OR amended to terminate one or more uses. 2. The EPA Administrator determines AMENDMENTS FIFRA further provides that, before that continued use of the pesticide acting on the request, EPA must publish would pose an unreasonable adverse EPA Company Company Name and a notice of receipt of any request in the Number Address Federal Register. effect on the environment. Section 6(f)(1)(B) of FIFRA requires The tetrahydro-3,5-dimethyl-2H-1,3,5- 67869 Verichem, Inc. that before acting on a request for thiadiazine-2-thione registrant has 3499 Grand Avenue Pittsburgh, PA 15225 voluntary cancellation, EPA must requested that EPA waive the 180–day provide a 30–day public comment comment period. Accordingly, EPA will period on the request for voluntary provide a 30–day comment period on cancellation or use termination. In the proposed requests. addition, FIFRA section 6(f)(1)(C) requires that EPA provide a 180–day

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V. Procedures for Withdrawal of List of Subjects License Date No. Name/Address reissued Request Environmental protection, Registrants who choose to withdraw a Antimicrobials, Pesticides and pests, 018694F Global Parcel Aug. 13, System LLC, 2010. request for product cancellation or use Tetrahydro-3,5-dimethyl-2H-1,3,5- thiadiazine-2-thione. 8304 North- deletion should submit the withdrawal west 30th Ter- FOR in writing to the person listed under Dated: August 26, 2010. race, Miami, FURTHER INFORMATION CONTACT. If the Joan Harrigan-Farrelly, FL 33122. products have been subjected to a previous cancellation action, the Director, Antimicrobials Division, Office of Pesticide Programs. Sandra L. Kusumoto, effective date of cancellation and all [FR Doc. 2010–22482Filed 9–9–10; 8:45 am] Director, Bureau of Certification and other provisions of any earlier Licensing. cancellation action are controlling. BILLING CODE 6560–50–S [FR Doc. 2010–22553 Filed 9–9–10; 8:45 am] VI. Provisions for Disposition of BILLING CODE P Existing Stocks FEDERAL MINE SAFETY AND HEALTH Existing stocks are those stocks of REVIEW COMMISSION registered pesticide products that are DEPARTMENT OF HEALTH AND Sunshine Act Notice currently in the United States and were HUMAN SERVICES packaged, labeled, and released for September 3, 2010. Centers for Medicare & Medicaid shipment prior to the effective date of TIME AND DATE: 10 a.m., Thursday, the action. If the request for September 16, 2010. Services amendments to delete uses is granted, PLACE: The Richard V. Backley Hearing [Document Identifier: CMS–416] the Agency intends to publish the Room, 9th Floor, 601 New Jersey cancellation order in the Federal Avenue, NW., Washington, DC. Register. Agency Information Collection STATUS: Open. In any order issued in response to this Activities: Submission for OMB MATTERS TO BE CONSIDERED: The Review; Comment Request request for an amendment to delete Commission will consider and act upon uses, EPA proposes to include the the following in open session: Secretary AGENCY: Centers for Medicare & following provisions for the treatment of of Labor v. Dynamic Energy, Inc., Docket Medicaid Services. any existing stocks of the products No. WEVA 2007–448–R. (Issues include In compliance with the requirement listed in Table 1 of Unit III. whether the administrative law judge of section 3506I(2)(A) of the Paperwork For voluntary product cancellations, properly found a violation of 30 CFR Reduction Act of 1995, the Centers for registrants will be permitted to sell and 77.1607(b), which requires mobile Medicare & Medicaid Services (CMS), distribute existing stocks of voluntarily equipment operators to have ‘‘full Department of Health and Human canceled products for 1 year after the control’’ of their equipment while it is Services, is publishing the following effective date of the cancellation which in motion.) summary of proposed collections for will be the date of publication of the Any person attending this meeting public comment. Interested persons are cancellation order in the Federal who requires special accessibility invited to send comments regarding this Register. Thereafter, registrants will be features and/or auxiliary aids, such as burden estimate or any other aspect of prohibited from selling or distributing sign language interpreters, must inform this collection of information, including the products identified in Table 1 of the Commission in advance of those any of the following subjects: (1) The Unit III., except for export consistent needs. Subject to 29 CFR 2706.150(a)(3) necessity and utility of the proposed with FIFRA section 17 or for proper and § 2706.160(d). information collection for the proper disposal. CONTACT PERSON FOR MORE INFO: Jean performance of the Agency’s function; Once EPA has approved product Ellen, (202) 434–9950/(202) 708–9300 (2) the accuracy of the estimated labels reflecting the requested for TDD Relay/1–800–877–8339 for toll burden; (3) ways to enhance the quality, amendments to delete uses, registrants free. utility, and clarity of the information to will be permitted to sell or distribute be collected; and (4) the use of Jean H. Ellen, products under the previously approved automated collection techniques or labeling for a period of 18 months after Chief Docket Clerk. other forms of information technology to the date of Federal Register publication [FR Doc. 2010–22700 Filed 9–8–10; 11:15 am] minimize the information collection of the cancellation order, unless other BILLING CODE 6735–01–P burden. restrictions have been imposed. 1. Type of Information Collection Thereafter, registrants will be prohibited Request: Revision of a currently from selling or distributing the products FEDERAL MARITIME COMMISSION approved collection; Title of whose labels include the deleted uses Information Collection: Annual Early identified in Table 1 of Unit III., except Ocean Transportation Intermediary and Periodic Screening, Diagnostic and for export consistent with FIFRA section License Reissuance Treatment (EPSDT) Services 17 or for proper disposal. Notice is hereby given that the Participation Report; Form Number: Persons other than the registrant may following Ocean Transportation CMS–416 (OMB#: 0938–0354); Use: sell, distribute, or use existing stocks of Intermediary license has been reissued States are required to submit an annual products whose labels include the by the Federal Maritime Commission report on the provision of EPSDT deleted uses until supplies are pursuant to section 19 of the Shipping services pursuant to section exhausted, provided that the sale, Act of 1984 (46 U.S.C. Chapter 409) and 1902(a)(43)(D) of the Social Security distribution, or use is consistent with the regulations of the Commission Act. These reports provide CMS with the terms of the previously approved pertaining to the licensing of Ocean data necessary to assess the labeling on, or that accompanied, the Transportation Intermediaries, 46 CFR effectiveness of State EPSDT programs, deleted uses. Part 515. to determine a State’s results in

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achieving its participation goal and to estimate or any other aspect of this 786–8680. For all other issues call 410– respond to inquiries. Respondents are collection of information, including any 786–1326.) State Medicaid Agencies. The data is of the following subjects: (1) The 2. Type of Information Collection due April 1 of every year so States need necessity and utility of the proposed Request: Extension of a currently to have the form and instructions as information collection for the proper approved collection; Title of soon as possible in order to report performance of the agency’s functions; Information Collection: Medicaid State timely. Frequency: Yearly; Affected (2) the accuracy of the estimated Program Integrity Assessment (SPIA); Public: State, Tribal and Local burden; (3) ways to enhance the quality, Use: Under the provisions of the Deficit governments; Number of Respondents: utility, and clarity of the information to Reduction Act (DRA) of 2005, the 56; Total Annual Responses: 112; Total be collected; and (4) the use of Congress directed CMS to establish the Annual Hours: 1,568. (For policy automated collection techniques or Medicaid Integrity Program (MIP), CMS’ questions regarding this collection other forms of information technology to first national strategy to combat contact Cindy Ruff at 410–786–5916. minimize the information collection Medicaid fraud, waste, and abuse. CMS For all other issues call 410–786–1326.) burden. has two broad responsibilities under the To obtain copies of the supporting 1. Type of Information Collection MIP: (1) Reviewing the actions of statement and any related forms for the Request: Extension of a currently individuals or entities providing proposed paperwork collections approved collection; Title of services or furnishing items under referenced above, access CMS Web Site Information Collection: Physician Self- Medicaid; conducting audits of claims address at http://www.cms.hhs.gov/ Referral Exceptions for Electronic submitted for payment; identifying PaperworkReductionActof1995, or E- Prescribing and Electronic Health overpayments; and educating providers mail your request, including your Records; Use: Section 101 of the and others on payment integrity and address, phone number, OMB number, Medicare Prescription Drug, quality of care; and (2) Providing and CMS document identifier, to Improvement, and Modernization Act of effective support and assistance to [email protected], or call the 2003 (MMA) directed the Secretary to States to combat Medicaid fraud, waste, Reports Clearance Office on (410) 786– create an exception to the physician and abuse. In order to fulfill the second of these 1326. self-referral prohibition in section 1877 requirements, CMS developed SPIA. To be assured consideration, of the Social Security Act for certain CMS uses SPIA to collect data on State comments and recommendations for the arrangements in which a physician Medicaid program integrity activities, proposed information collections must receives compensation in the form of develop reports for each State based on be received by the OMB desk officer at items or services (not including cash or these data, determine areas to provide the address below, no later than 5 p.m. ‘‘ cash equivalents) ( nonmonetary States with technical support and on October 12, 2010. ’’ remuneration ) that is necessary and assistance, and develop measures to OMB, Office of Information and used solely to receive and transmit assess States’ performance. Form Regulatory Affairs, Attention: CMS Desk electronic prescription information. Number: CMS–10244 (OMB#: 0938– Officer, Fax Number: (202) 395–6974, E- Also, CMS created a separate regulatory 1033); Frequency: Annually; Affected mail: [email protected]. exception for certain arrangements Public: State, Local, or Tribal Dated: September 3, 2010. involving the provision of nonmonetary Governments; Number of Respondents: Martique Jones, remuneration in the form of electronic 56; Total Annual Responses: 56; Total Director, Regulations Development Division- health records software or information Annual Hours: 1,400. (For policy B, Office of Strategic Operations and technology and training services questions regarding this collection Regulatory Affairs. necessary and used predominantly to contact Mary Jo Cook at 410–786–3231. [FR Doc. 2010–22592 Filed 9–9–10; 8:45 am] create, maintain, transmit, or receive For all other issues call 410–786–1326.) electronic health records. BILLING CODE 4120–01–P 3. Type of Information Collection The conditions for both exceptions Request: New collection; Title of require that arrangements for the items Information Collection: State Plan DEPARTMENT OF HEALTH AND and services provided must be set forth Preprint for Medicaid Recovery Audit HUMAN SERVICES in a written agreement, be signed by the Contractors (RACs); Use: Under section parties involved, specify the items or 1902(a)(42)(B)(i) of the Social Security Centers for Medicare and Medicaid services being provided and the cost of Act, States are required to establish Services those items or services, and cover all of programs to contract with one or more the electronic prescribing and/or [Document Identifier: CMS–10207, CMS– Medicaid RACs for the purpose of 10244, CMS–10343 and CMS–R–131] electronic health records technology to identifying underpayments and be provided by the donating entity. CMS recouping overpayments under the State Agency Information Collection would use the collected information for plan and any waiver of the State plan Activities: Proposed Collection; enforcement purposes; specifically, if with respect to all services for which Comment Request we were investigating the financial payment is made to any entity under relationships between the donors and such plan or waiver. Further, the statute AGENCY: Centers for Medicare and the physicians to determine whether the requires States to establish programs to Medicaid Services. provisions in the exceptions were met. contract with Medicaid RACs in a In compliance with the requirement Form Number: CMS–10207 (OMB#: manner consistent with State law, and of section 3506(c)(2)(A) of the 0938–1009); Frequency: Occasionally; generally in the same manner as the Paperwork Reduction Act of 1995, the Affected Public: Private Sector: Business Secretary contracts with Medicare Centers for Medicare and Medicaid or other for-profits and Not-for-profit RACs. Services (CMS) is publishing the institutions; Number of Respondents: State programs contracted with following summary of proposed 9,796; Total Annual Responses: 38,959; Medicaid RACs are not required to be collections for public comment. Total Annual Hours: 12,451.5. (For fully operational until after December Interested persons are invited to send policy questions regarding this 31, 2010. States may submit, to CMS, a comments regarding this burden collection contact Kristin Bohl at 410– State Plan Amendment (SPA) attesting

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that they will establish a Medicaid RAC comments and recommendations must SUPPLEMENTARY INFORMATION: The Drug program. States have broad discretion be submitted in one of the following Price Competition and Patent Term regarding the Medicaid RAC program ways by November 9, 2010: Restoration Act of 1984 (Public Law 98– design and the number of entities with 1. Electronically. You may submit 417) and the Generic Animal Drug and which they elect to contract. Many your comments electronically to http:// Patent Term Restoration Act (Public States already have experience utilizing www.regulations.gov. Follow the Law 100–670) generally provide that a contingency-fee-based Third Party instructions for ‘‘Comment or patent may be extended for a period of Liability recovery contractors. Form Submission’’ or ‘‘More Search Options’’ up to 5 years so long as the patented Number: CMS–10343 (OMB#: 0938– to find the information collection item (human drug product, animal drug NEW); Frequency: Once; Affected document(s) accepting comments. product, medical device, food additive, Public: State, Local, or Tribal 2. By regular mail. You may mail or color additive) was subject to Governments; Number of Respondents: written comments to the following regulatory review by FDA before the 56; Total Annual Responses: 56; Total address: CMS, Office of Strategic item was marketed. Under these acts, a Annual Hours: 56. (For policy questions Operations and Regulatory Affairs, product’s regulatory review period regarding this collection contact Mary Jo Division of Regulations Development, forms the basis for determining the Cook at 410–786–3231 or Eva Tetteyfio Attention: Document Identifier/OMB amount of extension an applicant may at 410–786–3653. For all other issues Control Number, Room C4–26–05, 7500 receive. call 410–786–1326.) Security Boulevard, Baltimore, A regulatory review period consists of 4. Type of Information Collection Maryland 21244–1850. two periods of time: A testing phase and Request: Extension of a currently an approval phase. For human drug approved collection; Title of Dated: September 3, 2010. Martique Jones, products, the testing phase begins when Information Collection: Advance the exemption to permit the clinical Beneficiary Notice of Noncoverage Director, Regulations Development Division- B, Office of Strategic Operations and investigations of the drug becomes (ABN); Use: Under section 1879 of the effective and runs until the approval Social Security Act, a physician, Regulatory Affairs. [FR Doc. 2010–22593 Filed 9–9–10; 8:45 am] phase begins. The approval phase starts provider, practitioner, or supplier of with the initial submission of an BILLING CODE 4120–01–P items or services participating in the application to market the human drug Medicare program, or taking a claim on product and continues until FDA grants assignment, may bill a Medicare permission to market the drug product. beneficiary for items or services usually DEPARTMENT OF HEALTH AND Although only a portion of a regulatory covered under Medicare, but denied in HUMAN SERVICES review period may count toward the an individual case under one of the Food and Drug Administration actual amount of extension that the several statutory exclusions, if they Director of Patents and Trademarks may inform the beneficiary, prior to award (for example, half the testing furnishing the service, that Medicare is [Docket No. FDA–2010–E–0041] phase must be subtracted as well as any likely to deny payment. Sections 42 CFR time that may have occurred before the 411.404(b) and (c), and 411.408(d)(2) Determination of Regulatory Review patent was issued), FDA’s determination and (f), require written notice be Period for Purposes of Patent of the length of a regulatory review provided to inform beneficiaries in Extension; SAPHRIS advance of potential liability for period for a human drug product will AGENCY: Food and Drug Administration, include all of the testing phase and payment. Form Number: CMS–R–131 HHS. (OMB#: 0938–0566); Frequency: approval phase as specified in 35 U.S.C. ACTION: Notice. Reporting: Weekly, Monthly, Yearly, 156(g)(1)(B). FDA recently approved for marketing Biennially and Occasionally; Affected SUMMARY: The Food and Drug Public: Private Sector: Business or other the human drug product SAPHRIS Administration (FDA) has determined (asenapine). SAPHRIS is an atypical for-profits and Not-for-profit the regulatory review period for institutions; Number of Respondents: antipsychotic indicated for acute SAPHRIS and is publishing this notice treatment of schizophrenia in adults and 1,326,282 ; Total Annual Responses: of that determination as required by 43,725,850; Total Annual Hours: acute treatment of manic or mixed law. FDA has made the determination episodes associated with bipolar I 5,099,309. (For policy questions because of the submission of an regarding this collection contact Evelyn disorder in adults. Subsequent to this application to the Director of Patents approval, the Patent and Trademark Blaemire at 410–786–1803. For all other and Trademarks, Department of issues call 410–786–1326.) Office received a patent term restoration Commerce, for the extension of a patent application for SAPHRIS (U.S. Patent To obtain copies of the supporting which claims that human drug product. statement and any related forms for the No. 5,763,476) from NV Organon, and proposed paperwork collections ADDRESSES: Submit electronic the Patent and Trademark Office referenced above, access CMS’ Web Site comments to http:// requested FDA’s assistance in at http://www.cms.hhs.gov/ www.regulations.gov. Submit written determining this patent’s eligibility for PaperworkReductionActof1995, or E- petitions along with three copies and patent term restoration. In a letter dated mail your request, including your written comments to the Division of March 3, 2010, FDA advised the Patent address, phone number, OMB number, Dockets Management (HFA–305), Food and Trademark Office that this human and CMS document identifier, to and Drug Administration, 5630 Fishers drug product had undergone a [email protected], or call the Lane, rm. 1061, Rockville, MD 20852. regulatory review period and that the Reports Clearance Office on (410) 786– FOR FURTHER INFORMATION CONTACT: approval of SAPHRIS represented the 1326. Beverly Friedman, Office of Regulatory first permitted commercial marketing or In commenting on the proposed Policy, Food and Drug Administration, use of the product. Thereafter, the information collections please reference 10903 New Hampshire Ave., Bldg. 51, Patent and Trademark Office requested the document identifier or OMB control rm. 6222, Silver Spring, MD 20993– that FDA determine the product’s number. To be assured consideration, 0002, 301–796–3602. regulatory review period.

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FDA has determined that the Comments and petitions that have not amount of extension an applicant may applicable regulatory review period for been made publicly available on receive. SAPHRIS is 4,547 days. Of this time, regulations.gov may be viewed in the A regulatory review period consists of 3,833 days occurred during the testing Division of Dockets Management two periods of time: A testing phase and phase of the regulatory review period, between 9 a.m. and 4 p.m., Monday an approval phase. For human drug while 714 days occurred during the through Friday. products, the testing phase begins when the exemption to permit the clinical approval phase. These periods of time Dated: August 13, 2010. were derived from the following dates: investigations of the drug becomes 1. The date an exemption under Jane A. Axelrad, effective and runs until the approval section 505(i) of the Federal Food, Drug, Associate Director for Policy, Center for Drug phase begins. The approval phase starts and Cosmetic Act (the act) (21 U.S.C. Evaluation and Research. with the initial submission of an 355(i)) became effective: March 4, 1997. [FR Doc. 2010–22519 Filed 9–9–10; 8:45 am] application to market the human drug FDA has verified the applicant’s claim BILLING CODE 4160–01–S product and continues until FDA grants that the date the investigational new permission to market the drug product. drug application became effective was Although only a portion of a regulatory on March 4, 1997. DEPARTMENT OF HEALTH AND review period may count toward the 2. The date the application was HUMAN SERVICES actual amount of extension that the initially submitted with respect to the Food and Drug Administration Director of Patents and Trademarks may human drug product under section award (for example, half the testing 505(b) of the act: August 31, 2007. FDA [Docket No. FDA–2009–E–0527] phase must be subtracted as well as any has verified the applicant’s claim that time that may have occurred before the the new drug application (NDA) for Determination of Regulatory Review patent was issued), FDA’s determination SAPHRIS (NDA 22–117) was submitted Period for Purposes of Patent of the length of a regulatory review on August 31, 2007. Extension; ULORIC period for a human drug product will 3. The date the application was AGENCY: Food and Drug Administration, include all of the testing phase and approved: August 13, 2009. FDA has HHS. approval phase as specified in 35 U.S.C. verified the applicant’s claim that NDA 156(g)(1)(B). ACTION: Notice. 22–117 was approved on August 13, FDA recently approved for marketing 2009. SUMMARY: The Food and Drug the human drug product ULORIC This determination of the regulatory Administration (FDA) has determined (febuxostat). ULORIC is indicated for review period establishes the maximum the regulatory review period for chronic management of hyperuricemia potential length of a patent extension. ULORIC and is publishing this notice of in patients with gout. Subsequent to this However, the U.S. Patent and that determination as required by law. approval, the Patent and Trademark Trademark Office applies several FDA has made the determination Office received a patent term restoration statutory limitations in its calculations because of the submission of an application for ULORIC (U.S. Patent No. of the actual period for patent extension. application to the Director of Patents 5,614,520) from Teijin Pharma Ltd., and In its application for patent extension, and Trademarks, Department of the Patent and Trademark Office this applicant seeks 1,827 days of patent Commerce, for the extension of a patent requested FDA’s assistance in term extension. which claims that human drug product. determining this patent’s eligibility for Anyone with knowledge that any of patent term restoration. In a letter dated ADDRESSES: Submit electronic the dates as published are incorrect may February 17, 2010, FDA advised the comments to http:// submit to the Division of Dockets Patent and Trademark Office that this www.regulations.gov. Submit written Management (see ADDRESSES) either human drug product had undergone a petitions along with three copies and electronic or written comments and ask regulatory review period and that the written comments to the Division of for a redetermination by November 9, approval of ULORIC represented the Dockets Management (HFA–305), Food 2010. Furthermore, any interested first permitted commercial marketing or and Drug Administration, 5630 Fishers person may petition FDA for a use of the product. Thereafter, the Lane, rm. 1061, Rockville, MD 20852. determination regarding whether the Patent and Trademark Office requested applicant for extension acted with due FOR FURTHER INFORMATION CONTACT: that FDA determine the product’s diligence during the regulatory review Beverly Friedman, Office of Regulatory regulatory review period. period by March 9, 2011. To meet its Policy, Food and Drug Administration, FDA has determined that the burden, the petition must contain 10903 New Hampshire Ave., Bldg. 51, applicable regulatory review period for sufficient facts to merit an FDA rm. 6222, Silver Spring, MD 20993– ULORIC is 3,395 days. Of this time, investigation. (See H. Rept. 857, part 1, 0002, 301–796–3602. 1,873 days occurred during the testing 98th Cong., 2d sess., pp. 41–42, 1984.) SUPPLEMENTARY INFORMATION: The Drug phase of the regulatory review period, Petitions should be in the format Price Competition and Patent Term while 1,522 days occurred during the specified in 21 CFR 10.30. Restoration Act of 1984 (Public Law 98– approval phase. These periods of time Interested persons may submit to the 417) and the Generic Animal Drug and were derived from the following dates: Division of Dockets Management (see Patent Term Restoration Act (Public 1. The date an exemption under ADDRESSES) electronic or written Law 100–670) generally provide that a section 505(i) of the Federal Food, Drug, comments and written petitions. It is patent may be extended for a period of and Cosmetic Act (the act) (21 U.S.C. only necessary to send one set of up to 5 years so long as the patented 355(i)) became effective: October 31, comments. It is no longer necessary to item (human drug product, animal drug 1999. The applicant claims April 28, send three copies of mailed comments. product, medical device, food additive, 1999, as the date the investigational new However, if you submit a written or color additive) was subject to drug application (IND) became effective. petition, you must submit three copies regulatory review by FDA before the However, FDA records indicate that the of the petition. Identify comments with item was marketed. Under these acts, a IND effective date was October 31, 1999, the docket number found in brackets in product’s regulatory review period which was 30 days after FDA receipt of the heading of this document. forms the basis for determining the the active IND.

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2. The date the application was DEPARTMENT OF HEALTH AND program and an open session for initially submitted with respect to the HUMAN SERVICES comments from the public. human drug product under section Requests to make oral presentations 505(b) of the act: December 15, 2004. Centers for Disease Control and should be submitted in writing to the The applicant claims December 14, Prevention contact person listed below. All requests 2004, as the date the new drug must contain the name, address, application (NDA) for Uloric (NDA 21– Board of Scientific Counselors, telephone number, and organizational 856) was initially submitted. However, National Center for Health Statistics, affiliation of the presenter. (BSC, NCHS) FDA records indicate that NDA 21–856 Written comments should not exceed was submitted on December 15, 2004. In accordance with section 10(a)(2) of five single-spaced typed pages in length 3. The date the application was the Federal Advisory Committee Act and must be received by September 17, approved: February 13, 2009. FDA has (Pub. L. 92–463), the Centers for Disease 2010. verified the applicant’s claim that NDA Control and Prevention (CDC), National The agenda items are subject to 21–856 was approved on February 13, Center for Health Statistics (NCHS) change as priorities dictate. 2009. announces the following meeting of the Contact person for more information: This determination of the regulatory aforementioned committee. Virginia S. Cain, PhD, Director of review period establishes the maximum Extramural Research, NCHS/CDC, 3311 Times and Dates: potential length of a patent extension. Toledo Road, Room 7211, Hyattsville, However, the U.S. Patent and 11 a.m.–5:30 p.m., September 23, Maryland 20782, telephone (301) 458– Trademark Office applies several 2010. 4500, fax (301) 458–4020. statutory limitations in its calculations 8:30 a.m.–2 p.m., September 24, 2010. The Director, Management Analysis of the actual period for patent extension. Place: NCHS Headquarters, 3311 and Services Office, has been delegated In its application for patent extension, Toledo Road, Hyattsville, Maryland the authority to sign Federal Register this applicant seeks 5 years of patent 20782. notices pertaining to announcements of term extension. Status: This meeting is open to the meetings and other committee Anyone with knowledge that any of public on a first come, first serve basis management activities for both CDC and the dates as published are incorrect may up to the meeting room’s capacity. the Agency for Toxic Substances and submit to the Division of Dockets However, visitors must be processed in Disease Registry. accordance with established Federal Management (see ADDRESSES) either Dated: September 3, 2010. electronic or written comments and ask policies and procedures. For foreign Elaine L. Baker, for a redetermination by November 9, nationals or non-US citizens, pre- 2010. Furthermore, any interested approval is required (please contact Management Analysis and Services Office, Centers for Disease Control and Prevention. person may petition FDA for a Althelia Harris, 301–458–4261, determination regarding whether the [email protected] or Virginia Cain, [FR Doc. 2010–22594 Filed 9–9–10; 8:45 am] applicant for extension acted with due [email protected] at least 10 days in BILLING CODE 4163–18–P diligence during the regulatory review advance for requirements). All visitors period by March 9, 2011. To meet its are required to present a valid form of picture identification issued by a state, DEPARTMENT OF HEALTH AND burden, the petition must contain HUMAN SERVICES sufficient facts to merit an FDA Federal or international government. As required by the Federal Property investigation. (See H. Rept. 857, part 1, Agency for Healthcare Research and Management Regulations, Title 41, Code 98th Cong., 2d sess., pp. 41–42, 1984.) Quality Petitions should be in the format of Federal Regulation, Subpart 101– specified in 21 CFR 10.30. 20.301, all persons entering in or on Request for Nominations for AHRQ Interested persons may submit to the Federal controlled property and their Study Section Members Division of Dockets Management (see packages, briefcases, and other AGENCY: ADDRESSES) electronic or written containers in their immediate Agency for Healthcare Research comments and written petitions. It is possession are subject to being x-rayed and Quality (AHRQ), HHS. only necessary to send one set of and inspected. Federal law prohibits the ACTION: Request for nominations for comments. It is no longer necessary to knowing possession or the causing to be public members. send three copies of mailed comments. present of firearms, explosives and other However, if you submit a written dangerous weapons and illegal SUMMARY: In accordance with Title IX of petition, you must submit three copies substances. The meeting room the Public Health Service Act, see 42 of the petition. Identify comments with accommodates approximately 100 U.S.C. 299c–1, and AHRQ’s grant and the docket number found in brackets in people. contract regulations, 42 CFR part 67, the heading of this document. Purpose: This committee is charged applications submitted to AHRQ will be with providing advice and making Comments and petitions that have not evaluated using the AHRQ peer review recommendations to the Secretary, been made publicly available on process to ensure a fair, equitable, and Department of Health and Human regulations.gov may be viewed in the unbiased evaluation of their scientific Services; the Director, CDC; and the Division of Dockets Management and technical merit. The initial peer Director, NCHS, regarding the scientific between 9 a.m. and 4 p.m., Monday review of grant applications involves an and technical program goals and through Friday. assessment conducted by panels of objectives, strategies, and priorities of experts established to include pertinent Dated: August 13, 2010. NCHS. scientific disciplines and medical Jane A. Axelrad, Matters to be discussed: The agenda specialty areas. The confidential part of Associate Director for Policy, Center for Drug will include welcome remarks by the the peer review meetings devoted to Evaluation and Research. Director, NCHS; update on the long- critical evaluations will be closed [FR Doc. 2010–22521 Filed 9–9–10; 8:45 am] term care research program; a meetings in accordance with section BILLING CODE 4160–01–S discussion of the NCHS visitation 10(d) of the Federal Advisory

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Committee Act, as amended (5 U.S.C. (OEREP), Agency for Healthcare ACTION: Notice. Appendix 2). Research and Quality (AHRQ), AHRQ is seeking nominations to fill Department of Health and Human SUMMARY: The Food and Drug approximately 20 to 30 percent of its Services (DHHS), 540 Gaither Road, Administration (FDA) is withdrawing study section membership, across the Room 2032, Rockville, MD 20850, approval of five new drug applications following study sections: Phone: (301) 427–1556, Fax: (301) 427– (NDAs) from multiple holders of these (1) Health System Research (HSR), 1562, e-mail: Kishena.WadhwanjAHRQ applications. The basis for the (2) Health Care Technology and hhs.gov. Decision Sciences (HCTDS), withdrawals is that the holders of the (3) Health Care Quality and FOR FURTHER INFORMATION CONTACT: applications have repeatedly failed to Effectiveness Research (HCQER), and Kishena C. Wadhwani, PhD., M.P.H. file required annual reports for the (4) Health Care Research Training (See ADDRESSES section.) applications. (HCRT). SUPPLEMENTARY INFORMATION: The primary research foci and DATES: Effective September 10, 2010. Background functions of these four study sections FOR FURTHER INFORMATION CONTACT: are described on the AHRQ Web site: Currently, AHRQ has one chartered Florine P. Purdie, Center for Drug (http:Ilwww.AHRQ Health Services Research Initial Review Evaluation and Research, Food and Group (IRG) responsible for the peer .qovlfundlpeerrevlpeerdesc. htm). Drug Administration, 10903 New Individuals from the health services review of research and training grant Hampshire Ave., Bldg. 51, rm. 6366, research and health care community applications submiffed for funding Silver Spring, MD 20993–0002, 301– who could serve as peer reviewers on consideration. The IRG is to advise the these study sections are sought to Director of the Agency on matters 796–3601. replace study section members whose related to scientific and technical merit SUPPLEMENTARY INFORMATION: The terms have expired. In sending your of research grant proposals to improve holders of approved applications to nomination, please specify the the quality, safety, efficiency, and market new drugs for human use are nominee’s professional/scientific/ effectiveness of health care for all required to submit annual reports to technical expertise, affiliations and full Americans. FDA concerning each of their approved contact information, if this information This IRG is currently comprised of applications in accordance with is available. four subcommittees or study sections, § 314.81 (21 CFR 314.81). Factors that will be considered in the each with a particular research focus selection of individuals to serve on around which peer reviewers’ expertise In the Federal Register of September study sections include: competence in a is assembled. These study sections 24, 2009 (74 FR 49760), FDA published scientific, technical or clinical convene three times per year to review a notice offering an opportunity for a discipline or research specialty, the grant applications submitted to the hearing (NOOH) on a proposal to particularly in health services research; three different submission cycles. Study withdraw approval of five NDAs fairness and evenhandedness in section members are appointed for up to because the firms had failed to submit judgment and review; ability to work a maximum of four years. the required annual reports for these effectively in a group context; and Dated: September 1, 2010. applications. The holders of these commitment to complete work Carolyn M. Clancy, applications did not respond to the assignments. Director, AHRQ. NOOH. Failure to file a written notice A diversity of perspectives is valuable of participation and request for hearing [FR Doc. 2010–22544 Filed 9–9–10; 8:45 am] to AHRQ’s work. To help obtain a as required by § 314.200 (21 CFR BILLING CODE 416Q–90–M diversity of perspectives among 314.200) constitutes an election by the nominees, AHRQ encourages applicant not to make use of the nominations of women and members of DEPARTMENT OF HEALTH AND opportunity for a hearing concerning the minority populations. AHRQ also seeks proposal to withdraw approval of the broad geographic representation. HUMAN SERVICES applications and a waiver of any DATES: AHRQ would like to receive your Food and Drug Administration contentions concerning the legal status recommendations no later than Friday, of the drug products. Therefore, the October 1,2010. [Docket No. FDA–2009–N–0444] Director, Center for Drug Evaluation and ADDRESSES: Please direct your Schmid Laboratories, Inc. et al.; Research, is withdrawing approval of correspondence to: Kishena C. Withdrawal of Approval of Five New the five applications listed in table 1 of Wadhwani, PhD., M.P.H., Director, Drug Applications this document. Division of Scientific Review (DSR), Office of Extramural Research, AGENCY: Food and Drug Administration, Education and Priority Populations HHS.

TABLE 1.

Application No. Drug Applicant

NDA 5–766 Ramses Vaginal Jelly Schmid Laboratories, Inc., Route 46 West, Little Falls, NJ 07424

NDA 7–220 Synthetic Vitamin A (vitamin A palmitate) Merck & Co., Inc., 770 Sumneytown Pike, P.O. Box 4, West Point, PA 19486

NDA 8–595 Immolin Vaginal Cream Jel Schmid Laboratories, Inc.

NDA 8–612 Silicote (simethicone) Ointment Arnar-Stone Laboratories, Inc., 601 East Kensington Rd., Mount Prospect, IL 60056

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TABLE 1.—Continued

Application No. Drug Applicant

NDA 10–915 Q.E.D. Hairgroom (captan) A.R. Winarick, Inc., 783 Palisade Ave., Cliffside, NJ 07010

The Director, Center for Drug including other DHS components, This system of records will allow DHS Evaluation and Research, under section Federal departments and agencies, components that produce, receive, and 505(e) of the Federal Food, Drug, and State, local and Tribal law enforcement store suspicious activity reports (SARs) Cosmetic Act (21 U.S.C. 355(e)), and agencies, and the private sector. pursuant to their existing authorities, under authority delegated by the Additionally, the Department of responsibilities, platforms, and Commissioner, finds that the holders of Homeland Security is issuing a Notice programs to compile and share report the applications listed in this document of Proposed Rulemaking to exempt this data that also meet the ISE–SAR have repeatedly failed to submit reports system from certain provisions of the Functional Standard with authorized required by § 314.81. In addition, under Privacy Act elsewhere in the Federal participants in the Nationwide SAR § 314.200, we find that the holders of Register. This newly established system Initiative (NSI) including, Federal the applications have waived any will be included in the Department of departments and agencies, State, local contentions concerning the legal status Homeland Security’s inventory of and Tribal law enforcement agencies, of the drug products. Therefore, under record systems. and the private sector. The NSI is one these findings, approval of the DATES: Submit comments on or before of a number of government-wide efforts applications listed in this document, October 12, 2010. This new system will designed to implement guidelines first and all amendments and supplements be effective October 12, 2010. issued by the President on December 16, 2005, for establishing the ISE pursuant thereto, is hereby withdrawn, effective ADDRESSES: You may submit comments, to section 1016 of the Intelligence September 10, 2010. identified by docket number DHS– Reform and Terrorism Prevention Act of Dated: August 31, 2010. 2010–0075 by one of the following 2004 (IRTPA), as amended. The NSI Janet Woodcock, methods: • establishes a nationwide capability to Director, Center for Drug Evaluation and Federal e-Rulemaking Portal: http://www.regulations.gov. Follow the gather, document, process, analyze and Research. share information about suspicious [FR Doc. 2010–22603 Filed 9–9–10; 8:45 am] instructions for submitting comments. • Fax: 703–483–2999. activity, incidents, or behavior BILLING CODE 4160–01–S • Mail: Mary Ellen Callahan, Chief reasonably indicative of terrorist Privacy Officer, Privacy Office, activities (hereafter collectively referred Department of Homeland Security, to as suspicious activity or activities) to DEPARTMENT OF HOMELAND Washington, DC 20528. enable rapid identification and SECURITY • Instructions: All submissions mitigation of potential terrorist threats. received must include the agency name There is a long history of Office of the Secretary documenting of suspicious activity, and docket number for this rulemaking. particularly in the law enforcement [Docket No. DHS–2010–0075] All comments received will be posted community; these reports are sometimes without change to http:// referred to as suspicious activity reports, Privacy Act of 1974; Privacy Act of www.regulations.gov, including any tips and leads, or other similar terms. 1974: Department of Homeland personal information provided. Federal, State, local and Tribal agencies Security/ALL–031 Information Sharing • Docket: For access to the docket to and the private sector currently collect Environment Suspicious Activity read background documents or and document suspicious activities in Reporting Initiative System of Records comments received go to http:// support of their responsibilities to www.regulations.gov. AGENCY: Privacy Office, DHS. investigate and prevent potential ACTION: Notice of Privacy Act system of FOR FURTHER INFORMATION CONTACT: For crimes, protect citizens, and apprehend records. general questions please contact: Ronald and prosecute criminals. Since some of Athmann (202–447–4332), Office of these documented activities may bear a SUMMARY: In accordance with the Intelligence and Analysis, Department nexus to terrorism, the Program Privacy Act of 1974, the Department of of Homeland Security, Washington, DC Manager for the Information Sharing Homeland Security proposes to 20528. For privacy issues please Environment (PM–ISE) has developed a establish a new Department of contact: Mary Ellen Callahan (703–235– standardized process for identifying, Homeland Security system of records 0780), Chief Privacy Officer, Privacy documenting, and sharing terrorism- titled, ‘‘Department of Homeland Office, U.S. Department of Homeland related SAR data (hereinafter referred to Security/ALL—031 Information Sharing Security, Washington, DC 20528. as an ‘‘ISE–SAR’’), which meet the Environment Suspicious Activity SUPPLEMENTARY INFORMATION: definition and criteria set forth in the Reporting Initiative System of Records.’’ ISE Functional Standard Suspicious This system of records will allow DHS I. Background Activity Reporting, (Version 1.5, May to compile suspicious activity report In accordance with the Privacy Act of 2009) to the maximum extent possible data that meet the Information Sharing 1974, 5 U.S.C. 552a, the Department of consistent with the protection of Environment Suspicious Activity Homeland Security (DHS) proposes to individual privacy, civil rights, and civil Reporting Functional Standard and establish a new DHS system of records liberties. The Functional Standard share these Suspicious Activity titled, ‘‘DHS/ALL–031 Information defines an ISE–SAR as official Reporting data with authorized Sharing Environment (ISE) Suspicious documentation of observed behavior participants in the Nationwide Activity Reporting (SAR) Initiative determined to have a potential nexus to Suspicious Activity Reporting Initiative, System of Records.’’ terrorism (i.e., to be reasonably

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indicative of criminal activity associated Privacy Act applies to information that Initiative (NSI) Shared Space Server in with terrorism). is maintained in a ‘‘system of records.’’ Washington, DC. Several operational components A system of records is a group of any within DHS regularly observe or records under the control of an agency CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: otherwise encounter suspicious for which information is retrieved by activities while executing their the name of an individual or by some Categories of individuals covered by authorized missions and performing this system include: identifying number, symbol, or other • operational duties. Components identifying particular assigned to the DHS employees and contractors document those observations or individual. In the Privacy Act, an who have submitted ISE–SAR data to encounters in SARs. Across the the NSI Shared. individual is defined to encompass • Department the operational setting or United States citizens and lawful DHS employees and contractors context for activities reported in SARs permanent residents. As a matter of who use the NSI Shared Space for are as varied as the Department’s policy, DHS extends administrative conducting research and analysis with a mission responsibilities. Engagement potential terrorism nexus. Privacy Act protections to all • with the NSI will alter neither those individuals where systems of records Federal, State, local, Tribal, underlying mission functions nor upset maintain information on U.S. citizens, territorial and private sector officials the current methodologies employed by lawful permanent residents, and whose agency or organization is part of DHS components collecting information visitors. Individuals may request access the NSI and have submitted a ISE–SAR on suspicious activities and issuing to their own records that are maintained that meets the ISE–SAR Functional SARs. Rather, the NSI will facilitate the in a system of records in the possession Standard and whose information DHS more effective sharing and discovery— or under the control of DHS by personnel have a need to know for the both internally and between DHS and performance of their official duties. complying with DHS Privacy Act • external NSI participants—by regulations, 6 CFR Part 5. As published Federal, State, local, Tribal, incorporating a standardized elsewhere in today’s Federal Register, territorial, and private sector officials technological and functional approach the Secretary of Homeland Security has whose agency or organization is an NSI for recording and storing ISE–SARs exempted this system from the participant and who use the NSI Shared throughout DHS. Once trained in the notification, access, and amendment Space for conducting research and NSI program and the application of procedures of the Privacy Act because it analysis with a potential terrorism these technical and functional nexus. is a law enforcement system. However, • standards, DHS personnel will review DHS will consider individual requests Individuals whose behavior is component SARs and submit the data to determine whether or not information reasonably indicative of pre-operational only from those that meet the ISE–SAR may be released. planning related to terrorism or other Functional Standard into the NSI The Privacy Act requires each agency criminal activity associated with Shared Space. to publish in the Federal Register a terrorism. In keeping with NSI standards, • description denoting the type and Witnesses who have observed whenever suspicious activity is character of each system of records that individuals whose behavior reasonably determined to have a potential nexus to the agency maintains, and the routine is indicative of pre-operational planning terrorism, DHS personnel will extract uses that are contained in each system related to terrorism or other criminal data from the component level SARs in order to make agency record keeping activity associated with terrorism. and input that data in a standardized • Individuals who have a material practices transparent, to notify format to the NSI Shared Space. All relationship to the activity or behavior individuals regarding the uses to their ISE–SAR data introduced into the NSI reported in an ISE–SAR (e.g., the owner records are put, and to assist individuals Shared Space are stored locally, but of a particular vehicle that was observed to more easily find such files within the made available to other authorized users in a SAR, where it is unclear whether agency. Below is the description of the when a user’s search criteria are met. the person was actually driving the DHS/ALL–031 system of records. For example, DHS ISE–SAR data vehicle). In accordance with 5 U.S.C. 552a(r), remains under the control of the DHS has provided a report of this Department until an authorized user CATEGORIES OF RECORDS IN THE SYSTEM: system of records to the Office of queries the NSI Shared Space with As described in the ISE–SAR Management and Budget and to terms that match the data in the DHS Functional Standard Version 1.5 Congress. ISE–SAR server. The results of each published in May 2009, the below user’s search or query cannot be SYSTEM OF RECORDS information related to individuals may be maintained in this system. The ISE– downloaded or edited. DHS/ALL–031 Additionally, DHS is issuing a Notice SAR Functional Standard identifies of Proposed Rulemaking to exempt this SYSTEM NAME: privacy fields, which are also noted system of records from certain DHS/ALL–031 Information Sharing below. • provisions of the Privacy Act elsewhere Environment (ISE) Suspicious Activity Aircraft descriptions, including: Æ in the Federal Register. This newly Reporting (SAR) Initiative System of Aircraft engine quality. Æ established system will be included in Records. Aircraft fuselage color. the Department of Homeland Security’s Æ Aircraft wing color. inventory of record systems. SECURITY CLASSIFICATION: Æ Aircraft ID (privacy field). Unclassified, sensitive, and law Æ Aircraft make code. II. Privacy Act enforcement sensitive. Æ Aircraft model code. The Privacy Act embodies fair Æ Aircraft style code . information principles in a statutory SYSTEM LOCATION: Æ Aircraft tail number (privacy framework governing the means by Records are maintained at the field). which the United States Government Department of Homeland Security • Attachment: collects, maintains, uses, and (DHS) Headquarters on the DHS Æ Attachment type text. disseminates individuals’ records. The Nationwide Suspicious Activity Report Æ Binary image.

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Æ Capture date. Æ Observer type text. Æ Registration number (privacy Æ Description text. Æ Person employer ID (privacy field). Æ Format type text. field). Æ Registration type. Æ Attachment URI. • Owning organization: Æ Registration year. Æ Attachment privacy field Æ Organization item. • ISE–SAR Submission: indicator. Æ Organization description. Æ Additional details indicator. • Contact information for the Æ Organization ID (privacy field). Æ Data entry date. submitter of the ISE–SAR: Æ Organization Local ID. Æ Dissemination code. Æ Person first name. • Other Identifier: Æ Fusion center contact first name. Æ Person last name. Æ Person identification number Æ Fusion center contact last name. Æ Person middle initial/name. (PID) (privacy field). Æ Fusion center contact e-mail Æ E-mail address. Æ PID effective date (privacy field). address. Æ Organization/Affiliation, such as Æ PID effective year. Æ Fusion center contact telephone DHS. Æ PID expiration date (privacy number. Æ Full telephone number. field). Æ Message type indicator. • Driver License: Æ PID expiration year. Æ Privacy purge data. Æ Expiration date (privacy field). Æ PID issuing authority text. Æ Privacy purge review date. Æ Expiration year. Æ PID type code. Æ Submitting ISE–SAR Record ID. Æ Issuing authority text. • Passport: Æ ISE–SAR submission date. Æ Driver license number (privacy Æ Passport ID (privacy field). Æ ISE–SAR title. field). Æ Expiration date (privacy field). Æ ISE–SAR version. Æ Driver license endorsements, Æ Expiration year. Æ Source agency case ID. such as Hazardous Materials, Æ Issuing country code. Æ Source agency record reference Commercial Driver’s License, • Person: name. Motorcycle. Æ AFIS FBI number (privacy field). Æ Source agency record status code. • Follow-up Action: Æ Age. Æ Privacy information exists Æ Activity date. Æ Age unit code. indicator. Æ Activity time. Æ Date of birth (privacy field). • Sensitive Information Details: Æ Assigned by text. Æ Year of birth. Æ Classification label. Æ Assigned to text. Æ Ethnicity code. Æ Classification reason text. Æ Disposition text. Æ Maximum age. Æ Sensitivity level. Æ Status text. Æ Minimum age. Æ Tearlined indicator (information • Location: Æ State identifier (privacy field). that indicates the report does not Æ Location description (privacy Æ Tax identification number contain classified information). field). (privacy field). • Source Organization: • Location Address: • Person Name: Æ Organization name. Æ Building description. Æ First name (privacy field). Æ Organization ORI. Æ County name. Æ Last name (privacy field). Æ System ID. Æ Country name. Æ Middle name (privacy field). Æ Fusion center submission date. Æ Cross street description. Æ Full name (privacy field). Æ Source agency contact first name. Æ Floor identifier. Æ Moniker (privacy field). Æ Source agency contact last name. Æ International Civil Aviation Æ Name suffix. Æ Source agency contact e-mail Organization (ICAO) airfield code for Æ Name type. address. departure. • Physical descriptors: Æ Source agency contact phone Æ ICAO airfield code for planned Æ Build description. number. destination. Æ Eye color code. • Suspicious Activity Report: Æ ICAO for actual destination. Æ Eye color text. Æ Community description. Æ ICAO airfield for alternate. Æ Hair color code. Æ Community URI. Æ Mile marker text. Æ Hair color text. Æ LEXS version. Æ Municipality name. Æ Person eyewear text. Æ Message date/time. Æ Postal code. Æ Person facial hair text. Æ Sequence number. Æ State name. Æ Person height. Æ Source reliability code. Æ Street name. Æ Person height unit code. Æ Content validity code. Æ Street number (privacy field). Æ Person maximum height. Æ Nature of source-code. Æ Street post directional. Æ Person minimum height. Æ Nature of source-text. Æ Street pre directional. Æ Person maximum weight. • Submitting organization: Æ Street type. Æ Person minimum weight. Æ Organization name. Æ Unit ID (privacy field). Æ Person sex code. Æ Organization ID. • Location Coordinates: Æ Person weight. Æ Organization ORI. Æ Altitude. Æ Person weight unit code. Æ System ID. Æ Coordinate datum. Æ Race code. • Suspicious Activity: Æ Latitude degree. Æ Skin tone code. Æ Activity end date. Æ Latitude minute. Æ Clothing description text. Æ Activity end time. Æ Latitude second. • Physical feature: Æ Activity start date. Æ Longitude degree. Æ Feature description. Æ Activity start time. Æ Longitude minute. Æ Feature type code. Æ Observation description text. Æ Longitude second. Æ Location description. Æ Observation end date. Æ Conveyance track/intent. • Registration: Æ Observation end time. • Observer: Æ Registration authority code. Æ Observation start date.

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Æ Observation start time. Tribal entities, including law audit or oversight operations as Æ Threat type code. enforcement agencies, represented at authorized by law, but only such Æ Threat type detail text. State, regional, major urban area fusion information as is necessary and relevant Æ Suspicious activity code. centers; and the private sector to the to such audit or oversight function. Æ Weather condition details. extent authorized by applicable law. In E. To appropriate agencies, entities, • Target: addition to providing specific indicators and persons when: Æ Critical infrastructure indicator. of possible terrorism-related crimes, 1. DHS suspects or has confirmed that Æ Infrastructure sector code. ISE–SARs can be used to look for the security or confidentiality of Æ Infrastructure tier text. patterns and trends by analyzing information in the system of records has Æ Structure type code. information at a broader level than been compromised; Æ Target type text. would typically be recognized within a 2. The Department has determined Æ Structure type text. single jurisdiction, State, or territory. that as a result of the suspected or Æ Target description text. Standardized and consistent sharing of confirmed compromise there is a risk of • Vehicle: suspicious activity information harm to economic or property interests, Æ Color code. regarding potential terrorist threats and identity theft or fraud, or harm to the Æ Description. possible criminal activity associated security or integrity of this system or Æ Make name. with terrorism among State and major other systems or programs (whether Æ Model name. urban area fusion centers and Federal maintained by DHS or another agency or Æ Style code. agencies is vital to assessing, deterring, entity) or harm to the individuals that Æ Vehicle year. preventing, or prosecuting those rely upon the compromised Æ Vehicle identification number involved in criminal activities information; and (privacy field). associated with terrorism. 3. The disclosure made to such Æ US DOT number (privacy field). ROUTINE USES OF RECORDS MAINTAINED IN THE agencies, entities, and persons is Æ Vehicle description. • SYSTEM, INCLUDING CATEGORIES OF USERS AND reasonably necessary to assist in Related ISE–SAR: THE PURPOSES OF SUCH USES: connection with DHS’s efforts to Æ Fusion center ID. Æ In addition to those disclosures respond to the suspected or confirmed Fusion center ISE–SAR Record generally permitted under 5 U.S.C. compromise and prevent, minimize, or ID. Æ 552a(b) of the Privacy Act, all or a remedy such harm. Relations description text. portion of the records or information F. To contractors and their agents, • Vessel: Æ contained in this system may be grantees, experts, consultants, and Vessel official Coast Guard disclosed outside DHS as a routine use others performing or working on a number identification (privacy field). Æ pursuant to 5 U.S.C. 552a(b)(3) as contract, service, grant, cooperative Vessel ID (privacy field). follows: agreement, or other assignment for DHS, Æ Vessel ID issuing authority. Æ A. To the Department of Justice when necessary to accomplish an Vessel IMO number (including United States Attorney agency function related to this system of identification (privacy field). Offices) or other Federal agency records. Individuals provided Æ Vessel MMSI identification. conducting litigation or in proceedings information under this routine use are Æ Vessel make. before any court, adjudicative or subject to the same Privacy Act Æ Vessel model. administrative body, when it is requirements and limitations on Æ Vessel model year. necessary to the litigation and one of the disclosure as are applicable to DHS Æ Vessel name. following is a party to the litigation or officers and employees. Æ Vessel hailing port. has an interest in such litigation: G. To an appropriate Federal, State, Æ Vessel national flag. 1. DHS or any component thereof; Tribal, local, international, or foreign Æ Vessel overall length. 2. Any employee of DHS in his/her law enforcement agency or other Æ Vessel overall length measure. official capacity; Æ Vessel serial number (privacy appropriate public or private sector 3. Any employee of DHS in his/her organization who is a participant in the field). individual capacity where DOJ or DHS Nationwide SAR Initiative and Æ Vessel type code. has agreed to represent the employee; or authorized access through the NSI Æ Vessel propulsion text. 4. The United States or any agency thereof, is a party to the litigation or has Shared Space for the purpose of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: an interest in such litigation, and DHS supporting an authorized law The Homeland Security Act of 2002, determines that the records are both enforcement, counterterrorism, national as amended; and the Intelligence relevant and necessary to the litigation security, or homeland security function. Reform and Terrorism Prevention Act of and the use of such records is H. To Federal government 2004, as amended; the National Security compatible with the purpose for which counterterrorism agencies where DHS Act of 1947, as amended; Executive DHS collected the records. becomes aware of an indication of a Order 13388. B. To a congressional office from the threat or potential threat to national or record of an individual in response to international security, and where such PURPOSE(S): an inquiry from that congressional office use is to assist in anti-terrorism efforts. The ISE–SAR Functional Standard is made at the request of the individual to I. To an organization or individual in designed to support the sharing, whom the record pertains. either the public or private sector, either specifically through the NSI, of C. To the National Archives and foreign or domestic, where there is a information about suspicious activities Records Administration or other Federal reason to believe that the recipient is or that have a potential terrorism nexus government agencies pursuant to could become the target of a particular throughout the ISE. The NSI records management inspections being terrorist activity or conspiracy, to the participants include DHS; the conducted under the authority of 44 extent the information is relevant to the Department of Justice; other Federal U.S.C. 2904 and 2906. protection of life, property or other vital agencies carrying out counterterrorism D. To an agency, organization, or interests of a data subject and disclosure mission function; State, local, and individual for the purpose of performing is proper and consistent with the official

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duties of the person making the NOTIFICATION PROCEDURE: specificity or lack of compliance with disclosure. The Secretary of Homeland Security applicable regulations. has exempted this system from the DISCLOSURE TO CONSUMER REPORTING RECORD ACCESS PROCEDURES: notification, access, and amendment AGENCIES: See ‘‘Notification procedure’’ above. procedures of the Privacy Act because it None. is a law enforcement system. However, CONTESTING RECORD PROCEDURES: POLICIES AND PRACTICES FOR STORING, DHS will consider individual requests See ‘‘Notification procedure’’ above. RETRIEVING, ACCESSING, RETAINING, AND to determine whether or not information RECORD SOURCE CATEGORIES: DISPOSING OF RECORDS IN THE SYSTEM: may be released. Thus, individuals seeking notification of and access to any Records are obtained from ISE–SARs STORAGE: record contained in this system of submitted by Federal, State, local, Records in this system are stored records, or seeking to contest its Tribal, and territorial agencies and electronically. The records are stored on content, may submit a request in writing private sector organizations who are NSI magnetic disc, tape, digital media, and to the Headquarters or component’s participants. The respective mission sets CD–ROM. FOIA Officer, whose contact of DHS components are varied and entail coverage across multiple sectors. RETRIEVABILITY: information can be found at http:// www.dhs.gov/foia under ‘‘contacts.’’ If DHS components use a standardized Much of the data within this system an individual believes more than one technical approach across DHS to does not pertain to an individual; rather, component maintains Privacy Act incorporate SAR data into the NSI the information pertains to locations, records concerning him or her, the Shared Space. DHS personnel, trained geographic areas, facilities, and other individual may submit the request to in the ISE–SAR program, will review things or objects not related to the Chief Privacy Officer and Chief component SARs and submit only those individuals. However, personal Freedom of Information Act Officer, SAR data that meet the ISE–SAR information may be captured. Personal Department of Homeland Security, 245 Functional Standard to the NSI Shared data may be retrieved by name, Social Murray Drive, SW., Building 410, Space. Security number, any privacy fields STOP–0655, Washington, DC 20528. noted under Categories of Records, and EXEMPTIONS CLAIMED FOR THE SYSTEM: When seeking records about yourself other identifiers listed under the The Secretary of Homeland Security from this system of records or any other Categories of Records section. has exempted this system from the Departmental system of records, your following provisions of the Privacy Act, SAFEGUARDS: request must conform with the Privacy subject to the limitations set forth in 5 Records in this system are Act regulations set forth in 6 CFR Part U.S.C. 552a(c)(3) and (4); (d); (e)(1), safeguarded in accordance with 5. You must first verify your identity, (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), applicable rules and policies, including meaning that you must provide your full (e)(5), (e)(8), and (e)(12); (f); (g)(1); and all applicable DHS automated systems name, current address and date and (h) of the Privacy Act pursuant to 5 security and access policies. Strict place of birth. You must sign your U.S.C. 552a(j)(2). Additionally, the controls have been imposed to minimize request, and your signature must either Secretary of Homeland Security has the risk of compromising the be notarized or submitted under 28 exempted this system from the information that is being stored. Access U.S.C. 1746, a law that permits following provisions of the Privacy Act, to the computer system containing the statements to be made under penalty of subject to the limitation set forth in 5 records in this system is limited to those perjury as a substitute for notarization. U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), individuals who have a need to know While no specific form is required, you (e)(4)(H), (e)(4)(I); and (f) of the Privacy the information for the performance of may obtain forms for this purpose from Act pursuant to 5 U.S.C. 552a(k)(2), and their official duties and who have the Chief Privacy Officer and Chief (k)(3). Freedom of Information Act Officer, appropriate clearances or permissions. Dated: September 7, 2010. http://www.dhs.gov or 1–866–431–0486. Mary Ellen Callahan, RETENTION AND DISPOSAL: In addition you should provide the following: Chief Privacy Officer, Department of DHS is in the process of developing Homeland Security. a retention schedule for DHS ISE–SAR • An explanation of why you believe [FR Doc. 2010–22636 Filed 9–9–10; 8:45 am] data. This retention schedule will be the Department would have information based upon the underlying retention on you; BILLING CODE 9110–9B–P schedules of the information identified • Identify which component(s) of the Department you believe may have the in existing components’ retention DEPARTMENT OF HOMELAND information about you; schedules. DHS components maintain SECURITY the authority to withdraw and/or edit • Specify when you believe the any and all ISE–SAR data that they have records would have been created; [Docket ID FEMA–2010–0033] entered into the NSI Shared Space in • Provide any other information that Federal Emergency Management accordance with their respective will help the FOIA staff determine Agency policies. The NSI Shared Space does not which DHS component agency may have responsive records; and have any internal retention mandates Agency Information Collection • If your request is seeking records independent of the retention policies of Activities: Submission for OMB pertaining to another living individual, the DHS components that enter their Review; Comment Request, OMB you must include a statement from that information into the NSI Shared Space. No. 1660–0030; Request for the Site individual certifying his/her agreement Inspection and Landowners SYSTEM MANAGER AND ADDRESS: for you to access his/her records. Authorization/Ingress-Egress Ronald Athmann (202) 447–4332, Without this bulleted information the Agreement Office of Intelligence and Analysis, component(s) may not be able to Department of Homeland Security, conduct an effective search, and your AGENCY: Federal Emergency Washington, DC 20528. request may be denied due to lack of Management Agency, DHS.

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ACTION: Notice; 30-day notice and information is required to determine Street, SW., Washington, DC 20472– request for comments; revision of a that the infrastructure of the site 3100. currently approved information supports the installation of the unit. FOR FURTHER INFORMATION CONTACT: collection; OMB No. 1660–0030; FEMA This collection also obtains permission Michele Gast, Federal Emergency Form 010–0–09 (formerly 90–1), for the unit to be placed on the property, Management Agency, 500 C Street SW., Request for the Site Inspection; FEMA and the property owner certifies that Washington, DC 20472–3100, 202–646– Form 010–0–10 (formerly 90–31), they will not have a lien placed against 2706, [email protected]. Landowner’s Authorization/Ingress- the unit for their own debts and will SUPPLEMENTARY INFORMATION Egress Agreement. maintain the property so that FEMA can remove the unit when required. I. Public Participation SUMMARY: The Federal Emergency Affected Public: Individuals or Management Agency (FEMA) will Instructions: All submissions received households. must include the agency name and submit the information collection Estimated Number of Respondents: abstracted below to the Office of docket ID. Regardless of the method 5,000. used for submitting comments or Management and Budget for review and Frequency of Response: On Occasion. clearance in accordance with the material, all submissions will be posted, Estimated Average Hour Burden per without change, to the Federal requirements of the Paperwork Respondent: .34 Hour. Reduction Act of 1995. The submission eRulemaking Portal at http:// Estimated Total Annual Burden www.regulations.gov, and will include will describe the nature of the Hours: 1,700 Hours. information collection, the categories of any personal information you provide. Estimated Cost: There are no annual Therefore, submitting this information respondents, the estimated burden (i.e., capital, start-up, maintenance or the time, effort and resources used by makes it public. You may wish to read operation costs associated with this the Privacy Act notice, which can be respondents to respond) and cost, and collection. the actual data collection instruments viewed by clicking on the ‘‘Privacy FEMA will use. Dated: September 3, 2010. Notice’’ link in the footer of http:// Lesia Banks, www.regulations.gov. DATES: Comments must be submitted on You may submit your comments and or before October 12, 2010. Director, Records Management Division, Mission Support Bureau, Federal Emergency material by the methods specified in the ADDRESSES: Submit written comments Management Agency, Department of ADDRESSES section above. Please submit on the proposed information collection Homeland Security. your comments and any supporting to the Office of Information and [FR Doc. 2010–22582 Filed 9–9–10; 8:45 am] material by only one means to avoid the Regulatory Affairs, Office of BILLING CODE 9110–10–P receipt and review of duplicate Management and Budget. Comments submissions. should be addressed to the Desk Officer Docket: The proposed policy is for the Department of Homeland DEPARTMENT OF HOMELAND available in docket ID FEMA–2010– Security, Federal Emergency SECURITY 0053. For access to the docket to read Management Agency, and sent via background documents or comments electronic mail to Federal Emergency Management received, go to the Federal eRulemaking [email protected] or faxed Agency Portal at http://www.regulations.gov and to (202) 395–5806. [Docket ID FEMA–2010–0053] search for the docket ID. Submitted FOR FURTHER INFORMATION CONTACT: comments may also be inspected at Requests for additional information or Recovery Fact Sheet 9580.100, Mold FEMA, Office of Chief Counsel, Room copies of the information collection Remediation 835, 500 C Street, SW., Washington, DC should be made to Director, Records 20472–3100. Management Division, 1800 South Bell AGENCY: Federal Emergency II. Background Street, Arlington, VA 20598–3005, Management Agency, DHS. facsimile number (202) 646–3347, or e- ACTION: Notice of availability; request The Recovery Fact Sheet RP9580.100, mail address FEMA–Information- for comments. Mold Remediation, identifies the [email protected]. expenses related to mold remediation SUMMARY: The Federal Emergency SUPPLEMENTARY INFORMATION: that are eligible for reimbursement Management Agency (FEMA) is under Public Assistance Category B, Collection of Information accepting comments on Recovery Fact emergency protective measures. Sheet RP9580.100, Mold Remediation. Title: Request for the Site Inspection, FEMA seeks comment on the Landowners Authorization/Ingress- DATES: Comments must be received by proposed policy, which is available Egress Agreement. October 12, 2010. online at http://www.regulations.gov in Type of information collection: ADDRESSES: Comments must be docket ID FEMA–2010–0053. Based on Revision of a currently approved identified by docket ID FEMA–2010– the comments received, FEMA may information collection. 0053 and may be submitted by one of make appropriate revisions to the OMB Number: 1660–0030. the following methods: proposed policy. Although FEMA will Form Titles and Numbers: FEMA Federal eRulemaking Portal: http:// consider any comments received in the Form 010–0–09 (formerly 90–1), www.regulations.gov. Follow the drafting of the final policy, FEMA will Request for the Site Inspection; FEMA instructions for submitting comments. not provide a response to comments Form 010–0–10 (formerly 90–31), Please note that this proposed policy is document. When or if FEMA issues a Landowner’s Authorization/Ingress- not a rulemaking and the Federal final policy, FEMA will publish a notice Egress Agreement. Rulemaking Portal is being utilized only of availability in the Federal Register Abstract: FEMA’s temporary housing as a mechanism for receiving comments. and make the final policy available at assistance provides temporary housing Mail: Docket Manager, Office of Chief http://www.regulations.gov. to eligible applicants and survivors of Counsel, Federal Emergency Authority: 42 U.S.C. 5121–5207; 44 CFR federally declared disasters. This Management Agency, Room 835, 500 C 13.36; 44 CFR 206.222.

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Dated: August 31, 2010. loading methods cannot significantly Management Agency, 500 C Street, SW., David J. Kaufman, reduce volumes. Washington, DC 20472–3100, Director, Office of Policy and Program Authority: 42 U.S.C. 5121–5207; 44 CFR [email protected], (202) 646– Analysis, Federal Emergency Management part 206. 4543. Agency. Dated: August 31, 2010. SUPPLEMENTARY INFORMATION [FR Doc. 2010–22587 Filed 9–9–10; 8:45 am] David J. Kaufman, BILLING CODE 9111–23–P I. Public Participation Director, Office of Policy and Program Analysis, Federal Emergency Management Instructions: All submissions received Agency. must include the agency name and DEPARTMENT OF HOMELAND docket ID. Regardless of the method SECURITY [FR Doc. 2010–22584 Filed 9–9–10; 8:45 am] BILLING CODE 9111–23–P used for submitting comments or Federal Emergency Management material, all submissions will be posted, Agency without change, to the Federal DEPARTMENT OF HOMELAND eRulemaking Portal at http:// [Docket ID FEMA–2010–0056] SECURITY www.regulations.gov, and will include any personal information you provide. Recovery Policy RP9523.12, Debris Federal Emergency Management Therefore, submitting this information Operation—Hand-Loaded Trucks and Agency makes it public. You may wish to read Trailers [Docket ID FEMA–2010–0055] the Privacy Act notice, which can be AGENCY: Federal Emergency viewed by clicking on the ‘‘Privacy Management Agency, DHS. Recovery Policy, RP 9523.6, Mutual Aid Notice’’ link in the footer of http:// ACTION: Notice of availability. Agreements for Public Assistance and www.regulations.gov. Fire Management Assistance You may submit your comments and SUMMARY: The Federal Emergency material by the methods specified in the Management Agency (FEMA) is issuing AGENCY: Federal Emergency ADDRESESSES section above. Please Recovery Policy RP9523.12, Debris Management Agency, DHS. submit your comments and any Operation—Hand-Loaded Trucks and ACTION: Notice of availability; request supporting material by only one means Trailers. for comments. to avoid the receipt and review of duplicate submissions. DATES: This policy is effective April 12, SUMMARY: The Federal Emergency Docket: The proposed policy is 2010. Management Agency (FEMA) is available in docket ID FEMA–2010– ADDRESSES: This final policy is available accepting comments on Recovery 0055. For access to the docket to read at http://www.regulations.gov and on Policy, RP 9523.6, Mutual Aid background documents or comments FEMA’s Web site at http:// Agreements for Public Assistance and received, go to the Federal eRulemaking www.fema.gov. You may also view a Fire Management Assistance. This is an Portal at http://www.regulations.gov and hard copy of the final policy at the existing policy that is scheduled for search for the docket ID. Submitted Office of Chief Counsel, Federal review to ensure that Recovery comments may also be inspected at Emergency Management Agency, Room Directorate policies are up to date, FEMA, Office of Chief Counsel, Room 835, 500 C Street, SW., Washington, DC incorporate lessons learned and are 835, 500 C Street, SW., Washington, DC 20472–3100. consistent with current laws and 20472–3100. FOR FURTHER INFORMATION CONTACT: regulations. The purpose of this Preston Wilson, Federal Emergency proposed policy is to define the eligible II. Background Management Agency, 500 C Street, SW., costs incurred through mutual aid The purpose of this policy is to Washington, DC 20472–3100, 202–646– agreements and remove the unintended describe the criteria the Federal 1648, or via e-mail at restriction on permanent work. The Emergency Management Agency [email protected]. previous policy limited reimbursement (FEMA) will use to determine eligibility for mutual aid costs to emergency work. SUPPLEMENTARY INFORMATION: This of costs under the Public Assistance policy establishes procedures for DATES: Comments must be received by (PA) Program incurred through mutual reimbursing applicants for eligible October 12, 2010. aid agreements between applicants and debris removal accomplished with ADDRESSES: Comments must be other entities after major disasters and trucks and trailers loaded physically by identified by docket ID FEMA–2010– emergencies declared by the President hand, rather than with mechanical 0055 and may be submitted by one of pursuant to the Robert T. Stafford equipment. the following methods: Disaster Relief and Emergency FEMA previously issued this policy Federal eRulmaking Portal: http:// Assistance Act. on May 1, 2006. FEMA reviewed this www.regulations.gov. Follow the This policy was previously issued on policy according to the established instructions for submitting comments. August 13, 2007. The previous version schedule for FEMA Public Assistance Please note that this proposed policy is indicated that mutual aid costs for policies. Therefore, FEMA requested not a rulemaking and the Federal permanent work was not eligible for review and comment on the draft policy Rulemaking Portal is being utilized only Public Assistance funding. The in September 2009. FEMA did not as a mechanism for receiving comments. significant change to the proposed receive substantive comments on the Mail: Docket Manager, Office of Chief policy is the allowance of mutual aid for policy. This policy does not implement Counsel, Federal Emergency permanent work. The primary reason of any major changes to the previously Management Agency, Room 835, 500 C the limitation of mutual aid costs to effective policy dated May 1, 2006. Street, SW., Washington, DC 20472– emergency work is the assumption that However, this policy does state that 3100. mutual aid is provided for assistance debris monitors should not reduce the FOR FURTHER INFORMATION CONTACT: with emergency work only. The intent capacity of each hand-loaded truck or Yolanda Gaston, Public Assistance of the policy was not to make trailer for debris types that mechanical Division, Federal Emergency emergency power restoration through

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permanent repairs performed through Investments, Office of Public and Indian DEPARTMENT OF HOUSING AND mutual aid ineligible for Public Housing, Department of Housing and URBAN DEVELOPMENT Assistance funding. Further there is no Urban Development, 451 7th Street, [Docket No. FR–5375–N–35] restriction in FEMA regulations on SW., Room 4130, Washington, DC mutual aid assistance for permanent 20410–4000, telephone number 202– Federal Property Suitable as Facilities work. 402–8500 (this is not a toll-free To Assist the Homeless FEMA seeks comment on the number). Persons with hearing- or proposed policy, which is available speech-impairments may access this AGENCY: Office of the Assistant online at http://www.regulations.gov in number through TTY by calling the toll- Secretary for Community Planning and docket ID FEMA–2010–0055. Based on free Federal Information Relay Service Development, HUD. the comments received, FEMA may at 800–877–8339. ACTION: Notice. make appropriate revisions to the proposed policy. Although FEMA will SUPPLEMENTARY INFORMATION: Section SUMMARY: This Notice identifies consider any comments received in the 1605(a) of the Recovery Act provides unutilized, underutilized, excess, and drafting of the final policy, FEMA will that none of the funds appropriated or surplus Federal property reviewed by not provide a response to comments made available by the Recovery Act may HUD for suitability for possible use to document. When or if FEMA issues a be used for a project for the assist the homeless. final policy, FEMA will publish a notice construction, alteration, maintenance, or FOR FURTHER INFORMATION CONTACT: of availability in the Federal Register repair of a public building or public Kathy Ezzell, Department of Housing and make the final policy available at work unless all of the iron, steel, and and Urban Development, 451 Seventh http://www.regulations.gov. manufactured goods used in the project Street, SW., Room 7266, Washington, Authority: 42 U.S.C. 5121–5207; 44 CFR are produced in the United States. DC 20410; telephone (202) 708–1234; part 206. Section 1605(b) provides that the Buy TTY number for the hearing- and Dated: August 31, 2010. American requirement shall not apply speech-impaired (202) 708–2565 (these David J. Kaufman, in any case or category in which the telephone numbers are not toll-free), or call the toll-free Title V information line Director, Office of Policy and Program head of a Federal department or agency Analysis, Federal Emergency Management finds that: (1) Applying the Buy at 800–927–7588. Agency. American requirement would be SUPPLEMENTARY INFORMATION: In [FR Doc. 2010–22585 Filed 9–9–10; 8:45 am] inconsistent with the public interest; (2) accordance with 24 CFR part 581 and BILLING CODE 9111–23–P iron, steel, and the relevant section 501 of the Stewart B. McKinney manufactured goods are not produced in Homeless Assistance Act (42 U.S.C. the U.S. in sufficient and reasonably 11411), as amended, HUD is publishing DEPARTMENT OF HOUSING AND available quantities or of satisfactory this Notice to identify Federal buildings URBAN DEVELOPMENT quality, or (3) inclusion of iron, steel, and other real property that HUD has and manufactured goods will increase reviewed for suitability for use to assist [Docket No. FR–5374–N–15] the cost of the overall project by more the homeless. The properties were reviewed using information provided to Buy American Exceptions Under the than 25 percent. Section 1605(c) HUD by Federal landholding agencies American Recovery and Reinvestment provides that if the head of a Federal regarding unutilized and underutilized Act of 2009 department or agency makes a determination pursuant to section buildings and real property controlled AGENCY: Office of the Assistant 1605(b), the head of the department or by such agencies or by GSA regarding Secretary for Public and Indian agency shall publish a detailed written its inventory of excess or surplus Housing, HUD. justification in the Federal Register. Federal property. ACTION: Notice. This Notice is also published in order In accordance with section 1605(c) of to comply with the December 12, 1988 SUMMARY: In accordance with the the Recovery Act and OMB’s Court Order in National Coalition for American Recovery and Reinvestment implementing guidance published on the Homeless v. Veterans Act of 2009 (Pub. L. 111–05, approved April 23, 2009 (74 FR 18449), this notice Administration, No. 88–2503–OG February 17, 2009) (Recovery Act), and advises the public that, on August 25, (D.D.C.). implementing guidance of the Office of 2010, upon request of the Jacksonville Properties reviewed are listed in this Management and Budget (OMB), this Housing Authority, HUD granted an Notice according to the following notice advises that certain exceptions to exception to the applicability of the Buy categories: Suitable/available, suitable/ the Buy American requirement of the American requirements with respect to unavailable, suitable/to be excess, and Recovery Act have been determined work, using CFRFC grant funds, based unsuitable. The properties listed in the applicable for work using Capital Fund on the fact that the relevant three suitable categories have been Recovery Formula and Competition manufactured goods (programmable reviewed by the landholding agencies, (CFRFC) grant funds. Specifically, an thermostats, CFL bulbs, and ENERGY and each agency has transmitted to exception was granted to the STAR-qualified ceiling fans) are not HUD: (1) Its intention to make the Jacksonville Housing Authority for the produced in the U.S. in sufficient and property available for use to assist the purchase and installation of reasonably available quantities or of homeless, (2) its intention to declare the programmable thermostats, compact satisfactory quality. property excess to the agency’s needs, or fluorescent light (CFL) bulbs, and (3) a statement of the reasons that the Dated: September 1, 2010. ENERGY STAR-qualified ceiling fans at property cannot be declared excess or several of its properties. Deborah Hernandez, made available for use as facilities to FOR FURTHER INFORMATION CONTACT: General Deputy Assistant Secretary for Public assist the homeless. Dominique G. Blom, Deputy Assistant and Indian Housing. Properties listed as suitable/available Secretary for Public Housing [FR Doc. 2010–22507 Filed 9–9–10; 8:45 am] will be available exclusively for Investments, Office of Public Housing BILLING CODE 4210–67–P homeless use for a period of 60 days

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from the date of this Notice. Where Department of Energy, OECM, MA–50, Directions: 4–32, 5–24, 555, 737, 764, 852, property is described as for ‘‘off-site use 1000 Independence Ave., SW., 853 only’’ recipients of the property will be Washington, DC 20585; (202) 586–5422; Reasons: Extensive deterioration, Secured required to relocate the building to their GSA: Mr. Gordon Creed, Acting Deputy Area own site at their own expense. Assistant Commissioner, General 4 Bldgs. Homeless assistance providers Services Administration, Office of Naval Base interested in any such property should Property Disposal, 18th & F Streets, Ventura CA 93043 send a written expression of interest to NW., Washington, DC 20405; (202) 501– Landholding Agency: Navy HHS, addressed to Theresa Rita, 0084; NAVY: Mr. Albert Johnson, Property Number: 77201030030 Division of Property Management, Director of Real Estate, Department of Status: Unutilized Program Support Center, HHS, Room the Navy, Naval Facilities Engineering Directions: 2–825, 4–30, 353, 789 5B–17, 5600 Fishers Lane, Rockville, Command, Washington Navy Yard, Reasons: Extensive deterioration, Secured MD 20857; (301) 443–2265. (This is not 1330 Patterson Ave., SW., Suite 1000, Area a toll-free number.) HHS will mail to the Washington, DC 20374; (202) 685–9305; 11 Bldgs. interested provider an application (These are not toll-free numbers). Naval Base packet, which will include instructions Dated: September 2, 2010. Ventura CA 93042 for completing the application. In order Landholding Agency: Navy Mark R. Johnston, to maximize the opportunity to utilize a Property Number: 77201030031 suitable property, providers should Deputy Assistant Secretary for Special Needs. Status: Unutilized submit their written expressions of TITLE V, FEDERAL SURPLUS PROPERTY Directions: 71, 73, 76, 77, 240, 244, 246, 248, interest as soon as possible. For PROGRAM 565, 700, 704 complete details concerning the FEDERAL REGISTER REPORT FOR 09/10/ Reasons: Secured Area, Extensive processing of applications, the reader is 2010 deterioration encouraged to refer to the interim rule Florida governing this program, 24 CFR part Unsuitable Properties 14 Bldgs. 581. Building For properties listed as suitable/to be Naval Air Station California excess, that property may, if Jacksonville FL subsequently accepted as excess by Bldgs. 616, 5226 Landholding Agency: Navy GSA, be made available for use by the Lawrence Livermore Natl Lab Property Number: 77201030027 homeless in accordance with applicable Livermore CA 94550 Status: Unutilized Landholding Agency: Energy law, subject to screening for other Directions: 108, 151, 152, 153, 173, 192, 234, Property Number: 41201030001 318, 790, 847, 947, 1205, 1524, 1846 Federal use. At the appropriate time, Status: Excess HUD will publish the property in a Reasons: Secured Area, Extensive Reasons: Within 2000 ft. of flammable or deterioration Notice showing it as either suitable/ explosive material, Secured Area available or suitable/unavailable. 14 Bldgs. Hawaii For properties listed as suitable/ Naval Weapons Station Bldg. 237 unavailable, the landholding agency has Seal Beach CA 90740 Joint Base Pearl Harbor decided that the property cannot be Landholding Agency: Navy Hickam declared excess or made available for Property Number: 77201030024 Wahiawa HI 96786 use to assist the homeless, and the Status: Unutilized Landholding Agency: Navy property will not be available. Directions: 14, 15, 18, 19, 20, 21, 22, 23, 24, Property Number: 77201030028 25, 26, 27, 28, 29 Properties listed as unsuitable will Status: Excess Reasons: Within 2000 ft. of flammable or not be made available for any other Reasons: Extensive deterioration purpose for 20 days from the date of this explosive material, Secured Area, Notice. Homeless assistance providers Extensive deterioration Maryland interested in a review by HUD of the Bldg. 7212 Appraisers Store determination of unsuitability should Marine Corps Air Station Baltimore MD 21202 call the toll free information line at 1– Miramar CA Landholding Agency: GSA Landholding Agency: Navy Property Number: 54201030016 800–927–7588 for detailed instructions Property Number: 77201030025 Status: Excess or write a letter to Mark Johnston at the Status: Excess GSA Number: 4–G–MD–0623 address listed at the beginning of this Reasons: Secured Area, Extensive Notice. Included in the request for deterioration Reasons: Floodway review should be the property address 10 Bldgs. New Mexico (including zip code), the date of Naval Weapons Station Bldg. 790 publication in the Federal Register, the Seal Beach CA 90740 Holloman AFB landholding agency, and the property Landholding Agency: Navy Otero NM 88330 Property Number: 77201030026 number. Landholding Agency: Air Force Status: Unutilized For more information regarding Property Number: 18201030013 particular properties identified in this Directions: 231, 233, 234, 248, 253, 260, 300, 411, 420, 876, 920 Status: Unutilized Notice (i.e., acreage, floor plan, existing Reasons: Extensive deterioration, Secured sanitary facilities, exact street address), Reasons: Extensive deterioration, Within 2000 ft. of flammable or explosive material, Area providers should contact the Secured Area [FR Doc. 2010–22441 Filed 9–9–10; 8:45 am] appropriate landholding agencies at the 7 Bldgs. BILLING CODE 4210–67–P following addresses: AIR FORCE: Mr. Naval Base Robert Moore, Air Force Real Property Ventura CA 93042 Agency, 2261 Hughes Ave., Suite 121, Landholding Agency: Navy Lackland AFB, TX 78236; (210) 395– Property Number: 77201030029 9512; ENERGY: Mr. Mark Price, Status: Unutilized

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DEPARTMENT OF THE INTERIOR have until October 12, 2010 to file an be announced at least 15 days in appeal. advance through local media outlets and Bureau of Land Management 2. Parties receiving service of the through the Cedar City BLM Web site at: decision by certified mail shall have 30 http://www.blm.gov/ut/st/en/fo/ [F–14828–L, F–14935–J, F–14877–B, F– days from the date of receipt to file an cedar_city.html. In order to be included 14877–E and F–14877–F, LLAK962000– appeal. in the Draft RMP/EIS, all comments L14100000–HY0000–P] Parties who do not file an appeal in must be received prior to the close of the scoping period or 15 days after the Alaska Native Claims Selection accordance with the requirements of 43 CFR part 4, subpart E, shall be deemed last public meeting, whichever is later. AGENCY: Bureau of Land Management, to have waived their rights. We will provide additional Interior. ADDRESSES: A copy of the decision may opportunities for public participation ACTION: Notice of decision approving be obtained from: Bureau of Land upon publication of the Draft RMP/EIS. lands for conveyance. Management, Alaska State Office, 222 ADDRESSES: You may submit comments West Seventh Avenue, #13, Anchorage, on issues and planning criteria related SUMMARY: As required by 43 CFR Alaska 99513–7504. to the Cedar City RMP/EIS by any of the 2650.7(d), notice is hereby given that following methods: FOR FURTHER INFORMATION CONTACT: The the Bureau of Land Management (BLM) • Web site: http://www.blm.gov/ut/st/ BLM by phone at 907–271–5960, by e- will issue an appealable decision en/fo/cedar_city.html. mail at [email protected], or approving the conveyance of surface • E-mail: [email protected]. by telecommunication device (TTD) estate for certain lands to NANA • Fax: 435–865–3058. through the Federal Information Relay Regional Corporation, Inc., Successor in • Mail: 176 East DL Sargent Drive, Service (FIRS) at 1–800–877–8339, 24 Interest to Ivisaapaagmiit Corporation, Cedar City, Utah 84721. hours a day, 7 days a week. Koovukmeut Incorporated, and Documents pertinent to this proposal Isingmakmeut Incorporated, pursuant to Joe J. Labay, may be examined at the Cedar City Field the Alaska Native Claims Settlement Land Transfer Resolution Specialist, Land Office. Act. The subsurface estate in these lands Transfer Resolution Branch. FOR FURTHER INFORMATION CONTACT: For will be conveyed to NANA Regional [FR Doc. 2010–22609 Filed 9–9–10; 8:45 am] further information and/or to have your Corporation, Inc. when the surface BILLING CODE 4310–JA–P name added to our mailing list, contact estate is conveyed to NANA Regional Keith Rigtrup, Project Manager, Corporation, Inc., Successor in Interest telephone: 435–586–2401; address: 176 to Ivisaapaagmiit Corporation, DEPARTMENT OF THE INTERIOR East DL Sargent Drive, Cedar City, Utah Koovukmeut Incorporated, and 84721; e-mail: [email protected]. Isingmakmeut Incorporated. The lands Bureau of Land Management SUPPLEMENTARY INFORMATION: This are in the vicinity of Ambler, Shungnak, [LLUTC01000—16100000—LXSS005J0000] document provides notice that the BLM and Kobuk, Alaska, and are located in: Field Office, Cedar City, Utah, intends Kateel River Meridian, Alaska Notice of Intent To Prepare a Resource to prepare an RMP with an associated Management Plan for the Cedar City EIS for the Cedar City Field Office; T. 21 N., R. 6 E., Sec. 21. Field Office, Utah, and Associated announces the beginning of the scoping Environmental Impact Statement process; and seeks public input on Containing 640 acres. issues and planning criteria. The T. 16 N., R. 8 E., AGENCY: Bureau of Land Management, planning area is located in Beaver, Iron, Sec. 19. Interior. and Washington Counties, Utah, and Containing 594.40 acres. ACTION: Notice of intent. encompasses approximately 2.1 million T. 19 N., R. 10 E., acres of public land. The purpose of the SUMMARY: Sec. 13. In compliance with the public scoping process is to determine National Environmental Policy Act of Containing 545 acres. relevant issues that will influence the 1969, as amended, and the Federal Land scope of the environmental analysis, T. 19 N., R. 11 E., Policy and Management Act of 1976, as Secs. 7, 8, 17 and 18. including alternatives, and to guide the amended, the Bureau of Land Containing 2,471,78 acres. planning process. Preliminary issues for Management (BLM) Cedar City Field the planning area have been identified T. 20 N., R. 11 E., Office, Cedar City, Utah, intends to Sec. 2, 4, 5 and 13. by BLM personnel; Federal, state, and prepare a Resource Management Plan local agencies; and other stakeholders. Containing approximately 1,915 acres. (RMP) with an associated Aggregating approximately 6,166 acres. The issues include: Renewable energy Environmental Impact Statement (EIS) development for geothermal, wind, and Notice of the decision will also be for the Cedar City Field Office. This solar power; management of [site type] published four times in the Arctic notice announces the beginning of the rights-of-way for renewable energy and Sounder. scoping process to solicit public other uses; visual resource management; DATES: Any party claiming a property comments and identify issues. The RMP evaluation of potential new Areas of interest in the lands affected by the will replace the existing Cedar-Beaver- Critical Environmental Concern (ACEC); decision may appeal the decision within Garfield-Antimony RMP (1986) and Wild and Scenic River the following time limits: Pinyon Management Framework Plan recommendations; Off-Highway Vehicle 1. Unknown parties, parties unable to (1983). Area Designations; Special Recreation be located after reasonable efforts have DATES: This notice initiates the public Management Areas; Wild Horse and been expended to locate, parties who scoping process for the RMP with Burro management; consideration of fail or refuse to sign their return receipt, associated EIS. Comments on issues non-Wilderness Study Area lands with and parties who receive a copy of the may be submitted in writing until wilderness characteristics; and fluid and decision by regular mail which is not December 9, 2010. The date(s) and solid minerals management, including certified, return receipt requested, shall location(s) of any scoping meetings will stipulations to protect sensitive

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resources. Preliminary planning criteria personal identifying information—may SUMMARY: The Bureau of Land include: be made publicly available at any time. Management (BLM) announces the 1. Lands addressed in the RMP will be While you can ask us in your comment availability of the Record of Decision public lands (including split estate to withhold your personal identifying (ROD)/Approved Resource Management lands) managed by the BLM. There will information from public review, we Plan (RMP) for the Socorro Field Office be no decisions in the RMP for lands not cannot guarantee that we will be able to located in Socorro and Catron Counties, managed by the BLM. do so. The minutes and list of attendees New Mexico. The State Director signed 2. The BLM will use a collaborative for each scoping meeting will be the ROD on August 20, 2010, which and multi-jurisdictional approach, available to the public and open for 30 constitutes the final decision of the BLM where possible, to determine the desired days after the meeting to any participant and makes the Approved RMP effective future condition of public lands. who wishes to clarify the views he or immediately. 3. The BLM will ensure compliance she expressed. The BLM will evaluate ADDRESSES: Copies of the ROD/ with all applicable local, state, tribal, identified issues to be addressed in the Approved RMP are available upon and Federal air quality laws, statutes, plan, and will place them into one of request from the Field Manager, Socorro regulations, standards, and three categories: Field Office, Bureau of Land implementation plans and include an 1. Issues to be resolved in the plan; Management, 901 S. Highway 85, analysis of climate change. 2. Issues to be resolved through policy 4. Areas potentially suitable for Socorro, New Mexico 87801 or via the or administrative action; or ACECs and other special management Internet at http://www.blm.gov/nm. designations will be identified and 3. Issues beyond the scope of this Copies of the ROD/Approved RMP are brought forward for analysis in the plan. also available for public inspection at RMP. Public nominations will be The BLM will provide an explanation the Socorro Public Library located at requested. in the Draft RMP/EIS as to why an issue 401 Park Street, Socorro, New Mexico. 5. All river segments will be was placed in category two or three. The FOR FURTHER INFORMATION CONTACT: For considered, and determinations of public is also encouraged to help further information, contact Kevin eligibility, suitability, tentative identify any management questions and Carson, Outdoor Recreation Planner, classification, and protective concerns that should be addressed in telephone 575–838–1280; address management will be made in the plan. The BLM will work Socorro Field Office, Bureau of Land accordance with Section 5(d) of the collaboratively with interested parties to Management, 901 S. Highway 85, Wild and Scenic Rivers Act and BLM identify the management decisions that Socorro, New Mexico 87801; e-mail Manual Section 8351. Public are best suited to local, regional, and [email protected]. national needs and concerns. The BLM nominations will be requested. SUPPLEMENTARY INFORMATION: The will use an interdisciplinary approach 6. Herd Areas will be identified and Approved RMP provides direction for to develop the plan in order to consider boundaries for Wild Horse Herd the long-term management of 1.5 the variety of resource issues and Management Areas will be addressed in million surface acres of public land and concerns identified. Specialists with the plan. 6 million acres of Federal mineral estate expertise in the following disciplines 7. Decisions of the RMP will be public land within Socorro and Catron will be involved in the planning consistent with the goals and objectives Counties and revises the 1989 Socorro process: rangeland management, air of the legislation designating the Old RMP. Collaborative planning was used quality, minerals and geology, forestry, Spanish National Historic Trail. throughout the development of the outdoor recreation, archaeology, Parties interested in leasing and RMP, which included public meetings, paleontology, wildlife and fisheries, development of Federal coal in the mailings, and other outreach activities. lands and realty, hydrology, soils, planning area should provide coal Catron County and the Pueblo of Zuni sociology and economics, wildland fire, resource data for their area(s) of interest. were cooperating agencies. Specifically, information is requested on and public affairs. Six issues are addressed in the the location, quality, and quantity of Authority: 40 CFR 1501.7 and 43 CFR Approved RMP. The issues include: Federal coal with development 1610.2. Approved: (1) Special designations, such as potential, and on surface resource Jeff Rawson, Areas of Critical Environmental values related to the 20 coal Concern; Associate State Director. unsuitability criteria described in 43 (2) Improving soil and vegetation CFR part 3461. This information will be [FR Doc. 2010–22607 Filed 9–9–10; 8:45 am] conditions at the watershed level; used for any necessary updating of coal BILLING CODE 4310–DQ–P (3) Fluid and solid mineral screening determinations (43 CFR development; 3420.1–4) in the Decision Area and in (4) Travel and transportation (e.g., off- the environmental analysis. You may DEPARTMENT OF THE INTERIOR highway vehicle use, mountain biking, submit comments on issues and Bureau of Land Management hiking, and horseback riding); planning criteria in writing to the BLM (5) Land-use allocations and at any public scoping meeting, or you initiatives (e.g., land tenure, right-of- may submit them to the BLM using one [LLNMA02000 L16100000.XH0000] way corridors, and areas where public of the methods listed in the ADDRESSES and private lands abut one another); and section above. To be most helpful, you Notice of Availability of Record of (6) Regional heritage/tourism should submit comments before the Decision for the Socorro Field Office opportunities on the BLM-managed close of the comment period or within Resource Management Plan/ public land. Management actions in the 15 days after the last public meeting. Environmental Impact Statement, New Approved RMP consequently address Before including your address, phone Mexico those issues by program and resource number, e-mail address, or other AGENCY: Bureau of Land Management, area, including special designations, soil personal identifying information in your Interior. and water resources; vegetation and comment, you should be aware that land health; wildlife, riparian and ACTION: Notice of Availability. your entire comment—including your special status species; recreation,

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cultural, visual, paleontological, and The first modification concerns lands Authority: 40 CFR 1506.6(b)(2). recreation resources; lands and realty; with wilderness characteristics. After Jesse Juen, nonrenewable and renewable energy review of the wilderness protest, an Associate State Director. development; wilderness; and error in the original wilderness [FR Doc. 2010–22432 Filed 9–9–10; 8:45 am] transportation and travel management. inventory was identified in one small On April 16, 2007, the BLM New area within a unit the protestor had BILLING CODE 4310–MW–P Mexico released the Draft RMP/EIS for proposed as having wilderness a 90-day public comment period characteristics. Approximately 600 acres DEPARTMENT OF THE INTERIOR concurrent with a Notice of Availability, of BLM public land was found to which was published in the Federal contain wilderness characteristics Bureau of Land Management Register. The BLM New Mexico because they adjoin the Chupadera conducted public hearings on the Draft Wilderness, which the U.S. Fish and [SDM 99842] RMP/EIS and analyzed public Wildlife Service manages. Therefore, the Notice of Proposed Withdrawal and comments received. Minor BLM will select Alternative C for this modifications and technical changes Opportunity for Public Meeting; South area, which has a higher level of were made to the Preferred Alternative, Dakota protection through a Lands and Realty which was carried forward as the decision. The BLM will issue this ROD AGENCY: Bureau of Land Management, Proposed Alternative (Alternative B) in Interior. the Proposed RMP/Final EIS. and subsequently initiate a Resource ACTION: Notice. The BLM New Mexico released the Management Plan Amendment (RMPA) and supporting NEPA analysis to further Proposed RMP/Final EIS for a 60-day SUMMARY: The United States Department Governor’s Consistency Review and 30- address this area’s wilderness characteristics. The RMPA process will of Agriculture (USDA) Forest Service day protest period on December 5, 2008. has filed an application with the Bureau include opportunities for public The BLM New Mexico modified one of Land Management (BLM) requesting participation. The second modification decision in the Approved RMP as a that the Secretary of the Interior result of the Governor’s Consistency concerns the Trail and future withdraw 50 acres of National Forest Review. The Governor’s letter stated opportunities for trail routing. The System land from mining to protect the that the BLM’s land tenure and fluid decision reflects a map revision in the recreational uses and improvements mineral decisions regarding a state- final RMP by adopting portions of within this portion of the Steamboat designated conservation easement at Alternative C and the No Action Rock Picnic Grounds. This notice also Horse Springs Ranch were inconsistent Alternative, lands suitable for disposal gives an opportunity to comment on the with the purposes of the Conservation in the Proposed RMP/Final EIS. This proposed action and to request a public Easement (CE), which is to protect modified decision will provide more meeting. wildlife habitat. In light of the options for the future protection of the DATES: Comments and requests for a Governor’s letter, the State Director Trail. public meeting must be received by modified Alternative B by selecting the Following modification of the December 9, 2010. lands and realty decision in the No Action Alternative, which will retain aforementioned decisions and review of ADDRESSES: Comments and meeting the BLM scattered parcels (3,856 acres) the protests, it was determined that the requests should be sent to the Forest within the CE boundary. This decision Socorro Field Manager followed all Supervisor, Black Hills National Forest, meets the objectives of the State’s CE. applicable procedures, laws, 1019 North 5th Street, Custer, South With regard to the Governor’s concerns regulations, and policies, and Dakota 57730 or the BLM Montana State about the potential impacts that fluid considered all relevant resource factors, Director, 5001 Southgate Drive, Billings, mineral leasing decisions may have as well as public input in developing Montana 59101. within the area of the State’s Horse the Socorro RMP. Therefore, the protests FOR FURTHER INFORMATION CONTACT: Springs Conservation Easement (‘‘CE’’), were dismissed. Valerie Hunt, Forest Service, Rocky the State Director maintains the Decisions identifying routes of travel Mountain Region, 303–275–5071 or discretion to decline to issue leases on within designated areas for motorized Sandra Ward, BLM Montana State a case-by-case basis. In recognition of vehicles are implementation decisions, Office, 406–896–5052. the particular resource concerns of this and are appealable under 43 CFR part 4. SUPPLEMENTARY INFORMATION: The USDA CE, the State Director will carefully These decisions are contained in Forest Service has filed an application exercise this discretion for any lease Appendix J of the Approved RMP. Any with the BLM pursuant to Section 204 proposal in the surface area covered by party adversely affected by the proposed of the Federal Land Policy and the CE. After the issuance of this ROD, route identifications may appeal within Management Act of 1976, 43 U.S.C. the BLM will undertake a plan 1714, to withdraw the following- 30 days of publication of this Notice of amendment process to consider closing described National Forest System land Availability pursuant to 43 CFR, part 4, the area covered by the CE to fluid within the Black Hills National Forest subpart E. The appeal should state the mineral leasing. from location or entry under the United The BLM received three protests on specific route(s), as identified in States mining laws (30 U.S.C. Ch. 2) for the Proposed RMP/Final EIS. The Appendix J of the Approved RMP, on a period of 20 years, subject to valid protests raised issues regarding which the decision is being appealed. existing rights: The appeal must be filed with the rangeland resources, lands with Black Hills National Forest wilderness characteristics, and the Socorro Field Office Manager at the Continental Divide National Scenic above listed address. Please consult the Black Hills Meridian Trail (Trail). As a result of the protests, appropriate regulations (43 CFR, part 4, Steamboat Picnic Grounds minor editorial modifications and subpart E) for further appeal T. 2 N., R. 5 E., technical clarifications were made in requirements. Sec. 1, S1⁄2NW1⁄4SW1⁄4, N1⁄2SW1⁄4SW1⁄4, and the ROD and in the Approved RMP. NW1⁄4SE1⁄4SW1⁄4.

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The area described contains 50 acres in proposed withdrawal must submit a silent auction to be held after the BLM Lawrence County. written request to the Forest opens all written sealed bids. The purpose of the proposed Supervisor’s Office within 90 days from DATES: Comments regarding the withdrawal is to protect the recreational the date of publication of this notice. proposed sale must be received by the uses and improvements within this Upon determination by the authorized BLM on or before October 25, 2010. portion of the Steamboat Rock Picnic officer that a public meeting will be Sealed bids must be received no later Grounds. held, a notice of the time and place will than 3 p.m., Mountain Time on The use of a right-of-way or be published in the Federal Register November 15, 2010. The BLM will open cooperative agreement would not and in at least one local newspaper no the sealed bids and allow supplemental provide adequate protection of the less than 30 days before the scheduled bidding in a silent auction on November Federal investment in improvements date of the meeting. 15, 2010, which will be the sale date. and current uses in this area due to the For a period of 2 years from the date Other deadline dates for payment are broad scope and nondiscretionary of publication of this notice in the specified in the SUPPLEMENTARY nature of the general mining laws. Federal Register, the land will be INFORMATION section of this notice. No alternative sites are feasible due to segregated from location or entry under ADDRESSES: Written comments the specific uses and improvements the United States mining laws, unless concerning the proposed sale should be already in place. the application is denied or canceled or sent to the Field Manager, BLM No water will be needed to fulfill the the withdrawal is approved prior to that Farmington Field Office, 1235 La Plata purpose of the requested withdrawal. date. The land will remain open to other Highway, Suite A, Farmington, New For a period of 90 days from the date uses within the statutory authority Mexico 87401. Sealed bids must also be of publication of this notice, all persons pertinent to National Forest System submitted to this address. Supplemental who wish to submit comments, lands and subject to discretionary bidding in the silent auction will be suggestions, or objections in connection approval. conducted at this address. Additional with the proposed withdrawal may The application will be processed in information including bid forms, times, present their views in writing to the accordance with the regulations set and bidding procedures will be Forest Supervisor, Black Hills National forth in 43 CFR 2300. available in an Invitation for Bids Forest, P.O. Box 948, Glenwood Springs, (Authority: 43 CFR 2310.3–1(b)) available from the Farmington Field Colorado 81602. Office. More detailed information Records related to the application, as Cynthia Staszak, regarding the proposed sale and the well as comments, including names and Chief, Branch of Land Resources. land involved, including maps and street addresses of respondents, will be [FR Doc. 2010–22608 Filed 9–9–10; 8:45 am] current appraisal, may be reviewed available for public review at the Forest BILLING CODE 3410–11–P during normal business hours between Supervisor’s Office, Black Hills National 7:45 a.m. and 4:30 p.m. at the Forest, P.O. Box 948, 900 Grand Farmington Field Office at the above Avenue, Glenwood Springs, Colorado DEPARTMENT OF THE INTERIOR address. 81602, during regular business hours. Bureau of Land Management FOR FURTHER INFORMATION CONTACT: Individual respondents may request Albert M. Gonzales, Realty Specialist, confidentiality. Before including your (505) 599–6334 or via e-mail at address, phone number, e-mail address, [LLNMF01000.L143000000.EU0000; NMNM [email protected]. or other personal identifying 122597] SUPPLEMENTARY INFORMATION: The information in your comment, be Notice of Realty Action: Competitive following public land is proposed for advised that your entire comment— Sale of Public Land Near Aztec in San competitive sale in accordance with including your personal identifying Juan County, NM Section 203 of FLPMA (43 U.S.C. 1713): information—may be made publicly available at any time. While you can ask AGENCY: Bureau of Land Management, New Mexico Principal Meridian us in your comment to withhold from Interior. T. 30 N., R. 11 W., public review your personal identifying ACTION: Notice of realty action. Sec. 17, SWSE†SE†, SWNWSE†SE†, and information, we cannot guarantee that NWNE†SE†SE†; we will be able to do so. If you wish to SUMMARY: The Bureau of Land Sec. 20, lot 1. withhold your name or address from Management (BLM) proposes to offer, by The area described contains 73.75 acres, public review or from disclosure under competitive sale, one parcel of land more or less, in San Juan County. the Freedom of Information Act, you totaling 73.75 acres within the Aztec The public land has been identified as must state this prominently at the city limits in San Juan County, New suitable for disposal in the BLM’s beginning of your comments. Such Mexico. The sale will be subject to the September 29, 2003, Farmington requests will be honored to the extent applicable provisions of Section 203 of Resource Management Plan, as allowed by law. All submissions from the Federal Land Policy and amended, and is not needed for any organizations or businesses, and from Management Act of 1976 (FLPMA), Federal purpose. The sale is consistent individuals identifying themselves as respectively, and BLM land sale with current BLM planning for this area representatives or officials of regulations. The purpose of the sale is and would be in the public interest. The organization or businesses, will be made to dispose of lands which are difficult land meets the criteria for sale under 43 available for public inspection in their and uneconomic to manage. The sales CFR 2710.0–3(a)(3), because its location entirety. will be conducted as a competitive bid and other characteristics make it Notice is hereby given that an auction in which interested bidders difficult and uneconomic to manage as opportunity for a public meeting is must submit written sealed bids equal to part of the public lands and is not afforded in connection with the or greater than the appraised fair market suitable for management by another proposed withdrawal. All interested value of the land. Bidders who submit Federal department or agency. The land persons who desire a public meeting for written sealed bids will have the is intermingled with private land. This the purpose of being heard on the opportunity to increase their bids in a land contains no other known public

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values. The land has not been identified (e) Right-of-Way Grant NMNM 80795 right to increase the required bid for transfer to the State or any other for electrical power line purposes, increment at any time. The highest local government or nonprofit granted to the City of Farmington; supplemental bid submitted during the organization. The land is adjacent to (f) Right-of-Way Grants NMNM silent auction will be declared the high commercially developed private land 107746, NMNM 112113, NMNM bid and the high bidder must and is suitable for similar uses. The 010871, and NMNM 013690 for gas immediately submit an additional parcel will be offered through pipeline purposes, granted to Enterprise payment to the BLM which, when competitive sale procedures pursuant to Field Services; added to the bid deposit submitted with 43 CFR 2711.3–1. (g) Oil and Gas Communitization the bidders sealed bid, equals at least 20 On September 10, 2010, the above Agreements NMNM 73491, NMNM percent of the amount of the bid. If no described land will be segregated from 87127, NMNM 104908, NMNM 104910, supplemental bids are submitted for the appropriation under the public land and NMNM 108260, Burlington parcel during the silent auction, the laws, including the mining laws, except Resources Oil and Gas Company; and highest sealed bid for the parcel will be (h) Oil and Gas Communitization the sale provisions of the FLPMA. Until declared the high bid and the high Agreements NMNM 73723 and NMNM completion of the sale, or termination of bidder will receive written notice. If no 112525, Operator, Roddy Production the segregation, the BLM will no longer supplemental bids are submitted for the Company, LLC. parcel during the silent auction and accept land use applications affecting The right-of-way holders will have the the identified public land, except more than one sealed bid is submitted option of conversion to easement for the same high bid amount, the high applications for the amendment of opportunities. The land conveyance will previously filed right-of-way bidders will be notified and allowed to be subject to the above modifications. submit additional sealed bids. The applications or existing authorizations 4. No warranty of any kind, express or to increase the term of the grants in highest qualifying bid for any parcel implied, is given by the United States as will be declared the high bid and the accordance with 43 CFR 2802.15. The to the title, physical condition, or segregation will terminate upon high bidder will receive written notice. potential uses of the lands proposed for The remainder of the full bid price for issuance of a patent, publication in the sale; and the conveyance of any parcel Federal Register of a termination of the the parcel must be paid within 180 will not be on a contingency basis. To calendar days of the sale date in the segregation, or September 10, 2012, the extent required by law, all such whichever occurs first, unless extended form of a certified check, money order, parcels are subject to the requirements bank draft, or cashier’s check made by the BLM State Director in accordance of Section 120(h) of the Comprehensive with 43 CFR 2711.1–2 (d) prior to the payable in U.S. dollars to the Bureau of Environmental Response, Land Management. Personal checks will termination dates. The land will not be Compensation, and Liability Act not be accepted. Failure to pay the full sold until at least 60 days after the date (CERCLA), as amended (42 U.S.C. price within the 180 days will of publication of this notice in the 9620(h)). disqualify the apparent high bidder and Federal Register. In the event of a sale, 5. An appropriate indemnification cause the entire bid deposit to be conveyance will be made of surface clause protecting the United States from forfeited to the BLM. The BLM will interest only; the BLM intends to retain claims arising out of the purchaser’s return checks submitted by all mineral rights. Any patent issued use, occupancy, or operations on the unsuccessful bidders by U.S. mail or in will contain the following reservations, patented lands. Interested bidders are person on the day of the sale. covenants, terms and conditions: advised to obtain an Invitation Form The BLM may accept or reject any or 1. All minerals, including coal, will Bids (IFB) from the BLM Farmington all offers, or withdraw the land or be reserved to the United States with the Field Office at the address above or by interest therein from sale, if, in the right to prospect for or mine, and calling (505) 599–8900. Interested opinion of the BLM authorized officer, remove the minerals; bidders must follow the instructions in consummation of the sale would not be 2. The land will be conveyed with a the IFB to participate in the bidding fully consistent with FLPMA or other reservation of right-of-way to the United process. Sealed bids must be for not less applicable law or is determined to not States for ditches and canals than the federally approved fair market be in the public interest. Under Federal constructed by authority of the United value. Each sealed bid must include a law, the public lands may only be States under the Act of August 30, 1890 certified check, money order, bank draft, conveyed to U.S. citizens 18 years of age (43 U.S.C. 945); or cashier’s check made payable in U.S. or older, a corporation subject to the 3. The land will also be conveyed dollars to the order of the Bureau of laws of any State or of the United States, subject to the following valid existing Land Management, for 10 percent of the a State, State instrumentality, or rights: amount of the bid. Bidders who have political subdivision authorized to hold properly submitted sealed bids will property, or an entity legally capable of (a) Oil and Gas Lease NMSF 078402 have the opportunity to submit and NMSF 078402A leased to conveying and holding lands under the supplemental written bids in a silent laws of the State of New Mexico. Burlington Resources Oil and Gas auction at the BLM Farmington Field Company; Certification of qualifications, including Office on November 15, 2010. Interested citizenship or corporation or (b) Right-of-Way Grant NMNM 92866 bidders wishing to submit a partnership, must be provided to the and NMNM 109478 for road purposes, supplemental bid for a parcel must have BLM prior to conveyance. granted to Burlington Resources Oil and properly submitted a sealed bid for the Additional Information: If not sold, Gas Company; parcel and be present at the silent the lands described in this Notice of (c) Right-of-Way Grant NMNM 28540 auction. The first supplemental bid for Realty Action may be identified for sale for water pipeline, granted to Southside the parcel in the silent auction must be later without further legal notice and Water Users; at least $2,000 more than the highest may be offered for sale by sealed bid, (d) Right-of-Way Grant NMNM 68504, sealed bid accepted by the BLM and internet auction, or oral auction. It is the NMNM 011405, and NMNM 68504, for each subsequent supplemental bid must buyer’s responsibility to be aware of all gas pipeline purposes, granted to be at least $2,000 more than the applicable local government policies, Enterprise Field Services, LLC; previous bid. The BLM reserves the laws, and regulations that would affect

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the subject lands, including any one parcel of land totaling identification number of the parcel required dedication of lands for public approximately 160 acres in Lindrith, ‘‘BLM SERIAL NUMBER NM–121548.’’ uses. It is also the buyer’s responsibility New Mexico. The sale parcel will be The bid envelope must also contain the to be aware of existing or projected uses subject to the applicable provisions of completed BLM Certificate of Eligibility of nearby properties. When conveyed the Federal Land Policy and form, stating the name, mailing address, out of Federal ownership, the land will Management Act of 1976. The land is and phone number of the entity/person be subject to any applicable reviews and not needed for any Federal purpose and making the bid. approvals by the respective unit of local would be sold for not less than Fair Sealed bids will be opened and government for proposed future uses, Market Value (FMV), currently recorded to determine the high bidder and any review and approvals will be appraised to be $96,000. on November 9, 2010, at 10 a.m. MST, responsibility of the buyer. Any land DATES: Comments regarding the at the BLM Farmington Field Office. lacking access from a public road or proposed sale or the Environmental The highest qualifying bidder among the highway will be conveyed as such, and Assessment (EA) will be accepted until qualified bids received for the sale will future access acquisition will be the October 25, 2010. Sealed bids for the be declared. This modified competitive responsibility of the buyer. Information sale must be post-marked and received sale allows the designated bidders the concerning the sale including the by the BLM no later than 4:30 p.m., right to meet the high bid. reservations, sale procedures, and Mountain Standard Time (MST), on The designated bidders or their conditions, CERCLA and other November 8, 2010 at the BLM authorized representative must be environmental documents will be Farmington Field Office. present at the bid opening on November 9, 2010 at 10 a.m. MST. Should the available for review at the BLM ADDRESSES: Written comments and Farmington Field Office. The general designated bidders appoint a sealed bids should be mailed to the representative for this sale, they must public and interested parties may BLM Field Manager, Farmington Field submit comments regarding the submit, in writing, a notarized Office, 1235 La Plata Highway, Suite A, document identifying the level of proposed sale to the attention of the Farmington, New Mexico 87401. BLM Farmington Field Manager on or capacity given to their authorized FOR FURTHER INFORMATION CONTACT: representative. This document must be before October 25, 2010. Any adverse Albert Gonzales, e-mail: comments regarding the proposed sale signed by both parties. The designated [email protected] or by phone bidders or their authorized will be reviewed by the BLM New at (505) 599–6334. Mexico State Director or other representative will have the opportunity SUPPLEMENTARY INFORMATION: The authorized official of the Department of to meet and accept the high bid as the following land is located northeast of the Interior, who may sustain, vacate, or purchase price of the parcel or to refuse Cuba in Lindrith, New Mexico, and is that offer. Should the designated modify this realty action in whole or in described as: bidders or their authorized part. Before including your address, representative refuse the offer, the high phone number, e-mail address, or other New Mexico Principal Meridian bid received through sealed bid will be personal identifying information in your T. 26 N., R. 2 W., declared the successful bid in comment, you should be aware that sec. 17, NE1⁄4. accordance with regulations at 43 CFR your entire comment—including your The area described contains 160 acres, 2711.3–2(c). Acceptance or rejection of personal identifying information—may more or less, in Rio Arriba County. any offer to purchase the parcel will be be made publicly available at any time. The sale is in conformance with the in accordance with the procedures set While you can ask us in your comment BLM Farmington Resource Management forth in 43 CFR 2711.3–1 (f) and (g) of to withhold your personal identifying Plan (RMP) approved on October 5, this subpart. information from public review, we 1998. The BLM has determined that the All funds submitted with sealed bids cannot guarantee that we will be able to proposed action conforms to the land will be returned to the unsuccessful do so. use plan decision, LD–1, in the RMP. bidders upon presentation of photo Authority: 43 CFR 2711.1–2. The use of the modified competitive identification. The successful bidder sale method for this sale is consistent may elect a refund of their $20,000 bid William Merhege, with 43 CFR 2711.3–2(a)(1)(i). guarantee or apply the bid guarantee Acting Deputy State Director, Resources. To participate in this modified along with the required 20 percent bid [FR Doc. 2010–22612 Filed 9–9–10; 8:45 am] competitive sale, each bidder, including deposit toward the purchase price. BILLING CODE 4310–VB–P the designated bidders, must submit a Failure to submit the bid deposit $20,000 bid guarantee deposited by a following a successful bid will result in certified check, postal money order, forfeiture of the bid guarantee under 43 DEPARTMENT OF THE INTERIOR bank draft, or cashier’s check made CFR 2711.3–1(d). payable to the Bureau of Land The successful bidder will be allowed Bureau of Land Management Management. Sealed bids for this sale 180 days from the date of the sale to [LLNMF0100 L5874000.EU, LXSS041G0000; must be accompanied by a certified submit the remainder of the full bid NMNM 121548] check, postal money order, bank draft, price in the form of a certified check, or cashier’s check made payable to the postal money order, bank draft, or Notice of Realty Action: Modified Bureau of Land Management, in an cashier’s check made payable to the Competitive Sealed Bid Sale of Public amount not less than 20 percent of the Bureau of Land Management. Personal Lands in Rio Arriba County, NM total bid amount. The bid guarantee and checks will not be accepted. AGENCY: Bureau of Land Management, sealed bid amounts may be submitted in Arrangements for electronic fund Interior. one form of deposit but must be transfer to the BLM for the payment of ACTION: Notice of realty action. specified. Personal checks will not be the balance due on or before 180 days accepted. Sealed bid envelopes must be from the date of the sale, shall be made SUMMARY: The Bureau of Land clearly marked on the front lower left a minimum of 2 weeks prior to the Management (BLM) proposes to offer, by corner with ‘‘SEALED BID BLM LAND payment date. Failure to submit the full modified competitive sealed bid sale, SALE,’’ November 9, 2010, and the bid price before the end of the 180th day

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following the sale date will result in the employees, agents, contractors, or no longer accepting land use forfeiture of the 20 percent bid deposit lessees, or any third party, arising out applications affecting the identified to the BLM in accordance with 43 CFR of, or in connection with, the patentees land, except applications for the 2711.3–1(d). If there are no acceptable use, occupancy, or operations on the amendment of previously filed right-of- bids, the parcel may remain available patented real property. This way applications or existing for sale on a continuing basis in indemnification and hold harmless authorizations to increase the term of accordance with the competitive sale agreement includes, but is not limited the grant in accordance with 43 CFR procedures described in 43 CFR 2711.3– to, acts and omissions of the patentees, 2807.15 and 2886.15. Land use 1 without further legal notice. If the its employees, agents, contractors, or applications may be considered after parcel is not sold, it may also be offered lessees, or third parties arising out of or completion of the sale process for this for sale in a future Internet auction. in connection with the use and/or parcel if the parcel is not sold. Internet auction procedures are occupancy of the patented real property The BLM will notify valid existing available at http://www.auctionrp.com. resulting in: (a) Violations of Federal, right-of-way holders of their ability to If unsold through the Internet auction, State, and local laws and regulations convert their compliant rights-of-way to the parcel may be offered for sale in the applicable to the real property; (b) perpetual rights-of-way or easements. future without additional legal notice. judgments, claims or demands of any Each valid holder will be notified, in Terms and Conditions: All minerals kind assessed against the United States; writing, of their rights and then must will be reserved to the United States. (c) costs, expenses, damages of any kind apply for the conversion of their current The conveyance document issued incurred by the United States; (d) other authorization before the patent is would contain the following numbered releases or threatened releases on, into issued. reservations, covenants, terms, and or under land, property and other Federal law requires that all bidders conditions: interests of the United States by solid or must be United States citizens 18 years 1. Discretionary leasable and saleable hazardous waste(s) and/or hazardous old or older, or in the case of mineral deposits on the land, if any, are substances(s), as defined by Federal or corporations, be subject to the laws of reserved to the United States, its State environmental laws; (e) Other any State of the United States. Proof of permittees, licensees, and lessees activities by which solid or hazardous these requirements must accompany the together with the right to prospect for, substances or wastes, as defined by bid. Unless other satisfactory mine, and remove such minerals under Federal and State environmental laws arrangements are approved in advance applicable law and any regulations that were generated, released, stored, used or by the BLM authorized officer, the Secretary of the Interior may otherwise disposed of on the patented conveyance of title shall be through the prescribe, together with all necessary real property, and any cleanup use of escrow. Designation of the escrow access and exit rights; response, remedial action, or other agent shall be through mutual 2. A right-of-way thereon for ditches actions related in any manner to said agreement between the BLM and the and canals constructed by authority of solid or hazardous substances or wastes; prospective patentee, and costs of the United States pursuant to the Act of or (f) Natural resource damages as escrow shall be borne by the prospective August 30, 1890 (26 Stat. 391; 43 U.S.C. defined by Federal and State law. This patentee. 945); covenant shall be construed as running Requests for all escrow instructions 3. The parcel is subject to valid with the patented real property, and must be received by the BLM existing rights. The parcel may also be may be enforced by the United States in Farmington Field Office prior to 30 days subject to land-use applications a court of competent jurisdiction; and before the bidder’s scheduled closing received prior to publication of this 5. Pursuant to the requirements date. There are no exceptions. notice if processing the application established by Section 120(h) of the Within 30 days of the sale, the BLM would have no adverse effect on the Comprehensive Environmental will, in writing, either accept or reject marketability of the title, or the federally Response, Compensation and Liability all bids received. Pursuant to 43 CFR approved FMV, of the parcel. Act, 42 U.S.C. 9620(h) (CERCLA), as 2711.3–1, a bid is the bidder’s offer to Encumbrances of record, appearing in amended by the Superfund the BLM to purchase the parcel. No the BLM public files for the parcels Amendments and Reauthorization Act contractual or other rights against the proposed for sale, are available for of 1988 (100 Stat. 1670), notice is hereby United States may accrue until the BLM review during business hours, 7:45 a.m. given that the above-described land has officially accepts the offer to purchase, to 4:30 p.m. MST, Monday through been examined and no evidence was and the full bid price is submitted by Friday, at the BLM Farmington Field found to indicate that any hazardous the 180th day following the sale. Office, except during federally substances have been stored for 1 year To change the name on the bidder recognized holidays. Subject to or more, nor have any hazardous statement, high bidders must notify the limitations prescribed by law and substances been disposed of or released BLM Farmington Field Office, in regulation, prior to patent issuance, a on the subject property. writing, and submit a new bidder holder of any right-of-way within the The parcel is subject to reservations statement, which is available at the BLM parcel may be given the opportunity to for roads, public utilities, and flood Farmington Field Office, and must be amend the right-of-way for conversion control purposes in accordance with the completed by the intended patentee. to a new term, including one that would local governing entities’ transportation The BLM will not sign any documents last in perpetuity, if applicable, or to an plans. No warranty of any kind, express related to any Internal Revenue Service easement. or implied, is given by the United States (IRS) 1031 exchange transactions. The 4. By accepting this patent, the as to title, whether, or to what extent, timing for completion of any IRS patentee agrees to indemnify, defend the land may be developed, its physical Section 1031 exchange is the bidder’s and hold the United States harmless condition, future uses, or any other responsibility in accordance with IRS from any costs, damages, claims, causes circumstance or condition. The regulations. The BLM will not be a party of action, penalties, fines, liabilities, and conveyance of the parcel will not be on to any IRS Section 1031 exchange. judgments of any kind or nature arising a contingency basis. In order to determine the FMV, from the past, present, and future acts On publication of this notice and certain assumptions may have been or omissions of the patentees, its until completion of the sale, the BLM is made about the attributes and

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limitations of the land and potential comment, you should be aware that (7) Estimated total number of hours to effects of local regulations and policies your entire comment—including your complete the form per respondent: 40 on potential future land uses. Through personal identifying information—may hours. publication of this notice, the BLM be made publicly available at any time. (8) Information obtained from the advises that these assumptions may not While you can ask us in your comment form that qualifies as confidential be endorsed or approved by units of to withhold your personal identifying business information will be so treated local government. It is the buyer’s information from public review, we by the Commission and not disclosed in responsibility to be aware of all cannot guarantee that we will be able to a manner that would reveal the applicable Federal, State, and local do so. individual operations of a firm. government laws, regulations, and Any adverse comments regarding the Additional information or comment: policies that may affect the subject proposed sale will be reviewed by the Copies of the forms and supporting lands, including any required BLM New Mexico State Director, who documents may be obtained from dedication of lands for public uses. It is may sustain, vacate, or modify this project leaders Alexander Hammer the buyer’s responsibility to be aware of realty action. In the absence of any ([email protected] or 202– existing or projected use of nearby adverse comments, this realty action 205–3271) or Katherine Linton properties. When conveyed out of will become the final determination of ([email protected] or 202–205– Federal ownership, the land will be the Department of the Interior. 3393). Comments about the proposal subject to any applicable laws, (Authority: 43 CFR 2711) should be directed to the Office of regulations, and policies of the Management and Budget, Office of applicable local government for Debby Lucero, Information and Regulatory Affairs, proposed future uses. It will be the Acting Deputy State Director, Division of Room 10102 (Docket Library), responsibility of the purchaser to be Lands and Resources. Washington, DC 20503, ATTENTION: aware through due diligence of those [FR Doc. 2010–22610 Filed 9–9–10; 8:45 am] Docket Librarian. All comments should laws, regulations, and policies, and to BILLING CODE 4310–VB–P be specific, indicating which part of the seek any required local approvals for questionnaire is objectionable, future uses. Buyers should also make describing the concern in detail, and themselves aware of any Federal or INTERNATIONAL TRADE including specific suggested revision or State law or regulation that may impact COMMISSION language changes. Copies of any the future use of the property. Any land comments should be provided to Steve Agency Form Submitted for OMB lacking access from a public road or McLaughlin, Chief Information Officer, Review highway will be conveyed as such, and U.S. International Trade Commission, future access acquisition will be the AGENCY: United States International 500 E Street, SW., Washington, DC responsibility of the buyer. The parcel Trade Commission. 20436, who is the Commission’s proposed for sale was analyzed in the ACTION: In accordance with the designated Senior Official under the BLM Farmington Resource Management provisions of the Paperwork Reduction Paperwork Reduction Act. Plan and Final Environmental Impact Act of 1995 (44 U.S.C. Chapter 35), the Persons with mobility impairments Statement dated March 2003. This was Commission has submitted a request for who will need special assistance in approved as the Resource Management approval of a questionnaire to the Office gaining access to the Commission Plan in the Record of Decision signed of Management and Budget for review. should contact the Secretary at 202– September 29, 2003, which is available 205–2000. Hearing impaired individuals for review at the BLM Farmington Field Purpose of information collection: are advised that information on this Office. The parcel identified in this The forms are for use by the matter can be obtained by contacting Notice was analyzed in an Commission in connection with our TTD terminal (telephone no. 202– Environmental Assessment (EA) for the investigation No. 332–519, China: 205–1810). Also, general information sale. Effects of Intellectual Property about the Commission can be obtained Information concerning the sale, Infringement and Indigenous Innovation from its internet site (http:// appraisals, reservations, sale procedures Policies on the U.S. Economy, instituted www.usitc.gov). and conditions, CERCLA, maps under the authority of section 332(g) of By order of the Commission. delineating the individual sale parcel, the Tariff Act of 1930 (19 U.S.C. the FMV of the parcel, EA, and other 1332(g)). This investigation was Issued: September 3, 2010. environmental documents are available requested by the Senate Committee on Marilyn R. Abbott, for review at the Farmington Field Finance. The Commission expects to Secretary to the Commission. Office, or by contacting Albert Gonzales deliver the results of its investigation to [FR Doc. 2010–22583 Filed 9–9–10; 8:45 am] at (505) 599–6334. the Senate Committee on Finance by BILLING CODE 7020–02–P Public comments: The parcel of land May 2, 2011. will not be offered for sale before 60 days have elapsed after the publication Summary of Proposal DEPARTMENT OF JUSTICE of this notice. For a period until October (1) Number of forms submitted: 1. 25, 2010, interested parties may submit (2) Title of form: Intellectual Property Notice of Filing of Settlement written comments to the BLM Rights Questionnaire. Agreement Pursuant to Farmington Field Office. Only written (3) Type of request: New. Comprehensive Environmental comments submitted by postal service (4) Frequency of use: Industry Response, Compensation, and Liability or other delivery service will be questionnaire, single data gathering, Act (‘‘CERCLA’’) considered as properly filed. Electronic scheduled for 2010. mail, facsimile, or telephone comments (5) Description of respondents: U.S. Notice is hereby given that on August will not be considered as properly filed. firms in the services and manufacturing 24, 2010, a proposed Settlement Before including your address, phone sectors. Agreement in In re Asarco, LLC, No. 05– number, e-mail address, or other (6) Estimated number of respondents: 21207 (Bankr. S.D. Tex.) was filed with personal identifying information in your 5,675. the United States Bankruptcy Court for

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the Southern District of Texas. The DEPARTMENT OF JUSTICE States Parole Commission, (301) 492– Settlement Agreement resolves the Late 5933. Parole Commission Supplemental Proof of Claim by the Dated: September 3, 2010. United States on behalf of the United Public Announcement Pursuant to the Rockne J. Chickinell, States Department of Agriculture, Forest Government in the Sunshine Act (Pub. General Counsel, U.S. Parole Commission. Service, in the Asarco bankruptcy. The L. 94–409) [5 U.S.C. Section 552b] [FR Doc. 2010–22690 Filed 9–8–10; 11:15 am] Late Supplemental Proof of Claim BILLING CODE 4410–31–M relates to Asarco’s liability under AGENCY HOLDING MEETING: Department of CERCLA at the Kelly Camp Mine Site Justice, United States Parole located within the Colville National Commission. DEPARTMENT OF LABOR Forest in Ferry County, Washington. DATE AND TIME: 11:30 a.m., Thursday, The Settlement Agreement requires September 9, 2010. Office of the Secretary Reorganized Asarco to pay $100,000 to PLACE: U.S. Parole Commission, 5550 Delegation of Authorities and settle this matter. Friendship Boulevard, 4th Floor, Chevy Assignment of Responsibilities The Department of Justice will receive Chase, Maryland 20815. for a period of thirty (30) days from the STATUS: Closed. Secretary’s Order 5–2010 date of this publication comments MATTERS CONSIDERED: The following Subject: Delegation of Authorities and relating to the Settlement Agreement. matter will be considered during the Assignment of Responsibilities to the Comments should be addressed to the closed meeting: Administrator, Wage and Hour Division. Assistant Attorney General, Consideration of four original 1. Purpose. To delegate authorities Environment and Natural Resources jurisdiction cases pursuant to 28 CFR and assign responsibilities to the Division, and either e-mailed to 2.27 Final recommendation on Administrator, Wage and Hour Division [email protected] or probationary period for hearing (WHD). mailed to P.O. Box 7611, U.S. examiner. 2. Authorities. This Order is issued Department of Justice, Washington, DC AGENCY CONTACT: Patricia W. Moore, under the authority of 5 U.S.C. 301 20044–7611, and should refer to In re Staff Assistant to the Chairman, United (Departmental Regulations); 29 U.S.C. Asarco, LLC, No. 05–21207 (Bankr. S.D. States Parole Commission, (301) 492– 551 et seq. (Establishment of Tex.), Department of Justice Case 5933. Department; Secretary; Seal); Number 90–11–3–08633. DATES: September 3, 2010. Reorganization Plan No. 6 of 1950 (5 During the public comment period, U.S.C. App. 1 Reorg. Plan 6 1950); and Rockne Chickinell, the authorities cited in Section 5 of this the Settlement Agreement may be General Counsel, U.S. Parole Commission. Order. examined at the Office of the United [FR Doc. 2010–22689 Filed 9–8–10; 11:15 am] 3. Directives Affected. Secretary’s States Attorney, Southern District of BILLING CODE 4410–31–M Order 9–2009 (Administrator, Wage and Texas, 800 North Shoreline Blvd., #500, Hour Division) is hereby canceled. All Corpus Christi, TX 78476–2001. The other Secretary’s Orders and DOL Settlement Agreement may also be DEPARTMENT OF JUSTICE directives (including policies and examined on the following Department guidance) which reference Secretary’s of Justice Web site, http:// Parole Commission Orders 9–2009, are amended to refer to www.usdoj.gov/enrd/ Public Announcement Pursuant to the this Order. Consent_Decrees.html . A copy of the Government in the Sunshine Act (Pub. 4. Background. The Secretary of Labor Settlement Agreement may also be ‘‘ ’’ L. 94–409) [5 U.S.C. Section 552b] ( Secretary ) has the authority to issue U obtained by mail from the Consent Nonimmigrant Status Certifications Decree Library, P.O. Box 7611, U.S. AGENCY HOLDING MEETING: Department of under Section 1513(b) of the Victims of Department of Justice, Washington, DC Justice, United States Parole Trafficking and Violence Protection Act 20044–7611 or by faxing or e-mailing a Commission. of 2000, as amended, 8 U.S.C. request to Tonia Fleetwood TIME AND DATE: 10 a.m., September 9, 1101(a)(15)(U) and related Department ([email protected]), fax no. 2010. of Homeland Security regulations (see 8 CFR 214.14). This Order cancels (202) 514–0097, phone confirmation PLACE: 5550 Friendship Blvd., Fourth Secretary’s Order 9–2009 and delegates number (202) 514–1547. In requesting a Floor, Chevy Chase, MD 20815. copy from the Consent Decree Library, the Secretary’s authority to issue U STATUS: Open. please enclose a check in the amount of Nonimmigrant Status Certifications to MATTERS TO BE CONSIDERED: The $2.25 (25 cents per page reproduction the Administrator, WHD. In addition, following matters have been placed on cost) payable to the U.S. Treasury. this Order addresses certain provisions the agenda for the open Parole enacted recently as amendments to the Maureen Katz, Commission meeting: Fair Labor Standards Act in sections Assistant Section Chief. 1. Approval of Minutes May 6, 2010 1511 and 1512 of the Patient Protection [FR Doc. 2010–22604 Filed 9–9–10; 8:45 am] Quarterly Business Meeting. and Affordable Care Act of 2010, Public 2. Reports from the Chairman, Law (Pub. L.) 111–148. These particular BILLING CODE 4410–15–P Commissioners and Section FLSA authorities of the Secretary of Administrators. Labor are delegated to the Assistant 3. Consideration of proposed rule Secretary for Employee Benefits regarding rating of crack cocaine Security rather than the Administrator, offenses. WHD (see also Secretary’s Order 3– 4. Conditions for sex offenders. 2010). AGENCY CONTACT: Patricia W. Moore, 5. Delegations of Authority and Staff Assistant to the Chairman, United Assignment of Responsibility

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A. The Administrator, Wage and Hour pursuant to the Davis-Bacon Act; the et seq. (FMLA), including subpoena Division is hereby delegated authority Copeland Act, 40 U.S.C. 3145; authority under 29 U.S.C. 2616. and assigned responsibility, except as Reorganization Plan No. 14 of 1950; and (12) The Occupational Safety and hereinafter provided, for carrying out the Tennessee Valley Authority Act, 16 Health Act of 1970, as amended, 29 the employment standards and labor U.S.C. 831. U.S.C. 651 et seq. (OSH Act), to conduct standards policies, programs, and (5) The Contract Work Hours and inspections and investigations, issue activities of the Department of Labor, Safety Standards Act, as amended, 40 administrative subpoenas, issue including those functions to be U.S.C. 3701 et seq., except those citations, assess and collect penalties, performed by the Secretary of Labor provisions relating to safety and health and enforce any other remedies under the designated provisions of the delegated to the Assistant Secretary for available under the statute, and to following statutes: Occupational Safety and Health. develop and issue compliance (1) Except as hereinafter provided, the (6) Title III of the Consumer Credit interpretations under the statute, with Fair Labor Standards Act of 1938, as Protection Act, 15 U.S.C. 1671 et seq. regard to the standards on: amended, 29 U.S.C. 201 et seq. (FLSA), (7) The labor standards provisions (a) field sanitation, 29 CFR 1928.110; including the issuance thereunder of contained in Sections 5(i), (m), (n) and and child labor hazardous occupation orders 7(g) of the National Foundation for the (b) temporary labor camps, 29 CFR and other regulations concerning child Arts and the Humanities Act, 20 U.S.C. 1910.142, with respect to any labor standards, and subpoena authority 954(i), (m), (n) and 956(g), except those agricultural establishment where under 29 U.S.C. 209. Authority and provisions relating to safety and health employees are engaged in ‘‘agricultural responsibility for sections 18A and 18B delegated to the Assistant Secretary for employment’’ within the meaning of the of FLSA (29 U.S.C. 218A and 218B) and Occupational Safety and Health. Migrant and Seasonal Agricultural the associated FLSA authorities in (8) The Migrant and Seasonal Worker Protection Act, 29 U.S.C. sections 9 and 11 (20 U.S.C. 209 and Agricultural Worker Protection Act of 1802(3), regardless of the number of 211) to issue subpoenas and conduct 1983, as amended, 29 U.S.C. 1801 et employees, including employees investigations under sections 18A and seq., including subpoena authority engaged in hand packing of produce 18B are delegated and assigned to the under 29 U.S.C. 1862(b). into containers, whether done on the Assistant Secretary for Employee (9) The Employee Polygraph ground, on a moving machine, or in a Benefits Security. Authority and Protection Act of 1988, 29 U.S.C. 2001 temporary packing shed, except that the responsibility for section 18C of the et seq., including subpoena authority Assistant Secretary for Occupational FLSA (29 U.S.C. 218C) and the under 29 U.S.C. 2004(b). Safety and Health retains enforcement associated FLSA authorities in sections responsibility over temporary labor 9 and 11 (20 U.S.C. 209 and 211) to (10) The following provisions of the camps for employees engaged in egg, issue subpoenas and conduct Immigration and Nationality Act of poultry, or red meat production, or the investigations under section 18C are 1952, as amended, 8 U.S.C. 1101 et seq. post-harvest processing of agricultural delegated and assigned to the Assistant (INA): Section 258, 8 U.S.C. or horticultural commodities. Secretary for Occupational Safety and 1288(c)(4)(B)–(F), relating to the The authority of the Administrator, Health. Authority and responsibility for enforcement of the attestations required WHD under the Occupational Safety the Equal Pay Act, Section 6(d) of the by employers pertaining to the FLSA, were transferred to the Equal employment of nonimmigrant longshore and Health Act with regard to the Employment Opportunity Commission workers (D visas); Section 212(n)(2), standards on field sanitation and July 1, 1979, pursuant to the President’s (t)(3), 8 U.S.C. 1182(n)(2), (t)(3); relating temporary labor camps does not include Reorganization Plan No. 1 of February to the enforcement of labor condition any other agency authorities or 1978, set out in the Appendix to Title applications for employment of responsibilities, such as rulemaking 5, Government Organization and nonimmigrant professionals (H–1B, H– authority. Such authorities under the Employees. 1B1, and E–3 visas); Section statute are retained by the Assistant (2) The Walsh-Healey Public 212(m)(2)(E)(ii) through (v), 8 U.S.C. Secretary for Occupational Safety and Contracts Act of 1936, as amended, 41 1182(m)(2)(E)(ii) through (v), relating to Health. U.S.C. 35 et seq., except those the complaint, investigation, and Moreover, nothing in this Order shall provisions relating to safety and health penalty provisions of the attestation be construed as derogating from the delegated to the Assistant Secretary for process for users of nonimmigrant right of States operating OSHA- Occupational Safety and Health or the registered nurses (H–1C Visas); Section approved State plans under 29 U.S.C. Assistant Secretary for Mine Safety and 218(g)(2), 8 U.S.C. 1188(g)(2), relating to 667 to continue to enforce field Health. The authority of the assuring employer compliance with sanitation and temporary labor camp Administrator, WHD includes subpoena terms and conditions of employment standards if they so choose. The authority under 41 U.S.C. 39. under the temporary alien agricultural Assistant Secretary for Occupational (3) The McNamara-O’Hara Service labor certification program (H–2A Safety and Health retains the authority Contract Act of 1965, as amended, 41 visas); Section 214(c)(14), 8 U.S.C. to monitor the activity of such States U.S.C. 351 et seq., except those 1184(c)(14), relating to assuring with respect to field sanitation and provisions relating to safety and health employer compliance with the terms temporary labor camps. delegated to the Assistant Secretary for and conditions of employment under (13) Executive Order 13,495 Occupational Safety and Health. The the temporary alien labor certification (‘‘Nondisplacement of Qualified authority of the Administrator, WHD program in occupations other than Workers Under Service Contracts’’) of includes subpoena authority under 41 agriculture or registered nursing (H–2B January 30, 2009. U.S.C. 353(a). visas); and Section 274A(b)(3), 8 U.S.C. (14) Such additional Federal laws that (4) The Davis-Bacon Act, as amended, 1324A(b)(3), relating to employment from time to time may assign to the 40 U.S.C. 3141 et seq., and any laws eligibility verification and related Secretary or the Department duties and now existing or subsequently enacted, recordkeeping. responsibilities similar to those listed providing for prevailing wage findings (11) The Family and Medical Leave under subparagraphs (1)–(13) of this by the Secretary in accordance with or Act of 1993, as amended, 29 U.S.C. 2601 paragraph, as directed by the Secretary.

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B. The Administrator, Wage and Hour F. The Solicitor of Labor is delegated 2. Authority and Directives Affected. Division is hereby delegated authority authority and assigned responsibility for This Order supersedes Secretary’s Order and assigned responsibility to issue providing legal advice and assistance to 6–2009 (April 30, 2009). administrative subpoenas under Section all officers of the Department relating to 3. Background. ERISA places 9 of the Fair Labor Standards Act of the administration of the statutory responsibility in the Department of 1938, as amended, 29 U.S.C. 209; provisions, regulations, and Executive Labor for the administration of a Section 5 of the Walsh-Healey Public Orders listed above. The bringing of comprehensive program to protect the Contracts Act, as amended, 41 U.S.C. legal proceedings under those interests of participants and 39; Section 4(a) of the McNamara- authorities, the representation of the beneficiaries of private sector employee O’Hara Service Contract Act, as Secretary and/or other officials of the benefit plans. This Order delegates the amended, 41 U.S.C. 353(a); Section Department of Labor, and the Secretary of Labor’s authority and 512(b) of the Migrant and Seasonal determination of whether such assigns responsibility for ERISA and for Agricultural Worker Protection Act of proceedings or representations are specified other laws to the Assistant 1983, as amended, 29 U.S.C. 1862(b); appropriate in a given case, are Secretary for Employee Benefits Section 5(b) of the Employee Polygraph delegated exclusively to the Solicitor. Security. Protection Act of 1988, 29 U.S.C. 6. Reservation of Authority and In particular, this Order delegates the 2004(b); Section 106 of the Family and Responsibility. Secretary’s authority and assigns Medical Leave Act of 1993, as amended, A. The submission of reports and responsibility for the newest among 29 U.S.C. 2616; and Section 8(b) of the recommendations to the President and such laws, certain provisions enacted Occupational Safety and Health Act of the Congress concerning the recently as amendments to the Fair 1970, as amended, 29 U.S.C. 657(b), administration of the statutory Labor Standards Act (FLSA) in sections with respect to the authority delegated provisions and Executive Orders listed 1511 and 1512 of the Patient Protection by this Order. above is reserved to the Secretary. and Affordable Care Act of 2010, Public C. The Wage and Hour Regional B. Nothing in this Order shall limit or Law 111–148, 124 Stat. 119 (29 U.S.C. Administrators are hereby redelegated modify the delegation of authority and 218A and 218B). The duties delegated to authority and assigned responsibility to assignment of responsibility to the the Assistant Secretary include issue administrative subpoenas under Administrative Review Board by authority and responsibility for sections Section 9 of the Fair Labor Standards Secretary’s Order 01–2002 (September 18A and 18B of the FLSA (29 U.S.C. Act of 1938, as amended, 29 U.S.C. 209; 24, 2002). 218A and 218B), the associated FLSA Section 5 of the Walsh-Healey Public C. Except as expressly provided, authorities in sections 9 and 11 (20 Contracts Act, as amended, 41 U.S.C. nothing in this Order shall limit or U.S.C. 209 and 211) to issue subpoenas 39; Section 4(a) of the McNamara- modify the provisions of any other and conduct investigations under O’Hara Service Contract Act, as Order, including Secretary’s Order 4– sections 18A and 18B, and to exercise amended, 41 U.S.C. 353(a); Section 2006 (Office of Inspector General). any other authority and responsibilities 512(b) of the Migrant and Seasonal 7. Redelegation of Authority. Except granted the Secretary to enforce sections Agricultural Worker Protection Act of as otherwise provided by law, all of the 18A and 18B of the FLSA. 1983, as amended, 29 U.S.C. 1862(b); authorities delegated in this Order may 4. Delegation of Authority and Section 5(b) of the Employee Polygraph be redelegated. Assignment of Responsibilities. Protection Act of 1988, 29 U.S.C. 8. Effective Date. This Order is A. Except as hereinafter provided, the 2004(b); Section 106 of the Family and effective immediately. Assistant Secretary for Employee Medical Leave Act of 1993, as amended, 29 U.S.C. 2616; and Section 8(b) of the Dated: September 2, 2010. Benefits Security is delegated the Occupational Safety and Health Act of Hilda L. Solis, authority and assigned the responsibilities of the Secretary of 1970, as amended, 29 U.S.C. 657(b), Secretary of Labor. with respect to the authority delegated Labor— [FR Doc. 2010–22654 Filed 9–9–10; 8:45 am] (1) Under the following statutes, by this Order. BILLING CODE 4510–23–P D. The Administrator, Wage and Hour including any amendments: Division is hereby delegated authority (a) The Employee Retirement Income and assigned responsibility to issue U DEPARTMENT OF LABOR Security Act of 1974, as amended, Nonimmigrant Status Certifications except for subtitle C of Title III and Title under Section 1513(b) of the Victims of Office of the Secretary IV (29 U.S.C. 1001–1232); Trafficking and Violence Protection Act (b) The Welfare and Pension Plans of 2000, as amended, 8 U.S.C. Delegation of Authority and Disclosure Act of 1958, as amended 1101(a)(15)(U) and related Department Assignment of Responsibilities Public Law 85–836, 72 Stat. 997; Public of Homeland Security regulations (see 8 Law 86–624, 74 Stat. 417; Public Law Secretary’s Order 3–2010 CFR 214.14). 87–420, 76 Stat. 35. E. The Administrator, Wage and Hour Subject: Delegation of Authority and (c) The Federal Employees’ Division and the Assistant Secretary for Assignment of Responsibilities to the Retirement System Act of 1986 (5 U.S.C. Occupational Safety and Health are Employee Benefits Security 8401–8479); directed to confer regularly on Administration. (d) The Health Insurance Portability enforcement of the Occupational Safety 1. Purpose. To delegate authority and and Accountability Act of 1996, Public and Health Act with regard to the assign responsibilities for the Law 104–191, 110 Stat. 1936; standards on field sanitation and administration of the Department of (e) Section 311(b) the Children’s temporary labor camps (see section 7.A. Labor’s responsibilities under the Health Insurance Program (12) of this Order), and to enter into any Employee Retirement Income Security Reauthorization Act of 2009, Public Law memoranda of understanding which Act of 1974, (ERISA), Federal 111–3, 123 Stat. 65; may be appropriate to clarify questions Employees’ Retirement System Act of (f) Section 3001 of the American of coverage which arise in the course of 1986 (FERSA), and certain other Recovery and Reinvestment Act of 2009 such enforcement. statutes. Public Law 111–5;

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(g) Sections 18A and 18B of the Fair DEPARTMENT OF LABOR B. Directives Affected. Secretary’s Labor Standards Act of 1938, as Order 5–2007 is replaced by this Order. amended, 29 U.S.C. sections 218A and Office of the Secretary 3. Background. This Order constitutes 218B, and the associated FLSA the basic Secretary’s Order for the Delegation of Authority and authorities in sections 9 and 11 (29 Occupational Safety and Health Assignment of Responsibility U.S.C. 209 and 211) to issue subpoenas Administration (OSHA), superseding and conduct investigations under Secretary’s Order 4–2010 Order 5–2007. This Order delegates and assigns responsibility to OSHA for sections 18A and 18B, and any other Subject: Delegation of Authority and authority and responsibilities granted enforcement of (1) Section 18C Assignment of Responsibility to the (protection of employees providing the Secretary to enforce sections 18A Assistant Secretary for Occupational and 18B of the FLSA; and healthcare information) of the Fair Safety and Health. Labor Standards Act (29 U.S.C. 218C), 1. Purpose. To delegate authority and (h) As directed by the Secretary, such as added by Section 1558 of the Patient assign responsibility to the Assistant additional Federal acts similar to or Protection and Affordable Care Act of Secretary for Occupational Safety and related to those listed in paragraphs (a) 2010, Public Law 111–148; (2) Section Health. through (g), above, that from time to 1057 (‘‘Employee Protection,’’ 12 U.S.C. time may assign additional authority or 2. Authorities and Directives Affected. A. Authorities. This Order is issued 5567) of the Dodd-Frank Wall Street responsibilities to the Department or the pursuant to 29 U.S.C. 551 et seq.; 5 Reform and Consumer Protection Act, Secretary. U.S.C. 301; 5 U.S.C. 5315; the Public Law 111–203; (3) the National To request information the Internal Occupational Safety and Health Act of Transit Systems Security Act, 6 U.S.C. Revenue Service (IRS) possesses for use 1970, 29 U.S.C. 651, et seq.; the Walsh- 1142; (4) the Federal Railroad Safety in connection with the administration of Healey Public Contracts Act of 1936, as Act, 49 U.S.C. 20109; (5) Section 40 of Title I of ERISA of 1974. amended, 41 U.S.C. 35, 37–41, 43–45; the Consumer Product Safety Improvement Act, 15 U.S.C. 2087; and B. The Solicitor of Labor is the McNamara-O’Hara Service Contract Act of 1965, as amended, 41 U.S.C. 351– (6) makes other modifications to reflect responsible for providing legal advice the above new responsibilities. This and assistance to all officials of the 354, 356–357; the Contract Work Hours and Safety Standards Act, as amended, revised Order also reflects recent Department relating to the organizational changes within the administration of the statutes listed in 40 U.S.C. 329, 333; the Maritime Safety Act of 1958, 33 U.S.C. 941; the National Department of Labor and makes other paragraph 4.A.(1) of this Order, for Foundation on the Arts and the technical changes. All other authorities bringing appropriate legal actions on Humanities Act of 1965, 20 U.S.C. and responsibilities set forth in this behalf of the Secretary, and representing 954(m)(2); 5 U.S.C. 7902 and any Order were delegated or assigned the Secretary in all civil proceedings. executive order thereunder, including previously to the Assistant Secretary for The Solicitor of Labor is also authorized Executive Order 12196 (‘‘Occupational OSHA in Secretary’s Order 5–2007, and to request information the IRS possesses Safety and Health Programs for Federal this Order continues those delegations for use in connection with the Employees’’) (February 26, 1980); the and assignments in full force and effect, administration of Title I of ERISA. Surface Transportation Assistance Act except as expressly modified herein. C. The Inspector General is of 1982, 49 U.S.C. 31105; the Asbestos 4. Delegation of Authority and authorized to request information the Hazard Emergency Response Act of Assignment of Responsibility. A. The Assistant Secretary for IRS possesses for use in connection with 1986, 15 U.S.C. 2651; the International Safe Container Act, 46 U.S.C. 80507; the Occupational Safety and Health the administration of Title I of ERISA. (1) The Assistant Secretary for Safe Drinking Water Act, 42 U.S.C. 5. Reservation of Authority. Occupational Safety and Health is 300j–9(i); the Energy Reorganization Act delegated authority and assigned A. The submission of reports and of 1974, as amended, 42 U.S.C. 5851; responsibility for administering the recommendations to the President and the Comprehensive Environmental safety and health, and whistleblower the Congress concerning the Response, Compensation and Liability programs and activities of the administration of the statutes listed in Act of 1980, 42 U.S.C. 9610(a)–(d); the Department of Labor, except as provided paragraph 4.A.(1) of this Order and Federal Water Pollution Control Act, 33 in paragraph 4.a.(2) below, under the responsibilities under Subtitle C of Title U.S.C. 1367; the Toxic Substances designated provisions of the following III of ERISA are reserved to the Control Act, 15 U.S.C. 2622; the Solid Secretary. laws: Waste Disposal Act, 42 U.S.C. 6971; the (a) Occupational Safety and Health B. The Pension Benefit Guaranty Clean Air Act, 42 U.S.C. 7622; the Act of 1970, 29 U.S.C. 651, et seq. Corporation carries out responsibilities Wendell H. Ford Aviation Investment (b) Walsh-Healey Public Contracts Act under Title IV of ERISA. and Reform Act for the 21st Century, 49 of 1936, as amended, 41 U.S.C. 35, 37– U.S.C. 42121; the Sarbanes-Oxley Act of C. Except as expressly provided, 41, 43–45. 2002, 18 U.S.C. 1514A; the Pipeline (c) McNamara-O’Hara Service nothing in this Order limits or modifies Safety Improvement Act of 2002, 49 the provisions of any other Order, Contract Act of 1965, as amended, 41 U.S.C. 60129; the National Transit U.S.C. 351–354, 356–357. including Secretary’s Order 4–2006 Systems Security Act, 6 U.S.C. 1142; the (Office of Inspector General). (d) Contract Work Hours and Safety Federal Railroad Safety Act, 49 U.S.C. Standards Act, as amended, 40 U.S.C. 6. Effective Date. This Order is 20109; the Consumer Product Safety 329, 333. effective immediately. Improvement Act, 15 U.S.C. 2087; the (e) Maritime Safety Act of 1958, 33 Dated: September 2, 2010. Patient Protection and Affordable Care U.S.C. 941. Act amendment to the Fair Labor (f) National Foundation on the Arts Hilda L. Solis, Standards Act, 29 U.S.C. 218C; and and the Humanities Act of 1965, 20 Secretary of Labor. Section 1057 of the Dodd-Frank Wall U.S.C. 954(m)(2). [FR Doc. 2010–22655 Filed 9–9–10; 8:45 am] Street Reform and Consumer Protection (g) 5 U.S.C. 7902 and any executive BILLING CODE 4510–23–P Act, Public Law 111–203. order thereunder, including Executive

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Order 12196 (‘‘Occupational Safety and Worker Protection Act, 29 U.S.C. appropriate in a given case, are Health Programs for Federal 1802(3), regardless of the number of delegated exclusively to the Solicitor. Employees’’) (February 26, 1980). employees, including employees D. The Commissioner of Labor (h) Surface Transportation Assistance engaged in hand packing of produce Statistics is delegated authority and Act of 1982, 49 U.S.C. 31105. into containers, whether done on the assigned responsibility for: (i) Asbestos Hazard Emergency ground, on a moving machine, or in a (1) Furthering the purpose of the Response Act of 1986, 15 U.S.C. 2651. temporary packing shed, except that the Occupational Safety and Health Act by (j) International Safe Container Act, Assistant Secretary for Occupational developing and maintaining an effective 46 U.S.C. 80507. Safety and Health retains enforcement program of collection, compilation, (k) Safe Drinking Water Act, 42 U.S.C. responsibility over temporary labor analysis, and publication of 300j–9(i). camps for employees engaged in egg, occupational safety and health statistics (l) Energy Reorganization Act of 1974, poultry, or red meat production, or the consistent with applicable law and as amended, 42 U.S.C. 5851. post-harvest processing of agricultural Secretary’s orders. (m) Comprehensive Environmental or horticultural commodities. (2) Making grants to states or political Response, Compensation and Liability Nothing in this Order shall be subdivisions thereof in order to assist Act of 1980, 42 U.S.C. 9610(a)–(d). construed as derogating from the right of them in developing and administering (n) Federal Water Pollution Control States operating OSHA-approved State programs dealing with occupational Act, 33 U.S.C. 1367. plans under 29 U.S.C. 667 to continue safety and health statistics under (o) Toxic Substances Control Act, 15 to enforce field sanitation and Sections 18, 23, and 24 of the U.S.C. 2622. temporary labor camp standards if they Occupational Safety and Health Act. (p) Solid Waste Disposal Act, 42 so choose. The Assistant Secretary for (3) Coordinating the above functions U.S.C. 6971. OSHA retains the authority to monitor with the Assistant Secretary for (q) Clean Air Act, 42 U.S.C. 7622. the activity of such States with respect Occupational Safety and Health. (r) Wendell H. Ford Aviation to field sanitation and temporary labor 5. Reservation of Authority and Investment and Reform Act For the 21st camps. Moreover, the Assistant Responsibility. Century, 49 U.S.C. 42121. Secretary for OSHA retains all other A. The submission of reports and (s) Sarbanes-Oxley Act of 2002, 18 agency authority and responsibility recommendations to the President and U.S.C. 1514A. under the Occupational Safety and the Congress concerning the (t) Pipeline Safety Improvement Act administration of the statutory of 2002, 49 U.S.C. 60129. Health Act with regard to the standards on field sanitation and temporary labor provisions and Executive Orders listed (u) National Transit Systems Security in paragraph 4.a. above is reserved to Act, 6 U.S.C. 1142. camps, such as rulemaking authority. (3) The Assistant Secretary for the Secretary. (v) Federal Railroad Safety Act, 49 B. No delegation of authority or U.S.C. 20109. Occupational Safety and Health is also delegated authority and assigned assignment of responsibility under this (w) Patient Protection and Affordable order will be deemed to affect the Care Act amendment to the Fair Labor responsibility for: (a) Serving as Chairperson of the Secretary’s authority to continue to Standards Act, 29 U.S.C. 218C. exercise or further delegate such (x) Section 1057 of the Dodd-Frank Federal Advisory Council on Occupational Safety and Health, as authority or responsibility. Wall Street Reform and Consumer C. Nothing in this Order shall limit or provided for by Executive Order 12196. Protection Act., Public Law No. 111– modify the delegation of authority and (b) Coordinating Agency efforts with 203. assignment of responsibility to the those of other officials or agencies (y) Section 40 of the Consumer Administrative Review Board by having responsibilities in the Product Safety Improvement Act, 15 Secretary’s Order 1–2010 (January 15, occupational safety and health area. U.S.C. 2087. 2010). (z) Responsibilities of the Secretary of B. The Assistant Secretary for 6. Effective Date. This delegation of Labor with respect to safety and health, Occupational Safety and Health and the authority and assignment of or whistleblower provisions of any other Administrator, Wage and Hour Division responsibility is effective immediately. Federal law except those are directed to confer regularly on responsibilities which are assigned to enforcement of the Occupational Safety Dated: September 2, 2010. another DOL agency. and Health Act with regard to the Hilda L. Solis, (2) The authority of the Assistant standards on field sanitation and Secretary of Labor. Secretary for Occupational Safety and temporary labor camps (see paragraph [FR Doc. 2010–22656 Filed 9–9–10; 8:45 am] Health under the Occupational Safety 4.A.(2) of this Order), and to enter into BILLING CODE 4510–23–P and Health Act of 1970 does not include any memoranda of understanding which authority to conduct inspections and may be appropriate to clarify questions investigations, issue citations, assess of coverage which arise in the course of DEPARTMENT OF LABOR and collect penalties, or enforce any such enforcement. other remedies available under the C. The Solicitor of Labor is Bureau of Labor Statistics responsible for providing legal advice statute, or to develop and issue Proposed Collection, Comment and assistance to all Department of compliance interpretations under the Request statute, with regard to the standards on: Labor officials relating to (a) Field sanitation, 29 CFR 1928.110; implementation and administration of ACTION: Notice. and all aspects of this Order. The bringing of (b) Temporary labor camps, 29 CFR legal proceedings under those SUMMARY: The Department of Labor, as 1910.142, with respect to any authorities, the representation of the part of its continuing effort to reduce agricultural establishment where Secretary and/or other officials of the paperwork and respondent burden, employees are engaged in ‘‘agricultural Department of Labor, and the conducts a pre-clearance consultation employment’’ within the meaning of the determination of whether such program to provide the general public Migrant and Seasonal Agricultural proceedings or representations are and Federal agencies with an

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opportunity to comment on proposed into the CPI in a timely manner. The Average Time per Response: 11 and/or continuing collections of data collected in this survey are minutes. information in accordance with the necessary for the continuing Estimated Total Burden Hours: 11,619 Paperwork Reduction Act of 1995 construction of a current outlet universe hours. (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This from which locations are selected for Total Burden Cost (Capital/Startup): program helps to ensure that requested the price collection needed for $0. data can be provided in the desired calculating the CPI. Furthermore, the Total Burden Cost (Operating/ format, reporting burden (time and TPOPS provides the weights used in Maintenance): $0. financial resources) is minimized, selecting the items that are priced at Comments submitted in response to collection instruments are clearly these establishments. This sample this notice will be summarized and/or understood, and the impact of collection design produces an overall CPI market included in the request for Office of requirements on respondents can be basket that is more reflective of the Management and Budget approval of the properly assessed. The Bureau of Labor prices faced and the establishments information collection request; they also Statistics (BLS) is soliciting comments visited by urban consumers. will become a matter of public record. concerning the proposed revision of the For this clearance, the BLS will be Signed at Washington, DC, this 3rd day of ‘‘Telephone Point of Purchase Survey.’’ implementing a cell phone frame to September, 2010. A copy of the proposed information address a coverage issue associated with Kimberley Hill, collection request (ICR) can be obtained landline RDD surveys. The goal of Chief, Division of Management Systems, by contacting the individual listed including a cell phone frame is to Bureau of Labor Statistics. below in the Addresses section of this contact respondents who reside in [FR Doc. 2010–22620 Filed 9–9–10; 8:45 am] households with no landline service, notice. BILLING CODE 4510–24–P DATES: Written comments must be but with cellular phone service. The submitted to the office listed in the implementation process will begin with Addresses section of this notice on or a pre-test beginning in the first quarter DEPARTMENT OF LABOR before November 9, 2010. of 2011 to assess cell phone frame ADDRESSES: Send comments to Nora interviewing and to determine the Employment and Training Kincaid, BLS Clearance Officer, correct amount of sample to pull for Administration Division of Management Systems, each primary sampling unit or Comment Request for Information Bureau of Labor Statistics, Room 4080, geographic area in the CPI. The cell Collection for the Benefits, Timeliness, 2 Massachusetts Avenue, NE., phone frame will be deployed into and Quality Data Collection System, Washington, DC 20212. Written production in the third quarter of 2011. Extension With Revisions comments also may be transmitted by III. Desired Focus of Comments fax to 202–691–5111 (this is not a toll AGENCY: The Bureau of Labor Statistics is Employment and Training free number.) particularly interested in comments Administration. FOR FURTHER INFORMATION CONTACT: that: ACTION: Notice. Nora Kincaid, BLS Clearance Officer, • Evaluate whether the proposed SUMMARY: The Department of Labor, as telephone number 202–691–7628 (this collection of information is necessary part of its continuing effort to reduce is not a toll free number.) (See for the proper performance of the paperwork and respondent burden, Addresses section.) functions of the agency, including conducts a preclearance consultation SUPPLEMENTARY INFORMATION: whether the information will have program to provide the general public practical utility. I. Background and federal agencies with an • Evaluate the accuracy of the opportunity to comment on proposed The purpose of this survey is to agency’s estimate of the burden of the and/or continuing collections of develop and maintain a timely list of proposed collection of information, information in accordance with the retail, wholesale, and service including the validity of the Paperwork Reduction Act of 1995 establishments where urban consumers methodology and assumptions used. shop for specified items. This • Enhance the quality, utility, and (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This information is used as the sampling clarity of the information to be program helps to ensure that requested universe for selecting establishments at collected. data can be provided in the desired which prices of specific items are • Minimize the burden of the format, reporting burden (time and collected and monitored for use in collection of information on those who financial resources) is minimized, calculating the Consumer Price Index are to respond, including through the collection instruments are clearly (CPI). The survey has been ongoing use of appropriate automated, understood, and the impact of collection since 1980 and also provides electronic, mechanical, or other requirements on respondents can be expenditure data that allows items that technological collection techniques or properly assessed. Currently, the are priced in the CPI to be properly other forms of information technology, Employment and Training weighted. e.g., permitting electronic submissions Administration is soliciting comments concerning the collection of data about II. Current Action of responses. Type of Review: Revision of a the proposed extension of the Benefits Office of Management and Budget currently approved collection. Timeliness and Quality (BTQ) data clearance is being sought for the Agency: Bureau of Labor Statistics. collection system, which is part of the Telephone Point of Purchase Survey Title: Point of Purchase Survey. Unemployment Insurance (UI) Performs (TPOPS). OMB Number: 1220–0044. measurement system (current expiration Since 1997, the survey has been Affected Public: Individuals or date is November 30, 2010). administered quarterly via a computer- households. A copy of the proposed information assisted-telephone-interview. This Total Respondents: 24,469. collection request (ICR) can be obtained survey is flexible and creates the Frequency: Quarterly. by contacting the office listed below in possibility of introducing new products Total Responses: 63,375. the addressee section of this notice.

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DATES: Written comments must be administrative actions and electronic, mechanical, or other submitted to the office listed in the administrative decisions related to UI technological collection techniques or addressee’s section below on or before benefit payments. other forms of information technology, November 9, 2010. e.g., permitting electronic submissions II. Review Focus ADDRESSES: Submit written comments of responses. The Department of Labor is to the Employment and Training particularly interested in comments III. Current Actions Administration, Office of which: Type of Review: Extension with Unemployment Insurance, 200 • Evaluate whether the proposed Constitution Avenue, NW., Room revisions. collection of information is necessary Title: Benefits, Timeliness, and C4522, Washington, DC 20210, for the proper performance of the Attention: Delores Mackall. Telephone Quality Review. functions of the agency, including OMB Number: 1205–0359. number: 202–693–3183 (this is not a whether the information will have Affected Public: State governments. toll-free number). Fax: 202–693–3975. practical utility; E-mail: [email protected]. • Evaluate the accuracy of the Form(s): ETA–9050, ETA–9051, ETA– SUPPLEMENTARY INFORMATION: agency’s estimate of the burden of the 9052, ETA–9054, ETA–9055, ETA–9056, ETA–9057. I. Background proposed collection of information, including the validity of the Total Annual Respondents: 53 state The Secretary of Labor, under the methodology and assumptions used; agencies. Social Security Act, Title III, Section • Enhance the quality, utility, and Annual Frequency: Monthly and 302 (42 U.S.C. 502), funds the necessary clarity of the information to be Quarterly. cost of proper and efficient collected; and Total Annual Responses: 29,636. administration of each state UI law. The • Minimize the burden of the Average Time per Response: 80 BTQ program collects information and collection of information on those who minutes. analyzes data. The BTQ data measure are to respond, including through the Estimated Total Annual Burden the timeliness and quality of states’ use of appropriate automated, Hours: 39,521 hours.

MONTHLY UNIVERSE MEASURES: STATE STAFF HOURS PER YEAR

ETA Number of Reports per Total Hours per report Measure respondents year responses response Total hrs/year

9050 ...... First Payment Time Lapse, Core Measure .... 53 12 636 .5 318 9050 ...... First Payment Time Lapse, Partial/Part Total 53 12 636 .5 318 Claims, Management Information Measure. 9050 ...... First Payment Time Lapse, Workshare 53 12 636 .5 318 Claims, Management Information Measure. 9051 ...... Continued Weeks Compensated Time Lapse, 53 12 636 .5 318 Management Information Measure. 9051 ...... Continued Weeks Compensated Time Lapse, 53 12 636 .5 318 Partial Part/Total, Management Information Measure. 9051 ...... Continued Weeks Compensated Time Lapse, 53 12 636 .5 318 Workshare, Management Information Measure. 9052 ...... Nonmonetary Determinations Time Lapse, 53 12 636 1.0 636 Detection Date, Core Measure. 9054 ...... Lower Authority Appeals Time Lapse, Man- 53 12 636 .5 318 agement Information Measure. 9055 ...... Lower Authority Appeals Case Aging, Core 53 12 636 1.0 636 Measure. 9054 ...... Higher Authority Appeals Time Lapse, Man- 53 12 636 .5 318 agement Information Measure. 9055 ...... Higher Authority Appeals Case Aging, Core 53 12 636 1.0 636 Measure.

Subtotal ...... 4,452

QUARTERLY SAMPLE REVIEW MEASURES: STATE STAFF HOURS PER YEAR

Sampled ETA Number of cases Total cases Hours per report Measure respondents reviewed per reviewed per response Total hrs/year year year

9056 ...... Nonmonetary Determination Quality, 23 Small States ..... 240 5,520 1 5,520 Core Measure. 9056 ...... Nonmonetary Determination Quality, 30 Large States ..... 400 12,000 1 12,000 Core Measure. 9057 ...... Lower Authority Appeals Quality, Core 42 Small States ..... 80 3,360 3.5 11,760 Measure.

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QUARTERLY SAMPLE REVIEW MEASURES: STATE STAFF HOURS PER YEAR—Continued

Sampled ETA Number of cases Total cases Hours per report Measure respondents reviewed per reviewed per response Total hrs/year year year

9057 ...... Lower Authority Appeals Quality, Core 11 Large States ..... 160 1,760 3.5 6,160 Measure.

Subtotal ...... 35,440

Total Annual Burden Cost for paperwork and respondent burden, NSF collaborations, research, and learning. Respondents: $0. invites the general public and other Specifically, the evaluation will assess Comments submitted in response to Federal agencies to take this the program’s perceived progress this comment request will be opportunity to comment on proposed towards its three goals of fostering summarized and/or included in the and/or continuing information interdisciplinary education, recruiting request for Office of Management and collections, as required by the and retaining a diverse population of Budget approval of the information Paperwork Reduction Act of 1995 (Pub. graduate students, and catalyzing collection request; they will also L. 104–13, 44 U.S.C. 3506(c)(2)(A)). cultural change within institutions to become a matter of public record. After obtaining and considering public better support interdisciplinary Dated: Signed at Washington, DC, this 3rd comment, NSF will prepare the endeavors. Data from this collection will day of September 2010. submission requesting OMB clearance be used by NSF to respond to OMB and Jane Oates, of this collection for no longer than 3 congressional inquiries, document best years. Assistant Secretary, Employment and practices for training interdisciplinary Training Administration. DATES: All comments should be scientists, and inform decisions about future project modifications. [FR Doc. 2010–22581 Filed 9–9–10; 8:45 am] submitted within 60 calendar days from BILLING CODE 4510–FW–P the date of this publication. Comments II. Method of Collection received after 60 days will be considered to the extent practicable. Data will be collected via interviews and surveys from faculty members and NATIONAL COUNCIL ON DISABILITY ADDRESSES: All written comments should be addressed to Suzanne students who have participated in the five most recent cohorts (2005–2009) of Sunshine Act Meetings Plimpton, Reports Clearance Officer, National Science Foundation, 4201 IGERT projects. DATE AND TIMES: September 16, 2010, 9 Wilson Blvd., Rm. 295, Arlington, VA III. Data a.m.–5:30 p.m. 22230, or by e-mail to [email protected]. Title: NSF IGERT: Implementation PLACE: Access Board Conference Room, FOR FURTHER INFORMATION CONTACT: Evaluation. 1331 F Street, NW., Suite 800, Requests for additional information or OMB Number: 3145–0182. Washington, DC. copies of the information collection Expiration Date: March 31, 2011. STATUS: Closed to the public. instrument(s) and instructions should Type of Review: Renewal. be directed to Suzanne Plimpton, MATTERS TO BE CONSIDERED: Receipt of Affected Public: Individuals. Reports Clearance Officer, National NCD Strategic planning report and Estimated Number of Respondents: Science Foundation, 4201 Wilson Blvd., discussion. 2,915 (2,000 survey only; 115 survey Rm. 295, Arlington, VA 22230, or by and interview; 800 interview only). CONTACT PERSON FOR MORE INFORMATION: e-mail to [email protected]. Estimated Number of Responses per Mark Quigley, Director of SUPPLEMENTARY INFORMATION: Respondent: 1 or 2 (survey only; survey Communications, NCD, 1331 F Street, and interview). I. Abstract NW., Suite 850, Washington, DC 20004; Estimated Time Per Response: 20 202–272–2004, 202–272–2074 (TTY). Since 1998, the National Science minutes for survey only; 50 minutes for Dated: September 2, 2010. Foundation (NSF) has supported survey and interview; 30 minutes for Joan M. Durocher, interdisciplinary training of doctoral interview only. Executive Director. students across the nation through the Estimated Total Annual Burden Integrative Graduate Education and [FR Doc. 2010–22699 Filed 9–8–10; 11:15 am] Hours: 1162.5 hours. Research Traineeship (IGERT) Program. Estimated Total Annual Cost: BILLING CODE 6820–MA–P NSF awards IGERT grants to institutions $300,864. that develop innovative, interdisciplinary doctoral training IV. Request for Comments NATIONAL SCIENCE FOUNDATION programs in science, technology, Comments are invited on: (1) Whether Notice of Information Collection engineering, and mathematics (STEM) the proposed collection of information disciplines. Unlike traditional graduate is necessary for the proper performance AGENCY: National Science Foundation research or teaching assistantships, of the functions of NSF, including (NSF). IGERT provides doctoral students with whether the information collected has ACTION: Notice of information collection. unrestricted funds, including a living practical utility; (2) the accuracy of stipend plus tuition and fees. NSF NSF’s estimate of the burden (including SUMMARY: The National Science intends to conduct an implementation hours and cost) of the proposed Foundation (NSF) is announcing plans evaluation of the program to learn what collection of information; (3) ways to to request clearance of this collection. program elements are most effective in enhance the quality, utility, and clarity As part of its continuing effort to reduce fostering interdisciplinary of the information to be collected; and

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(4) ways to minimize the burden of the NATIONAL SCIENCE FOUNDATION industry experts addressing key collection of information on concepts for the draft Strategic Plan, respondents, including automated Networking and Information was attended by some 100 members of collection techniques or the use of other Technology Research and the public, while another 400 persons forms of information technology. Development (NITRD) Program: participated via the Webcast. Comments submitted in response to this Draft NITRD 2010 Strategic Plan Background: As required by the High- notice will be summarized and included Performance Computing Act of 1991 AGENCY: The National Coordination in the request for OMB approval of this (Pub. L. 102–194), the Next Generation Office (NCO) for Networking and information collection. They will also Internet Research Act of 1998 (Pub. L. Information Technology Research and become a matter of public record. 105–305), and the America COMPETES Development (NITRD). Act of 2007 (Pub. L. 110–69), NITRD Dated: September 6, 2010. ACTION: Notice, request for public currently provides a framework and Suzanne Plimpton, comment. mechanisms for coordination among 14 Reports Clearance Officer, National Science Federal agencies that support advanced Foundation. FOR FURTHER INFORMATION CONTACT: The IT R&D. These agencies report IT [FR Doc. 2010–22589 Filed 9–9–10; 8:45 am] National Coordination Office (NCO) at research budgets in the NITRD crosscut, BILLING CODE 7555–01–P [email protected] or (703) 292–4873. and many other agencies with IT Individuals who use a interests also participate informally in telecommunications device for the deaf NITRD activities. The draft 2010 NATIONAL SCIENCE FOUNDATION (TDD) may call the Federal Information Strategic Plan for the NITRD Program Relay Service (FIRS) at 1–800–877–8339 was developed by the NITRD agencies Advisory Committee for Geosciences; between 8 a.m. and 8 p.m., Eastern time, Notice of Meeting pursuant to a recommendation of the Monday through Friday. President’s Council of Advisors on In accordance with the Federal DATES: Comments must be received by Science and Technology (PCAST). Advisory Committee Act (Pub. L. 92– 5 p.m. EDT on October 11, 2010. Invitation to comment: Inputs of one 463, as amended), the National Science SUMMARY: With this notice, the National page or less are welcomed in response Foundation announces the following Coordination Office for Networking and to this third and final request for public meeting: Information Technology Research and comment on the Plan. E-mail to: nitrd- [email protected]. AGENCY: Advisory Committee for Development (NITRD) requests Submitted by the National Science Geosciences (1755). comments from the public regarding the draft 2010 Strategic Plan for the Federal Foundation for the National DATES: October 6, 2010–October 7, 2010; NITRD Program. The draft Strategic Plan Coordination Office (NCO) for 8:30 a.m.–1:30 p.m. is posted at: http://www.nitrd.gov/ Networking and Information Place: Stafford I, Room 1235, National DraftStrategicPlan/Comments of one Technology Research and Development Science Foundation, 4201 Wilson Blvd., page or less in length are requested. (NITRD) on September 1, 2010. Arlington, Virginia 22230. This request for information will be Dated: September 7, 2010. Type of Meeting: Open. active from September 10, 2010 to Suzanne H. Plimpton, Contact Person: Melissa Lane, October 11, 2010. Reports Clearance Officer, National Science National Science Foundation, Suite 705, ADDRESSES: Submit comments via e- Foundation. 4201 Wilson Blvd., Arlington, Virginia mail to: [email protected] Comments [FR Doc. 2010–22597 Filed 9–9–10; 8:45 am] 22230. Phone 703–292–8500. submitted in response to this notice may BILLING CODE 7555–01–P Minutes: May be obtained from the be made available to the public online contact person listed above. or by alternative means. For this reason, Purpose of Meeting: To provide please do not include in your comments NUCLEAR REGULATORY advice, recommendations, and oversight information of a confidential nature, COMMISSION concerning support for environmental such as sensitive personal information or proprietary information. [Docket No. 030–20836, NRC–2009–0119, research and education. License No. 25–21479–01, EA–10–100] SUPPLEMENTARY INFORMATION: Agenda Overview: This notice is issued by the In the Matter of Mattingly Testing October 6, 2010 National Coordination Office for the Services, Inc. Molt, MT; Order • Networking and Information Revoking License (Effective Directorate activities and plans Technology Research and Development • Immediately) Division Subcommittee Meetings (NITRD) Program. The draft NITRD • Briefing on GEO MREFC Project Strategic Plan reflects broad input from I • Meeting with the Director Federal agencies as well as from Mattingly Testing Services, Inc., researchers and other stakeholders in (Mattingly or licensee) is the holder of October 7, 2010 academia, industry, national Materials License 25–21479–01 issued • Topical Subcommittee Meetings laboratories, and professional/technical by the U.S. Nuclear Regulatory • Divisional and Topical organizations. Public inputs were Commission (NRC or Commission) Subcommittee Reports solicited in a detailed August 2008 pursuant to 10 CFR Part 34, last • Action Items/Planning for Fall Request for Information (RFI) and in a amended on May 28, 2010, to change Meeting February 2009 public forum and the facility’s permanent storage location Webcast. Several hundred comments and to name a new radiation safety Dated: September 7, 2010. were received in response to the RFI, officer, and due to expire on February Susanne Bolton, and many of these were posted to the 28, 2016. The license authorizes Committee Management Officer. NITRD Web site for further comment. Mattingly to possess and use byproduct [FR Doc. 2010–22606 Filed 9–9–10; 8:45 am] The public forum, which included material for industrial radiography BILLING CODE 7555–01–P formal presentations by academic and operations in NRC jurisdiction, and in

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areas of exclusive Federal jurisdiction other things, that Mattingly retain an by Mattingtly’s president, including within Agreement States. The license expert consultant, to be approved by the providing false information to the NRC. currently authorizes storage at licensee NRC, and that the consultant would take Since the 2009 Confirmatory Orders, the facilities in Molt and Billings, Montana. specific actions within strict deadlines. NRC has determined that Mattingly has The license further authorizes the The Confirmatory Order required the violated several NRC regulations and possession of natural or depleted Mattingly expert consultant to: (1) orders: uranium, as solid metal, for shielding in Evaluate the effectiveness of Mattingly’s (1) Mattingly’s president deliberately radiography equipment. On the same radiation safety and compliance put Mattingly in violation of date this Order (EA–10–100) is issued to programs by commencing an assessment Confirmatory Order (EA–08–271). Mattingly, the NRC is also issuing Mr. of Mattingly’s radiation safety program Specifically, the Confirmatory Order Mark Ficek, President of Mattingly, an within 30 days of NRC’s approval of the required Mattingly to select an Order Prohibiting Involvement in NRC– consultant; by reviewing Mattingly’s independent consultant to review Licensed Activities (IA–10–028). training program and recommending Mattingly’s radiation safety program and Currently, both Mattingly (EA–08– improvements; by reviewing Mattingly’s to conduct training for Mattingly’s staff. 271) and its president (IA–08–028) are operating and emergency procedures The NRC approved the independent subject to Confirmatory Orders issued and recommending improvements; by consultant on April 3, 2009, which set on March 6, 2009, which resulted from providing a report of the consultant’s May 3, 2009, as the date by which the alternative dispute resolution (ADR) findings and recommended consultant was to commence the mediation sessions conducted on improvements to both the licensee and assessment of the Mattingly radiation February 5, 2009. Those Orders were NRC; by performing an annual audit of safety program, as well as complete the made immediately effective upon Mattingly’s radiation safety program specified training for Mattingly staff. issuance. The ADR mediation session through calendar year 2012; and by Testimony provided by the independent and resultant Confirmatory Orders performing semi-annual field audits of consultant to the NRC investigator on dispositioned nine violations, five of radiography performance at temporary June 30, 2009, revealed that the which were willful, identified during an jobsites; and (2) provide training to the consultant was not aware of the May 3, NRC inspection and an investigation by Mattingly staff who engage in licensed 2009 deadline. The consultant indicated the NRC’s Office of Investigations. The activities, including: a review of that the president had directed him to 2008 investigation identified several radiation mishaps involving complete his actions by the end of 2009, violations: (1) A failure to provide radiography; a review of the but he did not at that time have a complete and accurate information to consequences of and potential actions specific plan to do so, nor was he aware the NRC; (2) a radiographer assistant that NRC may take against an individual of the deadlines for other actions performing radiographic operations for deliberate violations; a review of assigned to the independent consultant without a dosimeter; (3) a radiographer NRC requirements and Mattingly’s in the Confirmatory Order. Moreover, assistant using a radiographic exposure license conditions; a review of testimony provided by the president device without supervision of a Mattingly’s operating and emergency and the consultant to the NRC radiographer; (4) failure to secure a procedures; lessons-learned from the investigator revealed that the president radiographic exposure device with a circumstances surrounding each of the did not give the consultant a copy of the minimum of two independent physical violations identified by the NRC in its Confirmatory Order that described the controls; (5) failure to remove a December 15, 2008, letter; reporting required actions and respective radiographic exposure device from requirements of 10 CFR 30.50 and 10 deadlines. The president knew the service after it had sustained damage to CFR 34.101; and, NRC’s employee Confirmatory Order’s requirements, but the locking mechanism; (6) failure to protection requirements in 10 CFR 30.7. rather than sharing the Confirmatory notify the NRC after discovery of The expert consultant was approved by Order with the consultant or another damage to a radiography device; (7) an the NRC on April 3, 2009 (ADAMS Mattingly official to ensure compliance, individual acting as a radiographer Accession No. ML090930661). As a he withheld the information and assistant without completing a practical result, the Order required Mattingly to allowed the Confirmatory Order’s examination on use of the radiography begin the radiation safety procedure deadlines to pass, putting Mattingly in equipment; (8) failure to ensure that all assessment and complete the radiation violation of the Confirmatory Order personnel dosimeters were checked for safety training for Mattingly staff by (EA–08–271). The NRC showed the proper response to radiation every 12 May 3, 2009. The Confirmatory Order consultant the Confirmatory Order for months; and, (9) failure to have a (EA–08–271) also required Mattingly, the first time during the NRC functional alarm system to allow the within 30 days of the date of the Order, investigation. If the NRC had not licensee to monitor, detect, assess, and to submit a license amendment interdicted at that time, then respond to unauthorized access to incorporating updated procedures in a implementation of required radioactive material when the number of areas. The deadline for this improvements to the Licensee’s radioactive material is not under direct requirement was April 5, 2009. radiation safety program and safety observation by Mattingly staff and training programs would have been stored in a portable darkroom, as II even further delayed, if completed at all. required by Increased Controls Order On June 30, 2009, the NRC inspected The assessment of the Mattingly (EA–05–090). The NRC also found that the Licensee’s facility in Molt, Montana, radiation programs was not begun until willfulness was involved in violations 1, after the NRC, Region IV received a May 30, 2009, and the initial safety 3, 5, 7, and 8, above. police report stating that the County training of the Mattingly staff was not The NRC offered ADR to Mattingly Sheriff’s office had recovered, from a completed until July 19, 2009. and its president in order to disposition member of the public, a radiographic The NRC identified several additional the violations listed above. As a result exposure device Mattingly had lost. The examples of the licensee’s failure to of ADR, the NRC issued separate NRC-initiated investigations and adhere to the Order, including: (i) The confirmatory orders to Mattingly and inspections identified several violations consultant’s report and Mr. Ficek. The Confirmatory Order (EA– of regulatory requirements, four of recommendations for program 08–271) to Mattingly required, among which involved deliberate misconduct improvements were provided 65 days

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after the consultant completed the that the prearranged plan had been and among, the various components required reviews, contrary to the established with the Laurel Police used to detect and identify an specified requirement of 30 days; (ii) the Department in Laurel, Montana. The unauthorized intrusion, to inform the consultant failed to provide a copy of NRC determined that neither the assessor, and to summon the his calendar year 2009 annual audit president nor any Mattingly official had appropriate responder at all times. results to the NRC, as specified; (iii) the contacted the Laurel Police Department Specifically, on the dates noted, a consultant conducted the initial field to establish a prearranged response radiographic exposure device was left in audit of radiography at temporary plan. The NRC also determined during one of Mattingly’s trucks at a jobsites on August 29, 2009, almost 3 its 2009 investigation that the Laurel radiographer’s residence, while the months after the May 3, 2009 deadline; Police Department had no jurisdiction radiographer left the premises in and, (iv) the licensee submitted an for the Mattingly facility in Molt, another vehicle. Mattingly directed the amendment request on June 30, 2009 Montana. Further, testimony by a radiographer to drive the truck between instead of May 3, 2009, as required. representative of the appropriate local the temporary job site and his residence (2) From May 13, 2006, through law enforcement agency (Yellowstone and depended on the radiographer to September 9, 2009, Mattingly, as a result County Sheriff’s Office) revealed that no respond appropriately to any intrusion. of its president’s deliberate inaction, prearranged plan had been established While he was away from his residence, failed to establish and maintain a with them, or had been sought by the however, there was no dependable prearranged plan with the local law president or any other Mattingly means in place to comply with enforcement agency to respond to any officials. The president’s false statement Increased Controls Order (EA–05–090), attempt to gain unauthorized access to to the NRC inspector was a significant Appendix B, Section IC–2(c). radioactive materials, as required by contributor to the duration of the While this violation involved Increased Controls Order (EA–05–090). Increased Controls Order violation since different circumstances, the inability to Specifically, Increased Controls Order, Mattingly did not implement the local assess and respond to unauthorized Attachment B, Section IC–2(b), requires law enforcement plan until September access to the radioactive materials while that the licensee shall have a 9, 2009, more than 2 years after the NRC stored in the transport vehicle, is similar prearranged plan with a local law inspector initially questioned the to one of the violations resolved through enforcement agency for assistance in Licensee’s actions to establish the the 2009 ADR mediation session. response to an actual or attempted theft, prearranged plan, and only after an NRC (6) On June 22, 2009, Mattingly staff sabotage, or diversion of such investigation revealed the violation. failed to properly secure a radiographic radioactive material or of the devices, (4) On October 22, 2009, while under exposure device for transport, contrary which is consistent in scope and timing oath, Mattingly’s president deliberately to 10 CFR 20.1802, 10 CFR 34.35(d), and with a realistic potential vulnerability of provided false testimony to the NRC 10 CFR 71.5. Specifically, Mattingly’s the sources containing such radioactive investigator, again violating 10 CFR RSO placed a radiographic exposure material. During an NRC inspection of 30.10(a)(2) and putting Mattingly in device on the back of the Mattingly the Mattingly facility in March 2007, the violation of 10 CFR 30.9, ‘‘Completeness truck, but failed to physically secure the president informed the NRC inspector and Accuracy of Information.’’ The device with proper blocking and bracing that he had established a prearranged president claimed that two witnesses to prevent loss during transport. The plan with the Laurel Police Department, could confirm that he had conversations device was left on the tailgate of the when in fact he had not established a during a lunch engagement with the vehicle with no means of security. prearranged plan with the Laurel Police Laurel Police Chief regarding the As a result of the failure to properly Department, and in any event, required local law enforcement agency secure the radiographic exposure device Mattingly’s facility was not located in prearranged plan. Testimony provided for transport, the device fell off the the Laurel Police Department’s by witnesses to the lunch engagement, vehicle on a public road in Molt, jurisdiction. Upon further investigation including the Laurel Police Chief, Montana, between the licensee’s facility the NRC determined that Mattingly’s refuted the president’s statements. and a job site, and was lost in the public facility was in the Yellowstone County Further, in addition to testimony that domain. The device was found by a Sheriff’s jurisdiction, and Mattingly had the Laurel Police Chief recalled no member of the public who picked the not established a prearranged plan with discussion of a response plan, and that device up, placed it in his truck, drove the Yellowstone County Sheriff’s Office. he knew that the Laurel Police to a neighbor’s house, and then The president’s false statement to the Department had no jurisdiction to contacted a local deputy sheriff . While NRC inspector—which made clear that respond to the Mattingly facility, the this violation involved a different the president was aware of the Laurel Police Chief offered evidence security requirement, the failure to requirement, but had not implemented that the lunch engagement at issue took physically secure the radiographic it—caused the NRC to find that the place on July 13, 2003, some 28 months exposure device is similar to one of the failure to meet the Increased Controls before the Increased Controls Order was violations resolved during the 2009 Order, Appendix B, Section IC–2(b), issued to Mattingly. Therefore, the NRC ADR mediation session. was deliberate. found that the president deliberately (7) On June 22, 2009, Mattingly’s (3) On March 6, 2007, Mattingly’s provided false testimony while under president willfully caused Mattingly to president deliberately provided false oath when he attempted to cite a lunch violate the immediate reporting information to an NRC inspector by engagement with the Laurel Police Chief requirement for lost radioactive stating that he had established a in 2003 to demonstrate to the NRC that materials, 10 CFR 20.2201, for the lost prearranged plan with the local law Mattingly was in compliance with the device described in violation (6). enforcement agency in accordance with Increased Controls Order. Specifically, after the device was Increased Controls Order (EA–05–090), (5) On July 4, 16, and August 29–30, returned to Mattingly by the local violating 10 CFR 30.10(a)(2), and 2009, Mattingly failed to implement the police, the licensee president and the putting Mattingly in violation of 10 CFR Increased Controls Order (EA–05–090), RSO discussed the reporting aspects of 30.9, ‘‘Completeness and Accuracy of Appendix B, Section IC–2(c), the event. The president sent the RSO Information.’’ As described above, the requirement to have a dependable to a job site and said that he, the president stated to an NRC inspector means to transmit information between president, would research the reporting

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requirements for the lost device. The violations reveals the ineffectiveness of involving the use of licensed material president stated to NRC investigators the corrective actions Mattingly are hereby suspended pending further that he believed there was either a 24- committed to implement. The NRC must action described below, including use of hour or 30-day reporting requirement, have reasonable assurance that its License 25–21479–01 to conduct but he did not research the requirement licensees will operate safely and comply radiographic operations under within 24 hours to determine the with NRC requirements. The deliberate reciprocity in any Agreement State. All appropriate reporting requirement. If he nature of the violations, including the other requirements of the license remain had performed the research, then he material false statements made by the in effect including the actions required would have known that Mattingly president, demonstrate that the NRC’s by Confirmatory Order (EA–08–271) and needed to report the lost device to the past enforcement action was inadequate other orders issued to the licensee, NRC as soon as it was lost. to ensure that Mattingly would comply including the Increased Controls Order The next day, June 23, 2009, the with NRC requirements, and that (EA–05–090), as long as the licensee is Yellowstone County Sheriff’s Office Mattingly is unwilling to comply with in possession of NRC-licensed material. provided the NRC’s Region IV office NRC requirements. 2. The licensee shall provide to Mr. with the police report of the lost device, Consequently, I lack reasonable Art Howell, Director, Division of which was how the NRC became aware assurance that Mattingly will provide Nuclear Materials Safety, NRC Region of the loss. The Region IV staff was for the safe use and security of the IV, Arlington, Texas by the close of unsuccessful in its attempt to contact radioactive materials in its possession or business on the date of this Order, a Mattingly’s RSO on the afternoon of that the public health and safety is detailed inventory identifying the June 23, 2009, and left a message for adequately protected by continuing manufacturer, model, and serial number him to contact Region IV. Mattingly’s activities under the existing license. If, of each radiographic exposure device, RSO returned the telephone call after at the time the license was issued, the including the source activity for each work hours on June 23 and left a NRC had known of the licensee’s device, and the current location of each message. Region IV staff members spoke inability or unwillingness to control device. with Mattingly’s RSO on the morning of licensed activities in accordance with 3. All NRC-licensed material in the June 24, 2009, and informed the RSO the NRC’s requirements, or the licensee’s possession shall be placed in that the loss of the device should have questionable integrity of the licensee’s secure storage at the licensee’s Billings, been immediately reported on June 22, president, the license would not have Montana facility as soon as practicable, 2009. Subsequently, the licensee made been issued. Therefore, I have but no later than 48 hours after the lost device event report to the NRC determined that permitting this licensee Mattingly’s receipt of this Order. Operations Center on June 24, 2009. to conduct activities under License 25– 4. The licensee shall remove from its While this event involves a different 21479–01 would be contrary to the possession all NRC-licensed material reporting requirement, the failure to public health and safety and that this acquired or possessed under the notify the NRC of the loss of radioactive license should be revoked. Mattingly’s authority of License 25–21479–01 material is similar to the reporting license authorizes possession of within 30 days of the date of this Order, requirement violation dispositioned radioactive materials that are considered either by transferring the material to the during the 2009 ADR mediation session. high-risk, the loss of control of which, manufacturer or to another entity whether inadvertent or through a III authorized to possess that material. deliberate act, has a potential to result Mattingly has violated NRC in significant adverse health impacts 5. Any sources that have not been leak requirements, including deliberate and and could reasonably constitute a threat tested within six months prior to the willful violations by the Mattingly to the public health and safety. Also, transfer shall be leak tested by a person president and owner who also provided because of the risk to the public health authorized to do so, prior to transfer of material false information to an NRC and safety and the deliberate and willful the source. inspector and investigators. These violations, I have determined, pursuant 6. The licensee shall notify Mr. Art violations jeopardized its workers and to 10 CFR 2.202(a)(5), that the public Howell, Director, Division of Nuclear the public health and safety, and the health and safety requires an immediate Materials Safety, NRC Region IV, security of the radioactive materials that suspension of radiographic operations, Arlington, Texas, by telephone (817– the licensee possesses, and represent a that the radioactive material in the 860–8106) at least 5 business days prior significant regulatory concern. The licensee’s possession must be returned to the date the radioactive materials are deliberate violations also demonstrate to the manufacturer or transferred to to be transferred so that the NRC may, that Mattingly’s president and owner is another entity authorized to possess the if it elects, observe the transfer of the unwilling to comply with the material, and that the licensee shall only material. Commission’s requirements to protect provide for the safe, secure storage of 7. The licensee shall, within 5 days the public health and safety and provide the materials and other activities after transfer of the material, certify in for the security of the radioactive necessary to support safe transfer of said writing, under oath or affirmation, to the materials in Mattingly’s possession. materials pending license revocation. Regional Administrator, NRC Region IV, These deliberate violations resulted in (Texas Health Resources Tower, 612 E. the NRC issuing an individual order to IV Lamar Blvd., Suite 400, Arlington, the president prohibiting his Accordingly, pursuant to Sections 81, Texas 76011–4125), that all material has involvement in NRC-licensed activities 161b, 161i, 161o, 182 and 186 of the been properly transferred and provide for a period of 7 years. Atomic Energy Act of 1954, as amended, the Regional Administrator copies of The numerous failures to implement and the Commission’s regulations in 10 transfer records required by 10 CFR the requirements of Confirmatory Order CFR 2.202 and 10 CFR Parts 30 and 34, 30.51. (EA–08–271) as specified herein are of it is hereby ordered, effective It is further ordered that: concern, since those actions were meant immediately, that license 25–21479–01 8. Following NRC confirmation of the to timely correct a number of safety is modified as follows: transfer of all NRC-licensed material violations identified at Mattingly. The 1. All radiographic operations currently possessed, as discussed above, repetitive nature of several of these authorized by License 25–21479–01 License 25–21479–01 is revoked.

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The Regional Administrator, Region days prior to the filing deadline, the filing must be submitted to the E-Filing IV, or designee, may, in writing, at any participant should contact the Office of system no later than 11:59 p.m. Eastern time prior to final agency action the Secretary by e-mail at Time on the due date. Upon receipt of sustaining the revocation of License 25– [email protected], or by telephone a transmission, the E-Filing system 21479–01, relax or rescind any of the at (301) 415–1677, to request (1) a time-stamps the document and sends above conditions upon demonstration digital ID certificate, which allows the the submitter an e-mail notice by the licensee, in writing and under participant (or its counsel or confirming receipt of the document. The oath or affirmation, of good cause. representative) to digitally sign E-Filing system also distributes an e- documents and access the E-Submittal mail notice that provides access to the V server for any proceeding in which it is document to the NRC Office of the In accordance with 10 CFR 2.202, the participating; and (2) advise the General Counsel and any others who licensee must, and any other person Secretary that the participant will be have advised the Office of the Secretary adversely affected by this Order may, submitting a request or petition for that they wish to participate in the submit an answer to this Order within hearing (even in instances in which the proceeding, so that the filer need not 20 days of its issuance. In addition, the participant, or its counsel or serve the documents on those licensee and any other person adversely representative, already holds an NRC- participants separately. Therefore, affected by this Order may request a issued digital ID certificate). Based upon applicants and other participants (or hearing on this Order within 20 days of this information, the Secretary will their counsel or representative) must its issuance. Where good cause is establish an electronic docket for the apply for and receive a digital ID shown, consideration will be given to hearing in this proceeding if the certificate before a hearing request/ extending the time to answer or request Secretary has not already established an petition to intervene is filed so that they a hearing. A request for extension of electronic docket. can obtain access to the document via time must be directed to the Director, Information about applying for a the E-Filing system. Office of Enforcement, U.S. Nuclear digital ID certificate is available on A person filing electronically using Regulatory Commission, Washington, NRC’s public Web site at http:// the agency’s adjudicatory E-Filing DC 20555 0001, and include a statement www.nrc.gov/site-help/e-submittals/ system may seek assistance by of good cause for the extension. apply-certificates.html. System contacting the NRC Meta System Help If a hearing is requested by a licensee requirements for accessing the E- Desk through the ‘‘Contact Us’’ link or a person whose interest is adversely Submittal server are detailed in NRC’s located on the NRC Web site at http:// affected, the Commission will issue an ‘‘Guidance for Electronic Submission,’’ www.nrc.gov/site-help/e- Order designating the time and place of which is available on the agency’s submittals.html, by e-mail at any hearings. If a hearing is held, the public Web site at http://www.nrc.gov/ [email protected], or by a toll- issue to be considered at such hearing site-help/e-submittals.html. Participants free call at (866) 672–7640. The NRC shall be whether this Order should be may attempt to use other software not Meta System Help Desk is available sustained. Pursuant to 10 CFR listed on the Web site, but should note between 8 a.m. and 8 p.m., Eastern 2.202(c)(2)(i), the licensee or any other that the NRC’s E-Filing system does not Time, Monday through Friday, person adversely affected by this Order, support unlisted software, and the NRC excluding government holidays. may, in addition to demanding a Meta System Help Desk will not be able Participants who believe that they hearing, at the time the answer is filed to offer assistance in using unlisted have a good cause for not submitting or sooner, move the presiding officer to software. documents electronically must file an set aside the immediate effectiveness of If a participant is electronically exemption request, in accordance with the Order on the ground that the Order, submitting a document to the NRC in 10 CFR 2.302(g), with their initial paper including the need for immediate accordance with the E-Filing rule, the filing requesting authorization to effectiveness, is not based on adequate participant must file the document continue to submit documents in paper evidence but on mere suspicion, using the NRC’s online, web-based format. unfounded allegations, or error. submission form. In order to serve Such filings must be submitted by: (1) All documents filed in NRC documents through the Electronic First class mail addressed to the Office adjudicatory proceedings, including a Information Exchange, users will be of the Secretary of the Commission, U.S. request for hearing, a petition for leave required to install a web browser plug- Nuclear Regulatory Commission, to intervene, any motion or other in from the NRC Web site. Further Washington, DC 20555–0001, Attention: document filed in the proceeding prior information on the web-based Rulemaking and Adjudications Staff; or to the submission of a request for submission form, including the (2) courier, express mail, or expedited hearing or petition to intervene, and installation of the Web browser plug-in, delivery service to the Office of the documents filed by interested is available on the NRC’s public Web Secretary, Sixteenth Floor, One White governmental entities participating site at http://www.nrc.gov/site-help/e- Flint North, 11555 Rockville Pike, under 10 CFR 2.315(c), must be filed in submittals.html. Rockville, Maryland 20852, Attention: accordance with the NRC E-Filing rule Once a participant has obtained a Rulemaking and Adjudications Staff. (72 FR 49139, August 28, 2007). The E- digital ID certificate and a docket has Participants filing a document in this Filing process requires participants to been created, the participant can then manner are responsible for serving the submit and serve all adjudicatory submit a request for hearing or petition document on all other participants. documents over the internet, or in some for leave to intervene. Submissions Filing is considered complete by first- cases to mail copies on electronic should be in Portable Document Format class mail as of the time of deposit in storage media. Participants may not (PDF) in accordance with NRC guidance the mail, or by courier, express mail, or submit paper copies of their filings available on the NRC public Web site at expedited delivery service upon unless they seek an exemption in http://www.nrc.gov/site-help/e- depositing the document with the accordance with the procedures submittals.html. A filing is considered provider of the service. A presiding described below. complete at the time the documents are officer, having granted an exemption To comply with the procedural submitted through the NRC’s E-Filing request from using E-Filing, may require requirements of E-Filing, at least 10 system. To be timely, an electronic a participant or party to use E-Filing if

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the presiding officer subsequently The agenda for the subject meeting Dated: September 1, 2010. determines that the reason for granting shall be as follows: Cayetano Santos, the exemption from use of E-Filing no Wednesday, October 6, 2010—8:30 Chief, Reactor Safety Branch A, Advisory longer exists. a.m. until 12 p.m. Committee on Reactor Safeguards. Documents submitted in adjudicatory [FR Doc. 2010–22618 Filed 9–9–10; 8:45 am] The subcommittee will discuss the proceedings will appear in NRC’s BILLING CODE 7590–01–P electronic hearing docket, which is construction, inspection, and licensing available to the public at http:// activities associated with the staff’s ehd.nrc.gov/EHD_Proceeding/home.asp, review of the Watts Bar Nuclear Plant NUCLEAR REGULATORY unless excluded pursuant to an order of Unit 2 Operating License application. COMMISSION the Commission, or the presiding The Subcommittee will hear officer. Participants are requested not to presentations by and hold discussions Advisory Committee on Reactor include personal privacy information, with representatives of the NRC staff, Safeguards (ACRS) Meeting of the such as social security numbers, home Tennessee Valley Authority (TVA) and ACRS Joint Subcommittee addresses, or home phone numbers in other interested persons regarding this The ACRS Subcommittees on their filings, unless an NRC regulation matter. The Subcommittee will gather or other law requires submission of such Thermal Hydraulics Phenomena; information, analyze relevant issues and Advanced Boiling Water Reactor information. With respect to facts, and formulate proposed positions copyrighted works, except for limited (ABWR); and Materials, Metallurgy, and and actions, as appropriate, for excerpts that serve the purpose of the Reactor Fuels will hold a joint meeting deliberation by the Full Committee. adjudicatory filings and would on October 4, 2010, Room T–2B1, 11545 constitute a Fair Use application, Members of the public desiring to Rockville Pike, Rockville, Maryland. participants are requested not to include provide oral statements and/or written The meeting will be open to public copyrighted materials in their comments should notify the Designated attendance, with the exception of a submission. Federal Official (DFO), Girija Shukla portion that will be closed to protect If a person other than the licensee (Telephone 301–415–6855 or E-mail information that is proprietary to requests a hearing, that person shall set [email protected]) five days prior to Westinghouse and its contractors forth with particularity the manner in the meeting, if possible, so that pursuant to 5 U.S.C. 552b(c)(4). The agenda for the subject meeting which his interest is adversely affected appropriate arrangements can be made. shall be as follows: by this Order and shall address the Thirty-five hard copies of each criteria set forth in 10 CFR 2.309(d). Monday, October 4, 2010—8:30 a.m. presentation or handout should be until 5 p.m. In the absence of any request for provided to the DFO thirty minutes hearing, or written approval of an The joint Subcommittee will review before the meeting. In addition, one several fuel-related licensing topical extension of time in which to request a electronic copy of each presentation hearing, the provisions specified in reports prepared by Westinghouse. should be e-mailed to the DFO one day These topical reports would apply to the Section IV above shall be final 20 days before the meeting. If an electronic copy from the date of this Order. If an ABWR design and may also apply to cannot be provided within this BWRs at expanded operating domains. extension of time for requesting a timeframe, presenters should provide hearing has been approved, the The joint Subcommittee will hear the DFO with a CD containing each provisions specified in Section IV shall presentations by and hold discussions presentation at least thirty minutes be final when the extension expires if a with representatives of the NRC staff, before the meeting. Electronic hearing request has not been received. Westinghouse, and other interested An answer or a request for hearing shall recordings will be permitted only persons regarding this matter. The joint not stay the immediate effectiveness of during those portions of the meeting Subcommittee will gather information, this order. that are open to the public. Detailed analyze relevant issues and facts, and procedures for the conduct of and formulate proposed positions and Dated at Rockville, Maryland, this 2nd day participation in ACRS meetings were actions, as appropriate, for deliberation of September 2010. published in the Federal Register on by the Full Committee. For the Nuclear Regulatory Commission. October 14, 2009, (74 FR 58268–58269). Members of the public desiring to Roy P. Zimmerman, Detailed meeting agendas and meeting provide oral statements and/or written Director, Office of Enforcement. comments should notify the Designated transcripts are available on the NRC [FR Doc. 2010–22627 Filed 9–9–10; 8:45 am] Federal Official (DFO), Maitri Banerjee Web site at http://www.nrc.gov/reading- BILLING CODE 7590–01–P (Telephone 301–415–6973 or E-mail rm/doc-collections/acrs. Information [email protected]) five days prior regarding topics to be discussed, to the meeting, if possible, so that NUCLEAR REGULATORY changes to the agenda, whether the appropriate arrangements can be made. COMMISSION meeting has been canceled or Thirty-five hard copies of each rescheduled, and the time allotted to presentation or handout should be Advisory Committee on Reactor present oral statements can be obtained provided to the DFO thirty minutes Safeguards (ACRS) Meeting of the from the Web site cited above or by before the meeting. In addition, one ACRS Subcommittee on Plant contacting the identified DFO. electronic copy of each presentation Operations and Fire Protection Moreover, in view of the possibility that should be e-mailed to the DFO one day The ACRS Subcommittee on Plant the schedule for ACRS meetings may be before the meeting. If an electronic copy Operations and Fire Protection will hold adjusted by the Chairman as necessary cannot be provided within this a meeting on October 6, 2010, Room T– to facilitate the conduct of the meeting, timeframe, presenters should provide 2B1, 11545 Rockville Pike, Rockville, persons planning to attend should check the DFO with a CD containing each Maryland. with these references if such presentation at least thirty minutes The entire meeting will be open to rescheduling would result in a major before the meeting. Electronic public attendance. inconvenience. recordings will be permitted only

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during those portions of the meeting comments should notify the Designated Nuclear Regulatory Commission (NRC that are open to the public. Detailed Federal Official (DFO), Cayetano Santos or Commission) pursuant to 10 CFR Part procedures for the conduct of and (Telephone 301–415–7270 or E-mail 34, last amended on May 28, 2010, to participation in ACRS meetings were [email protected]) five days change the facility’s permanent storage published in the Federal Register on prior to the meeting, if possible, so that location and name a new radiation October 14, 2009, (74 FR 58268–58269). appropriate arrangements can be made. safety officer, and due to expire on Detailed meeting agendas and meeting Thirty-five hard copies of each February 28, 2016. The license transcripts are available on the NRC presentation or handout should be authorizes Mattingly to possess and use Web site at http://www.nrc.gov/reading- provided to the DFO thirty minutes byproduct material for industrial rm/doc-collections/acrs. Information before the meeting. In addition, one radiography operations in NRC regarding topics to be discussed, electronic copy of each presentation jurisdiction and in areas of exclusive changes to the agenda, whether the should be emailed to the DFO one day Federal jurisdiction within Agreement meeting has been canceled or before the meeting. If an electronic copy States. The license currently authorizes rescheduled, and the time allotted to cannot be provided within this storage at licensee facilities in Molt and present oral statements can be obtained timeframe, presenters should provide Billings, Montana. The license further from the Web site cited above or by the DFO with a CD containing each authorizes the possession of natural or contacting the identified DFO. presentation at least thirty minutes depleted uranium, as solid metal, for Moreover, in view of the possibility that before the meeting. Electronic shielding in radiography equipment. On the schedule for ACRS meetings may be recordings will be permitted only the same date this Order (IA–10–028) is adjusted by the Chairman as necessary during those portions of the meeting issued to Mr. Ficek, the NRC is also to facilitate the conduct of the meeting, that are open to the public. Detailed issuing Mattingly an Order Revoking persons planning to attend should check procedures for the conduct of and License (Effective Immediately) (EA– with these references if such participation in ACRS meetings were 10–100). rescheduling would result in a major published in the Federal Register on Currently, both Mr. Ficek (IA–08–055) inconvenience. October 14, 2009, (74 FR 58268–58269). and Mattingly (EA–08–271) are subject Dated: September 2, 2010. Detailed meeting agendas and meeting to Confirmatory Orders issued on March Cayetano Santos, transcripts are available on the NRC 6, 2009, which resulted from alternative Chief, Reactor Safety Branch A, Advisory Web site at http://www.nrc.gov/reading- dispute resolution (ADR) mediation Committee on Reactor Safeguards. rm/doc-collections/acrs. Information sessions conducted on February 5, 2009. [FR Doc. 2010–22619 Filed 9–9–10; 8:45 am] regarding topics to be discussed, Those Orders were made immediately BILLING CODE 7590–01–P changes to the agenda, whether the effective upon issuance. The ADR meeting has been canceled or mediation session and resultant rescheduled, and the time allotted to Confirmatory Orders dispositioned nine NUCLEAR REGULATORY present oral statements can be obtained violations, five of which were willful, COMMISSION from the website cited above or by identified during an NRC inspection contacting the identified DFO. and an investigation by the NRC’s Office Advisory Committee on Reactor Moreover, in view of the possibility that of Investigations. The 2008 investigation Safeguards (ACRS); Meeting of the the schedule for ACRS meetings may be identified several violations: (1) A ACRS Subcommittee on Planning And adjusted by the Chairman as necessary failure to provide complete and accurate Procedures to facilitate the conduct of the meeting, information to the NRC; (2) a The ACRS Subcommittee on Planning persons planning to attend should check radiographer assistant performing and Procedures will hold a meeting on with these references if such radiographic operations without a October 6, 2010, in Room T2B–3, 11545 rescheduling would result in a major dosimeter; (3) a radiographer assistant Rockville Pike, Rockville, Maryland. inconvenience. using a radiographic exposure device The entire meeting will be open to Dated: September 1, 2010. without supervision of a radiographer; public attendance, with the exception of Cayetano Santos, (4) failure to secure a radiographic a portion that may be closed pursuant Chief, Reactor Safety Branch A, Advisory exposure device with a minimum of two to 5 U.S.C. 552b(c)(2) and (6) to discuss Committee on Reactor Safeguards. independent physical controls; (5) organizational and personnel matters [FR Doc. 2010–22625 Filed 9–9–10; 8:45 am] failure to remove a radiographic that relate solely to the internal exposure device from service after it had BILLING CODE 7590–01–P personnel rules and practices of the sustained damage to the locking ACRS, and information the release of mechanism; (6) failure to notify the NRC which would constitute a clearly NUCLEAR REGULATORY after discovery of damage to a unwarranted invasion of personal COMMISSION radiographic exposure device; (7) an privacy. individual acting as a radiographer The agenda for the subject meeting [Docket No. 030–20836, License No. 25– assistant without completing a practical shall be as follows: 21479–01, NRC–2009–0120, A–10–028] examination on the use of the Wednesday, October 6, 2010, 12 p.m.– In the Matter of Mark M. Ficek; Order radiography equipment; (8) failure to 1 p.m. Prohibiting Involvement in NRC- ensure that all personnel dosimeters The Subcommittee will discuss Licensed Activities (Effective were checked for proper response to proposed ACRS activities and related Immediately) radiation every 12 months; and (9) matters. The Subcommittee will gather failure to have a functional alarm information, analyze relevant issues and Mr. Mark M. Ficek is the President, system to allow the licensee to monitor, facts, and formulate proposed positions owner, and former radiation safety detect, assess, and respond to and actions, as appropriate, for officer (RSO) of Mattingly Testing unauthorized access to radioactive deliberation by the Full Committee. Services, Inc. (Mattingly or Licensee). material when the radioactive material Members of the public desiring to Mattingly is the holder of Materials is not under direct observation by provide oral statements and/or written License 25–21479–01 issued by the Mattingly staff and stored in a portable

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darkroom, as required by Increased Orders, the NRC has determined that Mattingly in violation of Confirmatory Controls Order (EA–05–090). The NRC Mr. Ficek violated 10 CFR 30.10 on four Order (EA–08–271). The license also found that willfulness was involved occasions: amendment was subsequently in violations 1, 3, 5, 7, and 8, above. (1) Mr. Ficek deliberately put submitted on June 30, 2009. The NRC determined that the willful Mattingly in violation of Confirmatory (2) From May 13, 2006, through violations listed above were caused by Order (EA–08–271) when he committed September 9, 2009, Mattingly, as a result the willful or deliberate actions of the to Mattingly meeting strict deadlines in of Mr. Ficek’s deliberate inaction, failed Mattingly president and then RSO, Mr. the Order, knew what those deadlines to establish and maintain a prearranged Mark Ficek. ADR was offered to both were, put himself in charge of ensuring plan with the local law enforcement Mattingly and Mr. Ficek in order to compliance with the Order, but let the agency to respond to any attempt to gain disposition the nine violations listed Order’s deadlines pass knowing that he unauthorized access to radioactive above. As a result of ADR with Mr. was causing Mattingly to violate the materials, as required by Increased Ficek, a Confirmatory Order (IA–08– Order. Specifically, the Confirmatory Controls Order (EA–05–090). 055) was issued that prohibited Mr. Order required Mattingly to select an Specifically, Increased Controls Order, Ficek from engaging in NRC-licensed independent consultant to review Attachment B, Section IC–2(b), requires activities for a period of 2 years. Mattingly’s radiation safety program and that the licensee shall have a As a result of ADR with the Licensee, to conduct training for Mattingly’s staff. prearranged plan with a local law a Confirmatory Order (EA–08–271) was The NRC approved the independent enforcement agency for assistance in issued that required, among other response to an actual or attempted theft, consultant on April 3, 2009, which set things, that Mattingly retain an expert sabotage, or diversion of such May 3, 2009, as the date by which the consultant, to be approved by the NRC, radioactive material or of the devices, consultant was to commence the and that the consultant would take which is consistent in scope and timing assessment of the Mattingly radiation specific actions within strict deadlines. with a realistic potential vulnerability of safety program, as well as complete the Given the number and varied violations the sources containing such radioactive specified training for Mattingly staff. described above, the consultant’s material. During an NRC inspection of Testimony provided by the independent actions were to include reviewing and the Mattingly facility in March 2007, consultant to the NRC investigator on assessing Mattingly’s entire radiation Mr. Ficek informed the NRC inspector June 30, 2009, revealed that the safety program, providing radiation that he had established a prearranged safety training to the Mattingly staff who consultant was not aware of the May 3, plan with the Laurel Police Department, conduct radiography, and conducting 2009, deadline. The consultant when in fact he had not established a field audits of the staff to identify areas indicated that Mr. Ficek had directed prearranged plan with the Laurel Police needing additional corrective action. him to complete his actions by the end Department. Upon further investigation The expert consultant was approved by of 2009, but he did not at that time have the NRC determined that Mattingly’s the NRC on April 3, 2009 (ADAMS a specific plan to do so, nor was he facility was not located in the Laurel Accession No. ML090930661). As a aware of the deadlines for other actions Police Department’s jurisdiction, but result, the radiation safety procedures assigned to the independent consultant instead was located in the Yellowstone assessment was to commence and the in the Confirmatory Order. Moreover, County Sheriff’s jurisdiction, and that radiation safety training for the testimony provided by Mr. Ficek and Mattingly had not established a Mattingly staff was to be completed by the consultant to the NRC investigator prearranged plan with the Yellowstone May 3, 2009. revealed that Mr. Ficek did not give the County Sheriff’s Office. Mr. Ficek’s false consultant a copy of the Confirmatory II statement to the NRC inspector—which Order that described the required made clear that Mr. Ficek was aware of On June 30, 2009, the NRC inspected actions and respective deadlines. Mr. the requirement, but had not the Licensee’s facility in Molt, Montana, Ficek knew the Confirmatory Order’s implemented it—caused the NRC to find after the NRC, Region IV received a requirements, but rather than sharing that the failure to meet the Increased police report stating that the County the Confirmatory Order with the Controls Order, Appendix B, Section Sheriff’s office had recovered, from a consultant or another Mattingly official IC–2(b), was deliberate. member of the public, a radiography to ensure compliance, he withheld the (3) On March 6, 2007, Mr. Ficek exposure device Mattingly had lost. The information and allowed the deliberately provided false information NRC-initiated investigations and Confirmatory Order’s deadlines to pass, to an NRC inspector by stating that he inspections identified several violations putting Mattingly in violation of the had established a prearranged plan with of regulatory requirements, four of Confirmatory Order (EA–08–271). The the local law enforcement agency in which involve deliberate misconduct by NRC showed the consultant the accordance with Increased Controls Mr. Ficek, including providing false Confirmatory Order for the first time Order (EA–05–090), violating 10 CFR information to the NRC. As such, Mr. during the NRC investigation. Had the 30.10(a)(2), and putting Mattingly in Ficek was found to be in violation of 10 NRC not interdicted at that time, violation of 10 CFR 30.9, ‘‘Completeness CFR 30.10, ‘‘Deliberate Misconduct,’’ implementation of required and Accuracy of Information.’’ As subparts (a)(1) and (a)(2). Specifically, improvements to the Licensee’s described above, Mr. Ficek stated to an 10 CFR 30.10(a)(1) and (a)(2) require radiation safety program and safety NRC inspector that the prearranged plan that any licensee or employee of a training programs would have been had been established with the Laurel licensee may not engage in deliberate even further delayed, if completed at all. Police Department in Laurel, Montana. misconduct that causes a licensee to be The assessment of the Mattingly The NRC determined that neither Mr. in violation of any rule, regulation or radiation programs was not begun until Ficek nor any Mattingly official had order issued by the Commission; or May 30, 2009, and the initial safety contacted the Laurel Police Department deliberately submit to the NRC training of the Mattingly staff was not to establish a prearranged response information the person submitting the completed until July 19, 2009. Finally, plan. The NRC also determined during information knows to be incomplete or Mr. Ficek caused Mattingly to not its 2009 investigation that the Laurel inaccurate in some respect material to provide a license amendment to the Police Department had no jurisdiction the NRC. Since the 2009 Confirmatory NRC by May 3, 2009, which put for the Mattingly facility in Molt,

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Montana. Further, testimony by a those activities conducted pursuant to Because Mr. Ficek had not informed the representative of the appropriate local the authority granted by 10 CFR 150.20. RSO that he was prohibited from NRC- law enforcement agency (Yellowstone First, Mr. Ficek continued to engage licensed activities, the RSO was not County Sheriff’s Office) revealed that no in Mattingly’s day-to-day licensed aware that Mr. Ficek could not conduct prearranged plan had been established activities. A number of Mattingly’s RSO duties. Mr. Ficek’s direction to the with them, or was sought by Mr. Ficek employees informed the NRC RSO to proceed to conduct radiography or any other Mattingly officials. Mr. investigators that they continued to while he, Mr. Ficek, would research the Ficek’s false statement to the NRC consult Mr. Ficek for advice about NRC reporting requirements and inspector was a significant contributor radiation safety when the RSO could not develop the lost device report to the to the duration of the Increased Controls help them. Mr. Ficek also stated that he NRC violated his Confirmatory Order. Order violation since Mattingly did not remained involved in purchasing Finally, Mr. Ficek filed a radioactive implement the local law enforcement radiography devices, determining when material reciprocity request with the plan until September 9, 2009, more than to ship them back to the manufacturer, NRC Agreement State, North Dakota, on 2 years after the NRC inspector initially and which devices to use on which jobs. June 15, 2009, presenting the NRC questioned the Licensee’s actions to All of these activities violated Mr. license and approved procedures to the establish the prearranged plan, and only Ficek’s Confirmatory Order (IA–08– Agreement State as bases for seeking after an NRC investigation revealed the 055). reciprocity approval for conduct of violation. Another example of Mr. Ficek radiographic operations within North (4) On October 22, 2009, while under engaging in licensed activities included Dakota. Mr. Ficek signed the application oath, Mr. Ficek deliberately provided his supervision of the independent representing Mattingly. While Mr. Ficek false testimony to the NRC investigator, consultant Mattingly was required to is not prohibited from working in an hire to improve its radiation safety again violating 10 CFR 30.10(a)(2) and Agreement State during his period of program and provide training. The putting Mattingly in violation of 10 CFR prohibition from NRC-licensed Confirmatory Orders to Mattingly (EA– 30.9, ‘‘Completeness and Accuracy of activities, he cannot present himself to 08–271) and Mr. Ficek (IA–08–055) Information.’’ Mr. Ficek claimed that Agreement States as an NRC license were issued on the same date. Because two witnesses could confirm that he had representative when he is prohibited Mr. Ficek was prohibited from engaging conversations during a lunch from NRC-licensed activities. in licensed activity, he was required to engagement with the Laurel Police Chief avoid work that involved Mattingly’s III regarding the required local law compliance with NRC requirements. Based on the above, the NRC found enforcement agency prearranged plan. Nonetheless, Mr. Ficek placed himself that Mr. Mark M. Ficek, the President of Testimony provided by witnesses to the in charge of ensuring compliance with Mattingly Testing Services, Inc., has lunch engagement, including the Laurel Mattingly’s Confirmatory Order (EA– engaged in deliberate misconduct in Police Chief, refuted Mr. Ficek’s 08–271) without sharing the Mattingly violation of 10 CFR 30.10(a)(1) that statements. Further, in addition to Order with Mattingly’s RSO or the hired caused the Licensee to be in violation of testimony that the Laurel Police Chief consultant, and without telling either of Confirmatory Order (EA–08–271) and recalled no discussion of a response those individuals that he was prohibited NRC Increased Controls Order (EA–05– plan, and that the Laurel Police Chief from NRC-licensed activities. Mr. Ficek 090). Also, the NRC found that Mr. Mark knew that the Laurel Police Department hired the independent consultant, M. Ficek has deliberately provided to an had no jurisdiction to respond to the directed the consultant’s activities, and NRC inspector and investigator Mattingly facility, the Laurel Police ultimately, deliberately placed information that he knew to be Chief offered evidence indicating that Mattingly in violation of the incomplete or inaccurate in some the lunch engagement at issue took Confirmatory Order. Mr. Ficek’s respect material to the NRC, in violation place on July 13, 2003, some 28 months supervision of the consultant had a of 10 CFR 30.10(a)(2). Further, the NRC before the Increased Controls Order was direct impact on Mattingly’s radiation found that Mr. Mark M. Ficek continued issued to Mattingly. Therefore, the NRC safety program and training program for to engage in NRC-licensed activities found that Mr. Ficek deliberately the safe use of the radiographic after he was prohibited from such provided false testimony while under exposure devices. activities, in violation of Confirmatory oath when he attempted to cite a lunch A third example of Mr. Ficek’s Order (IA–08–055). engagement with the Laurel Police Chief continuing NRC-licensed activity Given the current violations, Mr. in 2003 to demonstrate to the NRC that involved his response to the lost Ficek’s previous deliberate misconduct, Mattingly was in compliance with the radiographic exposure device that gave including repeatedly providing Increased Controls Order. rise to the July 2009 NRC inspection. incomplete and inaccurate information In addition to the above violations of The NRC found that immediately after to the NRC, and a number of non-willful the NRC deliberate misconduct rule, the the police response to the Mattingly violations, the NRC lacks reasonable NRC also found that Mr. Ficek violated facility on June 22, 2009, during which assurance that the Licensee can safely provisions of his Confirmatory Order the recovered lost radiographic conduct licensed activities under (IA–08–055) on several occasions by exposure device was returned to License 25–21479–01, and so, in a continuing to engage in NRC-licensed Mattingly, Mr. Ficek directed the RSO to related action, the NRC is issuing an activities while he was prohibited from go to a temporary job location to order to the Licensee revoking the NRC doing so. Section V.1 of Confirmatory conduct radiography operations while license. The NRC must be able to rely Order (IA–08–055) specifies that Mr. Mr. Ficek took on the RSO’s duties to on Mattingly, its officers, and its Ficek is prohibited for 2 years from the determine the NRC reporting employees to comply with NRC date of the Order (March 6, 2009) from requirements for the lost device. Mr. requirements, including the requirement engaging in NRC-licensed activities. Ficek then failed to research the to provide information and maintain NRC-licensed activities are those requirements, but two days later wrote records that are complete and accurate activities that are conducted pursuant to and signed the NRC-required report, in all material respects. a specific or general license issued by including Mattingly’s corrective actions, Mr. Ficek’s action in causing the the NRC, including, but not limited to, after the NRC contacted the RSO. Licensee to violate two orders and his

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misrepresentations to the NRC have Nuclear Regulatory Commission, accordance with the NRC E-Filing rule raised serious doubt as to whether he Washington, DC 20555, of the name, (72 FR 49139, August 28, 2007). The E- can be relied upon to comply with NRC address, and telephone number of the Filing process requires participants to requirements to protect the public employer or the entity where he is, or submit and serve all adjudicatory health and safety and to provide will be, involved in the NRC-licensed documents over the Internet, or in some complete and accurate information to activities. In the notification, Mr. Ficek cases to mail copies on electronic the NRC. shall include a statement of his storage media. Participants may not Consequently, I lack the requisite commitment to compliance with submit paper copies of their filings reasonable assurance that licensed regulatory requirements and the basis unless they seek an exemption in activities can be conducted in why the Commission should have accordance with the procedures compliance with the Commission’s confidence that he will now comply described below. requirements and that the health and with applicable NRC requirements. To comply with the procedural safety of the public will be protected if The Regional Administrator, Region requirements of E-Filing, at least ten Mr. Mark M. Ficek were permitted at IV, may, in writing, relax or rescind any (10) days prior to the filing deadline, the this time to be involved in NRC-licensed of the above conditions upon participant should contact the Office of activities. Therefore, the public health demonstration by Mr. Ficek of good the Secretary by e-mail at and safety interest require that Mr. Mark cause. Upon issuance of this Order [email protected], or by telephone M. Ficek be prohibited from any (Effective Immediately), the Order at (301) 415–1677, to request (1) a involvement in NRC-licensed activities Prohibiting Involvement in NRC– digital ID certificate, which allows the for a period of 7 years from the date of Licensed Activities, IA–08–055, dated participant (or its counsel or this Order. Additionally, for a period of March 6, 2009, is rescinded. representative) to digitally sign 3-years after the 7-year period of documents and access the E-Submittal V prohibition, Mr. Ficek is required to server for any proceeding in which it is notify the NRC of his first employment In accordance with 10 CFR 2.202, Mr. participating; and (2) advise the in NRC-licensed activities or his Ficek must, and any other person Secretary that the participant will be becoming involved in NRC-licensed adversely affected by this Order may, submitting a request or petition for activities at least 10 days before submit an answer to this Order within hearing (even in instances in which the becoming involved in NRC-licensed 20 days of the date of the Order. In participant, or its counsel or activities. Furthermore, pursuant to 10 addition, Mr. Ficek and any other representative, already holds an NRC- CFR 2.202(a)(5), I find that the person adversely affected by this Order issued digital ID certificate). Based upon deliberate and repetitive nature of Mr. may request a hearing on this Order this information, the Secretary will Ficek’s conduct is such that the public within 20 days of the date of the Order. establish an electronic docket for the health and safety interest require that Where good cause is shown, hearing in this proceeding if the this Order be immediately effective. consideration will be given to extending Secretary has not already established an the time to answer or request a hearing. electronic docket. IV A request for extension of time must be Information about applying for a Accordingly, pursuant to Sections 81, directed to the Director, Office of digital ID certificate is available on 161b, 161i, 161o, 182 and 186 of the Enforcement, U.S. Nuclear Regulatory NRC’s public Web site at http:// Atomic Energy Act of 1954, as amended, Commission, and include a statement of www.nrc.gov/site-help/e-submittals/ and the Commission’s regulations in 10 good cause for the extension. apply-certificates.html. System CFR 2.202, 10 CFR 30.10, and 10 CFR If a hearing is requested by Mr. Ficek requirements for accessing the E- 150.20, it is hereby ordered, effective or a person whose interest is adversely Submittal server are detailed in NRC’s immediately, that: affected, the Commission will issue an ‘‘Guidance for Electronic Submission,’’ 1. Mr. Mark M. Ficek is prohibited for Order designating the time and place of which is available on the agency’s 7 years from the date of this Order from any hearings. If a hearing is held, the public Web site at http://www.nrc.gov/ engaging in NRC-licensed activities. issue to be considered at such hearing site-help/e-submittals.html. Participants NRC-licensed activities are those shall be whether this Order should be may attempt to use other software not activities that are conducted pursuant to sustained. Pursuant to 10 CFR listed on the Web site, but should note a specific or general license issued by 2.202(c)(2)(i), Mr. Ficek, or any other that the NRC’s E-Filing system does not the NRC, including, but not limited to, person adversely affected by this Order, support unlisted software, and the NRC those activities of Agreement State may, in addition to demanding a Meta System Help Desk will not be able Licensees conducted pursuant to the hearing, at the time the answer is filed to offer assistance in using unlisted authority granted by 10 CFR 150.20. or sooner, move the presiding officer to software. 2. If Mr. Ficek is currently involved set aside the immediate effectiveness of If a participant is electronically with another licensee in NRC-licensed the Order on the ground that the Order, submitting a document to the NRC in activities, he must immediately cease including the need for immediate accordance with the E-Filing rule, the those activities, inform the NRC of the effectiveness, is not based on adequate participant must file the document name, address, and telephone number of evidence but on mere suspicion, using the NRC’s online, Web-based the employer, and provide a copy of this unfounded allegations, or error. submission form. In order to serve Order to the employer. All documents filed in NRC documents through the Electronic 3. After the 7-year period of adjudicatory proceedings, including a Information Exchange, users will be prohibition has expired, and for a 3-year request for hearing, a petition for leave required to install a Web browser plug- period thereafter, Mr. Ficek shall, at to intervene, any motion or other in from the NRC Web site. Further least 10 days prior to beginning document filed in the proceeding prior information on the Web-based employment involving NRC-licensed to the submission of a request for submission form, including the activities or becoming involved in NRC- hearing or petition to intervene, and installation of the Web browser plug-in, licensed activities, as defined in documents filed by interested is available on the NRC’s public Web paragraph IV.1. above, provide notice to governmental entities participating site at http://www.nrc.gov/site-help/e- the Director, Office of Enforcement, U.S. under 10 CFR 2.315(c), must be filed in submittals.html.

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Once a participant has obtained a Rulemaking and Adjudications Staff. SECURITIES AND EXCHANGE digital ID certificate and a docket has Participants filing a document in this COMMISSION been created, the participant can then manner are responsible for serving the submit a request for hearing or petition document on all other participants. Submission for OMB Review; for leave to intervene. Submissions Filing is considered complete by first- Comment Request should be in Portable Document Format class mail as of the time of deposit in Upon Written Request, Copies Available (PDF) in accordance with NRC guidance the mail, or by courier, express mail, or From: Securities and Exchange available on the NRC public Web site at expedited delivery service upon Commission, Office of Investor http://www.nrc.gov/site-help/e- depositing the document with the Education and Advocacy, submittals.html. A filing is considered provider of the service. A presiding Washington, DC 20549–0213. complete at the time the documents are officer, having granted an exemption submitted through the NRC’s E-Filing request from using E-Filing, may require Extension: system. To be timely, an electronic Rule 6h–1, SEC File No. 270–497, OMB a participant or party to use E-Filing if Control No. 3235–0555. filing must be submitted to the E-Filing the presiding officer subsequently system no later than 11:59 p.m. Eastern determines that the reason for granting Notice is hereby given that, pursuant Time on the due date. Upon receipt of the exemption from use of E-Filing no to the Paperwork Reduction Act of 1995 a transmission, the E-Filing system longer exists. (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission time-stamps the document and sends Documents submitted in adjudicatory (‘‘Commission’’) has submitted to the the submitter an e-mail notice proceedings will appear in NRC’s Office of Management and Budget a confirming receipt of the document. The electronic hearing docket which is request for approval of extension of the E-Filing system also distributes an e- available to the public at http:// previously approved collection of mail notice that provides access to the ehd.nrc.gov/EHD_Proceeding/home.asp, information provided for in Rule 6h–1 document to the NRC Office of the unless excluded pursuant to an order of General Counsel and any others who (17 CFR 240.6h–1) under the Securities the Commission, or the presiding Exchange Act of 1934, as amended have advised the Office of the Secretary officer. Participants are requested not to that they wish to participate in the (‘‘Act’’) (15 U.S.C. 78a et seq.). include personal privacy information, Section 6(h) of the Act (15 U.S.C. proceeding, so that the filer need not such as social security numbers, home serve the documents on those 78f(h)) requires national securities addresses, or home phone numbers in exchanges and national securities participants separately. Therefore, their filings, unless an NRC regulation applicants and other participants (or associations that trade security futures or other law requires submission of such their counsel or representative) must products to establish listing standards information. With respect to apply for and receive a digital ID that, among other things, require that: (i) copyrighted works, except for limited certificate before a hearing request/ Trading in such products not be readily excerpts that serve the purpose of the petition to intervene is filed so that they susceptible to price manipulation; and adjudicatory filings and would can obtain access to the document via (ii) the market on which the security constitute a Fair Use application, the E-Filing system. futures product trades has in place A person filing electronically using participants are requested not to include procedures to coordinate trading halts the agency’s adjudicatory E-Filing copyrighted materials in their with the listing market for the security system may seek assistance by submission. or securities underlying the security contacting the NRC Meta System Help If a person other than the Mr. Ficek futures product. Rule 6h–1 implements Desk through the ‘‘Contact Us’’ link requests a hearing, that person shall set these statutory requirements and located on the NRC Web site at http:// forth with particularity the manner in requires that (1) the final settlement www.nrc.gov/site-help/e- which his interest is adversely affected price for each cash-settled security submittals.html, by e-mail at by this Order and shall address the futures product fairly reflect the [email protected], or by a toll- criteria set forth in 10 CFR 2.309(d) and opening price of the underlying security free call at (866) 672–7640. The NRC (f). or securities, and (2) the exchanges and Meta System Help Desk is available In the absence of any request for associations trading security futures between 8 a.m. and 8 p.m., Eastern hearing, or written approval of an products halt trading in any security Time, Monday through Friday, extension of time in which to request a futures product for as long as trading in excluding government holidays. hearing, the provisions specified in the underlying security, or trading in Participants who believe that they Section IV above shall be final 20 days 50% of the underlying securities, is have a good cause for not submitting from the date this Order is published in halted on the listing market. documents electronically must file an the Federal Register without further It is estimated that approximately 18 exemption request, in accordance with order or proceedings. If an extension of respondents, consisting of 14 national 10 CFR 2.302(g), with their initial paper time for requesting a hearing has been securities exchanges and 4 national filing requesting authorization to approved, the provisions specified in securities exchanges notice-registered continue to submit documents in paper Section IV shall be final when the pursuant to Section 6(g) of the Act (15 format. Such filings must be submitted extension expires if a hearing request U.S.C. 78f(g)), will incur an average by: (1) first class mail addressed to the has not been received. An answer or a burden of 10 hours per year to comply Office of the Secretary of the request for hearing shall not stay the with this rule, for a total burden of 180 Commission, U.S. Nuclear Regulatory immediate effectiveness of this order. hours. At an average cost per hour of Commission, Washington, DC 20555– approximately $316, the resultant total 0001, Attention: Rulemaking and Dated at Rockville, Maryland, this 2nd day of September 2010. cost of compliance for the respondents Adjudications Staff; or (2) courier, is $56,880 per year (18 respondents × 10 For the Nuclear Regulatory Commission. express mail, or expedited delivery hours/respondent × $316/hour = service to the Office of the Secretary, Roy P. Zimmerman, $56,880). Sixteenth Floor, One White Flint North, Director, Office of Enforcement. Compliance with Rule 6h–1 is 11555 Rockville Pike, Rockville, [FR Doc. 2010–22638 Filed 9–9–10; 8:45 am] mandatory. Any listing standards Maryland, 20852, Attention: BILLING CODE 7590–01–P established pursuant to Rule 6h–1

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would be filed with the Commission as Commission as a broker-dealer and, as Respondents consist of ATSs that proposed rule changes pursuant to a condition to not having to register as choose to register as broker-dealers and Section 19(b) of the Act, and would be an exchange, must instead comply with comply with the requirements of published in the Federal Register. Regulation ATS. Rule 303 of Regulation Regulation ATS. There are currently 81 An agency may not conduct or ATS (17 CFR 242.303) describes the respondents. To comply with the record sponsor, and a person is not required to record preservation requirements for preservation requirements of Rule 303, respond to, a collection of information ATSs. Rule 303 also describes how such these respondents will spend unless it displays a currently valid records must be maintained, what approximately 1,215 hours per year (81 control number. entities may perform this function, and respondents at 15 burden hours/ Comments should be directed to: (i) how long records must be preserved. respondent). At an average cost per Desk Officer for the Securities and Under Rule 303, ATSs are required to burden hour of $106, the resultant total Exchange Commission, Office of preserve all records made pursuant to related cost of compliance for these Information and Regulatory Affairs, Rule 302, which includes information Office of Management and Budget, respondents is $128,790 per year (1,215 relating to subscribers, trading burden hours multiplied by $106/hour). Room 10102, New Executive Office summaries, and time-sequenced order Building, Washington, DC 20503, or by information. Rule 303 also requires Compliance with Rule 303 is sending an e-mail to: ATSs to preserve any notices provided mandatory. The information required by [email protected]; and (ii) to subscribers, including, but not Rule 303 is available only for the Charles Boucher, Director/Chief limited to, notices regarding the ATSs examination of the Commission staff, Information Officer, Securities and operations and subscriber access. For an state securities authorities and the Exchange Commission, c/o Remi Pavlik- ATS subject to the fair access SROs. Subject to the provisions of the Simon, 6432 General Green Way, requirements described in Rule Freedom of Information Act, 5 U.S.C. Alexandria, VA 22312 or send an e-mail 301(b)(5)(ii) of Regulation ATS, Rule 522 (‘‘FOIA’’), and the Commission’s _ to: PRA [email protected]. Comments 303 further requires the ATS to preserve rules thereunder (17 CFR must be submitted within 30 days of at least one copy of its standards for 200.80(b)(4)(iii)), the Commission does this notice. access to trading, all documents relevant not generally publish or make available Dated: September 7, 2010. to the ATS’s decision to grant, deny, or information contained in any reports, Florence E. Harmon, limit access to any person, and all other summaries, analyses, letters, or Deputy Secretary. documents made or received by the ATS memoranda arising out of, in in the course of complying with Rule [FR Doc. 2010–22602 Filed 9–9–10; 8:45 am] anticipation of, or in connection with an 301(b)(5) of Regulation ATS. For an ATS BILLING CODE 8010–01–P examination or inspection of the books subject to the capacity, integrity, and and records of any person or any other security requirements for automated investigation. SECURITIES AND EXCHANGE systems under Rule 301(b)(6) of An agency may not conduct or COMMISSION Regulation ATS, Rule 303 requires an ATS to preserve all documents made or sponsor, and a person is not required to Submission for OMB Review; received by the ATS related to its respond to, a collection of information Comment Request compliance, including all unless it displays a currently valid correspondence, memoranda, papers, control number. Upon Written Request, Copies Available books, notices, accounts, reports, test Comments should be directed to: (i) From: Securities and Exchange scripts, test results and other similar Commission, Office of Investor Desk Officer for the Securities and records. As provided in Rule 303(a)(1), Exchange Commission, Office of Education and Advocacy, ATSs are required to keep all of these Washington, DC 20549–0213. Information and Regulatory Affairs, records, as applicable, for a period of at Office of Management and Budget, Extension: least three years, the first two in an Room 10102, New Executive Office Rule 303; SEC File No. 270–450; OMB easily accessible place. In addition, Rule Building, Washington, DC 20503, or by Control No. 3235–0505. 303 requires ATSs to preserve records of sending an e-mail to: Notice is hereby given that, pursuant partnership articles, articles of _ incorporation or charter, minute books, Shagufta [email protected]; and (ii) to the Paperwork Reduction Act of 1995 Charles Boucher, Director/Chief (44 U.S.C. 3501 et seq.), the Securities stock certificate books, copies of reports Information Officer, Securities and and Exchange Commission filed pursuant to Rule 301(b)(2), and Exchange Commission, c/o Remi Pavlik- (‘‘Commission’’) has submitted to the records made pursuant to Rule 301(b)(5) Office of Management and Budget a for the life of the ATS. Simon, 6432 General Green Way, The information contained in the Alexandria, VA 22312 or send an e-mail request for approval of extension of the _ previously approved collection of records required to be preserved by Rule to: PRA [email protected]. Comments information provided for in Rule 303 303 will be used by examiners and other must be submitted within 30 days of (17 CFR 242.303) of Regulation ATS (17 representatives of the Commission, state this notice. CFR 242.300 et seq.) under the securities regulatory authorities, and the Dated: September 3, 2010. Securities and Exchange Act of 1934 (15 self-regulatory organizations (‘‘SROs’’) to Florence E. Harmon, U.S.C. 78a et seq.). ensure that ATSs are in compliance Deputy Secretary. Regulation ATS sets forth a regulatory with Regulation ATS as well as other regime for ‘‘alternative trading systems’’ applicable rules and regulations. [FR Doc. 2010–22563 Filed 9–9–10; 8:45 am] (‘‘ATSs’’), which are entities that carry Without the data required by the Rule, BILLING CODE 8010–01–P out exchange functions but which are regulators would be limited in their not required to register as national ability to comply with their statutory securities exchanges under the Act. In obligations, provide for the protection of lieu of exchange registration, an ATS investors, and promote the maintenance can instead opt to register with the of fair and orderly markets.

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SECURITIES AND EXCHANGE 1090; Applicants, 1275 King Street, an ‘‘employees’ securities company’’ COMMISSION Greenwich, CT 06831. within the meaning of section 2(a)(13) of the Act. Each Fund will be established [Investment Company Act Release No. FOR FURTHER INFORMATION CONTACT: Jean 29409; File No. 813–359] E. Minarick, Senior Counsel, at (202) to enable Eligible Investors, as defined 551–6811 or Janet M. Grossnickle, below, through their investment in a Tudor Employee Investment Fund LLC Assistant Director, at (202) 551–6821 Fund to achieve long-term capital and Tudor Investment Corporation; (Division of Investment Management, appreciation through investment in Notice of Application Office of Investment Company affiliated and non-affiliated private Regulation). investment funds (each an ‘‘Underlying September 3, 2010. ’’ SUPPLEMENTARY INFORMATION: The Fund ), certain of which are advised by AGENCY: Securities and Exchange 1 following is a summary of the a Tudor Group Entity. The Underlying Commission (‘‘Commission’’). application. The complete application Funds in which a Fund invests will be ACTION: Notice of an application for an may be obtained via the Commission’s either investment companies excluded order under sections 6(b) and 6(e) of the Web site by searching for the file from registration under the Act or funds Investment Company Act of 1940 (the number, or an applicant using the not primarily engaged in the business of ‘‘Act’’) granting an exemption from all Company name box, at http:// investing, reinvesting, or trading provisions of the Act, except section 9 www.sec.gov/search/search.htm or by securities, e.g., commodity pools. The and sections 36 through 53, and the calling (202) 551–8090. investment objectives and policies for rules and regulations under those each Fund may vary from Fund to Fund. sections. With respect to sections 17 and Applicants’ Representations Participation in the Funds is voluntary. 30 of the Act, and the rules and 1. Tudor, a Delaware corporation, is 4. A Tudor Group Entity will serve as regulations thereunder, and rule 38a–1 registered with the Commodity Futures the manager (‘‘Manager’’) of each Fund.2 under the Act, the exemption is limited Trading Commission (‘‘CFTC’’) as a The same or a different Tudor Group as set forth in the application. commodity pool operator and Entity will serve as the investment commodity trading advisor, and is a SUMMARY: Summary of Application: adviser (each an ‘‘Investment Adviser’’) member of the U.S. National Futures Applicants request an order to exempt of each Fund. The Investment Adviser Association in such capacities. certain limited liability companies and will register as an investment adviser Applicants represent that Tudor is other investment vehicles formed for the under the Advisers Act, if required exempt from registration as an benefit of eligible employees of Tudor under applicable law. investment adviser with the Investment Corporation (‘‘Tudor’’) and 5. The Tudor Group, the Manager and Commission under the Investment its affiliates from certain provisions of any other person acting for or on behalf Advisers Act of 1940 (the ‘‘Advisers the Act. Each limited liability company of a Fund shall act in the best interest Act’’). Tudor and its ‘‘affiliates,’’ as and other investment vehicle will be an of the Fund and its Fund Investors. defined in rule 12b–2 under the ‘‘employees’ securities company’’ within Whenever the Tudor Group, the Securities Exchange Act of 1934 the meaning of section 2(a)(13) of the Manager or any other person acting for (‘‘Exchange Act’’), are referred to Act. or on behalf of the Funds is required or collectively as the ‘‘Tudor Group’’ and Applicants: Tudor Employee permitted to make a decision, take or each entity within the Tudor Group is Investment Fund LLC (‘‘Investment approve an action, or omit to do any of referred to individually as a ‘‘Tudor Fund’’) and Tudor. the foregoing in such person’s Group Entity.’’ discretion, then that person shall DATES: Filing Dates: The application was 2. Tudor has established the exercise such discretion in accordance filed on December 6, 2005, and Investment Fund as a Delaware limited with reasonableness and good faith and amended on August 22, 2007, June 9, liability company and may in the future any fiduciary duties owed to the Fund 2008, June 26, 2009, June 25, 2010 and establish additional pooled investment and its Fund Investors. The September 1, 2010. vehicles identical in all material organizational documents for, and any Hearing or Notification of Hearing: An respects to the Investment Fund (other other contractual arrangement order granting the application will be than investment objectives and regarding, the Funds will not contain issued unless the Commission orders a strategies and form of organization) (the any provision which protects or hearing. Interested persons may request ‘‘Subsequent Funds’’ and collectively purports to protect the Tudor Group, the a hearing by writing to the with the Investment Fund, the ‘‘Funds,’’ Manager or their delegates against any Commission’s Secretary and serving and each, a ‘‘Fund’’) for the benefit of liability to a Fund or its Fund Investors applicants with a copy of the request, current or former key employees, to which such person would otherwise personally or by mail. Hearing requests officers, directors and current be subject by reason of willful should be received by the Commission consultants of the Tudor Group and misfeasance, bad faith, or gross by 5:30 p.m. on September 28, 2010, certain entities and individuals negligence in the performance of such and should be accompanied by proof of affiliated with employees of the Tudor person’s duties, or by reason of such service on applicants, in the form of an Group who invest in a Fund (‘‘Fund person’s reckless disregard of such affidavit or, for lawyers, a certificate of Investors’’). The Funds are designed person’s obligations and duties under service. Hearing requests should state primarily to create capital building the nature of the writer’s interest, the opportunities that are competitive with reason for the request, and the issues those at other investment management 1 Applicants are not requesting any exemption contested. Persons who wish to be from any provision of the Act or any rule firms and to facilitate the recruitment thereunder that may govern a Fund’s eligibility to notified of a hearing may request and retention of high caliber invest in an Underlying Fund relying on section notification by writing to the professionals. Tudor will control each 3(c)(1) or 3(c)(7) of the Act or any Underlying Commission’s Secretary. Fund within the meaning of the Act. Fund’s status under the Act. 2 ‘‘ ’’ ADDRESSES: A Manager is either the general partner of any Secretary, U.S. Securities 3. Each Fund will operate as a non- Fund organized as a limited partnership or the and Exchange Commission, 100 F diversified closed-end management managing member of any Fund organized as a Street, NE., Washington, DC 20549– investment company. Each Fund will be limited liability company.

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such contract or organizational audited by independent accountants. after the acquisition, the Fund would documents. For purposes of this requirement ‘‘audit’’ own more than 3% of the outstanding 6. Interests in the Funds (‘‘Interests’’) shall have the meaning defined in rule voting stock of the registered investment will be offered without registration in 1–02(d) of Regulation S–X. In addition, company. reliance on section 4(2) of the Securities Fund Investors will receive at least 13. Neither the Manager nor any Act of 1933 (‘‘Securities Act’’) or annually all information necessary to Investment Adviser will receive any Regulation D under the Securities Act enable the Fund Investors to prepare management fees from a Fund. An (‘‘Regulation D’’), and will be offered and their Federal and State income tax Investment Adviser may receive sold only to Eligible Investors. An returns. compensation for acting as an ‘‘Eligible Investor’’ is defined as (a) any 9. Interests in the Funds will be non- investment adviser to an Underlying Tudor Group Entity that meets the transferable by a Fund Investor except Fund, but will waive any such standards set forth below and (b) an with the express consent of the compensation it receives directly related officer, director, or employee of the Manager. No person will be admitted as to a Fund’s investment in such Tudor Group who has been employed a Fund Investor unless the person is an Underlying Funds. by a Tudor Group Entity for at least one Eligible Investor, except that a legal Applicants’ Legal Analysis year and ‘‘Consultants’’ 3 of the Tudor representative of the estate of a deceased Group (collectively, ‘‘Tudor Fund Investor may hold that Fund 1. Section 6(b) of the Act provides, in Employees’’), each of which meets the Investor’s Interest in order to settle the part, that the Commission will exempt standards, as applicable, set forth below. Fund Investor’s estate or administer its employees’ securities companies from Each Eligible Investor must have, in the property. No fee of any kind will be the provisions of the Act to the extent reasonable belief of the Manager, the charged in connection with the sale of that the exemption is consistent with knowledge, sophistication and Interests. the protection of investors. Section 6(b) experience in business and financial 10. Upon termination of employment provides that the Commission will matters to be capable of evaluating the with a Tudor Group Entity, an Eligible consider, in determining the provisions merits and risks of investing in a Fund Investor, other than a Consultant, who of the Act from which the company and be able to bear the economic risk of has been employed by the Tudor Group should be exempt, the company’s form such investment, and be able to afford for at least three years will remain of organization and capital structure, the a complete loss of the investment. eligible to invest in a Fund or continue persons owning and controlling its 7. To be a Tudor Employee, an to hold Interests in a Fund, as securities, the price of the company’s individual must be (a) an accredited applicable, at the discretion of the securities and the amount of any sales investor under rule 501(a)(5) or Manager of that Fund, for a period of load, how the company’s funds are 501(a)(6) of Regulation D under the one year for each full year of invested, and the relationship between Securities Act and (b) a ‘‘qualified employment (subject to a maximum of the company and the issuers of the eligible person’’ under rule 4.7 ten years), and thereafter such Interests securities in which it invests. Section promulgated by the CFTC. A Tudor will be subject to a mandatory 2(a)(13) defines an employees’ securities Employee is a ‘‘qualified eligible person’’ redemption. Interests held by a company, in relevant part, as any under CFTC rule 4.7(a)(2)(vii) if he or Consultant whose retainer has been investment company all of whose she is a ‘‘knowledgeable employee,’’ as terminated or expired will be subject to securities (other than short-term paper) defined in rule 3c–5 under the Act, of mandatory redemption, and unlike are beneficially owned (a) by current or a Tudor Group Entity. Any Tudor Group other Eligible Investors, Consultants former employees, or persons on Entity including the Manager and the may not invest in a Fund or continue to retainer, of one or more affiliated Investment Adviser will be required to hold Interests in a Fund based on their employers, (b) by immediate family be accredited investors under length of service to the Tudor Group. members of such persons, or (c) by such Regulation D under the Securities Act to Consultants no longer on retainer with employer or employers, together with be an Eligible Investor. a Tudor Group Entity will no longer be any of the persons in (a) or (b). 8. The investment objectives and Eligible Investors. The repurchase price 2. Section 7 of the Act generally strategies for each Fund will be set forth for Interests will be based on net asset prohibits investment companies that are in offering documents relating to the value pursuant to the Fund’s not registered under section 8 of the Act Interests offered by the Fund. Prior to organization and offering documents. from selling or redeeming their securities. Section 6(e) provides that, if, being invited to participate in a Fund, 11. A Fund may leverage its in connection with any order exempting each Eligible Investor will receive a investments in any of the Underlying an investment company from any copy of the offering documents and the Funds by entering into borrowing provision of section 7, certain operating agreement (or other arrangements with third parties, provisions of the Act, as specified by the organizational document) of the Fund or including a Tudor Group Entity, in Commission, will be applicable to the an offering memorandum, which will order to gain greater exposure to the company and other persons dealing set forth all the terms of participation in Underlying Funds. Each such Fund loan with the company as though the the Fund. The Managers will send an will be made at an interest rate no less company were registered under the Act. annual report to each Fund Investor not favorable than that which could be Applicants request an order under later than 120 days after the close of the obtained on an arm’s length basis. A sections 6(b) and 6(e) of the Act fiscal year, which will contain financial Fund will not borrow from any person exempting the Funds from all statements of the Fund that have been if the borrowing would cause any person not named in section 2(a)(13) of provisions of the Act, except section 9 and sections 36 through 53 of the Act, 3 A ‘‘Consultant’’ is a person or entity who is on the Act to own outstanding securities of retainer with a Tudor Group Entity at the time the Fund (other than short-term paper). and the rules and regulations under the Interests are offered to the Consultant to provide Any loan made to a Fund will be non- Act. With respect to sections 17 and 30 services and professional expertise to a Tudor recourse to the Fund Investors. of the Act, and the rules and regulations Group Entity on an ongoing basis as a regular consultant or as a business or legal adviser and who 12. A Fund will not acquire any thereunder, and rule 38a–1 under the shares a community of interest with the Tudor security issued by a registered Act, the exemption is limited as set Group and its employees. investment company if, immediately forth in the application.

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3. Section 17(a) generally prohibits 6. Applicants assert that compliance to be the board of directors of the Fund any affiliated person of a registered with section 17(d) would cause a Fund and (c) in place of the verification investment company, or any affiliated to forego investment opportunities procedure under paragraph (f) of the person of an affiliated person, acting as simply because a Fund Investor, the rule, verification will be effected principal, from knowingly selling or Manager, or any other affiliated person quarterly by two high level officers of purchasing any security or other of the Fund (or any affiliate of the the Investment Adviser. With respect to property to or from the company. affiliated person) had made a similar the Funds, Applicants expect that many Applicants request an exemption from investment. Applicants also submit that of their investments will be evidenced section 17(a) to permit: (a) A Tudor the types of investment opportunities only by partnership or operating Group Entity or a Third Party Fund 4 (or considered by a Fund often require each agreements, subscription agreements or any affiliated person of a Third Party investor to make funds available in an similar documents, rather than by Fund), acting as principal, to engage in amount that may be substantially greater negotiable certificates that could be any transaction directly or indirectly than what a Fund may make available misappropriated. Applicants assert that with any Fund or any entity controlled on its own. Applicants contend that, as for such a Fund these instruments are by the Fund; (b) a Fund to invest in or a result, the only way in which a Fund most suitably kept in the Investment engage in any transaction with any may be able to participate in these Adviser’s files, where they can be entity, acting as principal (i) in which opportunities may be to co-invest with referred to as necessary. the Fund, any company controlled by other persons, including its affiliates. 9. Section 17(g) of the Act and rule the Fund or any Tudor Group Entity or Applicants assert that the flexibility to 17g–1 under the Act generally require a Third Party Fund has invested or will structure co-investments and joint the bonding of officers and employees of invest or (ii) with which the Fund, any investments will not involve abuses of a registered investment company who company controlled by the Fund, or a the type section 17(d) and rule 17d–1 have access to its securities or funds. Tudor Group Entity or Third Party Fund were designed to prevent. The rule requires that the board of 7. Co-investments with Third Party is or will otherwise become affiliated or directors of an investment company Funds will not be subject to condition (c) a partner or other investor in any satisfy the fund governance standards 3 below. Applicants note that, if a Tudor entity in which a Fund invests, acting defined in rule 0–1(a)(7) (the ‘‘Fund as principal, to engage in transactions Group Entity invests its own capital in Governance Standards’’). Applicants directly or indirectly with a Fund or any Third Party Fund investments, request an exemption from section 17(g) company controlled by a Fund. investments by the Tudor Group Entity 4. Applicants submit that an will be subject to substantially the same and rule 17g–1 to permit the Manager to exemption from section 17(a) is terms as those applicable to the Third take such actions and make consistent with the protection of Party Fund. Applicants believe it is determinations set forth in the rule. investors and the purposes of the Act. important that the interests of the Third Applicants state that, because the Applicants state that the Fund Investors Party Fund take priority over the Manager will be an interested person of in each Fund will be informed of the interests of the Funds, and that the each Fund, a Fund could not comply possible extent of the Fund’s dealings Third Party Fund not be burdened or with rule 17g–1 without the requested with Tudor Group Entities or Third otherwise affected by activities of the relief. Specifically, each Fund will Party Funds and of the potential Funds. In addition, applicants assert comply with rule 17g–1 by having the conflicts of interest that may exist. that the relationship of a Fund to a Manager take such actions and make Applicants also state that, as Third Party Fund is fundamentally such approvals as are set forth in rule professionals engaged in the investment different from a Fund’s relationship to 17g–1. Applicants also request an management business, the Fund Tudor Group Entities. Applicants exemption from the requirements of rule Investors will be able to understand and contend that the focus of, and the 17g–1(g) and (h) relating to the filing of evaluate the attendant risks. Applicants rationale for, the protections contained copies of fidelity bonds and related assert that the community of interest in the requested relief are to protect the information with the Commission and among the Fund Investors and the Funds from any overreaching by any the provision of notices to the board of Tudor Group will serve to reduce any Tudor Group Entity in the employer/ directors and paragraph (h) of rule 17g– risk of abuse in transactions involving a employee context, whereas the same 1 relating to the appointment of a Fund and a Tudor Group Entity. concerns are not present with respect to person to make the filings and provide 5. Section 17(d) of the Act and rule the Funds and a Third Party Fund. the notices required by paragraph (g) 17d–1 under the Act prohibit any 8. Section 17(f) of the Act designates and paragraph (j)(3) of rule 17g–1 affiliated person of a registered the entities that may act as investment relating to compliance with the Fund investment company, or any affiliated company custodians, and rule 17f–2 Government Standards. Applicants person of such person, acting as under the Act allows an investment believe the filing requirements are principal, from participating in any joint company to act as self-custodian. burdensome and unnecessary as applied arrangement unless authorized by the Applicants request an exemption from to the Funds. The Manager will Commission. Applicants request relief section 17(f) and rule 17f–2 to permit maintain the materials otherwise to permit affiliated persons of each the following exceptions from the required to be filed with the Fund, or affiliated persons of such requirements of rule 17f–2: (a) A Fund’s Commission by rule 17g–1(g) and agrees persons, to participate in, or effect any investments may be kept in the locked that all material will be subject to transaction in connection with, any files of its Investment Adviser; (b) for examination by the Commission and its joint arrangement in which the Fund or purposes of paragraph (d) of the rule, (i) staff. The Manager will designate a an entity controlled by the Fund is a employees of the Investment Adviser person to maintain the records participant. will be deemed to be employees of the otherwise required to be filed with the Fund, (ii) officers or managers of the Commission under paragraph (g) of the 4 An investment fund or separate account Investment Adviser of a Fund will be rule. Applicants also state that the organized for the benefit of investors who are not deemed to be officers of the Fund, and notices otherwise required to be given to affiliated with a Tudor Group Entity and over which a Tudor Group Entity exercises investment (iii) the Investment Adviser of a Fund or the board of directors would be discretion (the ‘‘Third Party Funds’’). its executive committee will be deemed unnecessary as the Funds will not have

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boards of directors. Each Fund will reasonably designed to prevent violation Transaction, with respect to the possible comply with all other requirements of of the Federal securities laws and to involvement in the transaction of any rule 17g–1. In light of the purpose of the appoint a chief compliance officer. Each affiliated person or promoter of or Funds and the community of interest Fund will comply with rule 38a–1(a), (c) principal underwriter for such Fund, or among the Funds and between the and (d), except that (a) because the any affiliated person of an affiliated Funds and the Managers, the applicants Funds do not have boards of directors, person, promoter, or principal believe that little purpose would be the Manager of each Fund will fulfill the underwriter. served by the requirement even if it responsibilities assigned to a Fund’s 3. The Investment Adviser of a Fund were feasible. board of directors under the rule, and will not invest the funds of such Fund 10. Section 17(j) of the Act and (b) because a Manager would be in any investment in which an paragraph (b) of rule 17j–1 under the considered an interested person of the ‘‘Affiliated Co-Investor’’ (as defined Act make it unlawful for certain Fund, approval by a majority of below) has acquired or proposes to enumerated persons to engage in disinterested directors required by rule acquire the same class of securities of fraudulent or deceptive practices in 38a–1 will not be obtained. In addition, the same issuer and where the connection with the purchase or sale of the Funds will comply with the investment involves a joint enterprise or a security held or to be acquired by a requirement in Rule 38a–1(a)(4)(iv) that other joint arrangement within the registered investment company. Rule the chief compliance officer meet with meaning of rule 17d–1 in which the 17j–1 also requires that every registered the independent directors by having the Fund and an Affiliated Co-Investor are investment company adopt a written chief compliance officer meet with the participants, unless any such Affiliated code of ethics and that every access Manager. Co-Investor, prior to disposing of all or person of a registered investment part of its investment, (a) gives the company report personal securities Applicants’ Conditions Investment Adviser sufficient, but not transactions. Applicants request an Applicants agree that any order less than one day’s, notice of its intent exemption from the provisions of rule granting the requested relief will be to dispose of its investment; and (b) 17j–1, except for the anti-fraud subject to the following conditions: refrains from disposing of its investment provisions of paragraph (b), because 1. Each proposed transaction unless the Fund has the opportunity to they are unnecessarily burdensome as involving a Fund otherwise prohibited dispose of the Fund’s investment prior applied to the Funds. In light of the by section 17(a) or section 17(d) of the to or concurrently with, on the same purpose of the Funds and the Act and rule 17d–1 under the Act to terms as, and pro rata with the community of interest among the Funds which a Fund is a party (each, a and between the Funds and the Affiliated Co-Investor. The term ‘‘Section 17 Transaction’’) will be ‘‘ ’’ Managers, the applicants believe that Affiliated Co-Investor with respect to effected only if its Manager, in a Fund means any person who is: (a) An little purpose would be served by this consultation with its Investment requirement even if it were feasible. ‘‘affiliated person,’’ as such term is Adviser, determines that: defined in section 2(a)(3) of the Act, of 11. Applicants request an exemption (a) The terms of the Section 17 from the requirements in sections 30(a), the Fund (other than a Third Party Transaction, including the Fund); (b) a Tudor Group Entity; (c) an 30(b) and 30(e) of the Act, and the rules consideration to be paid or received, are under those sections, that registered officer, director or employee of the fair and reasonable to the Fund Tudor Group; or (d) an entity (other investment companies prepare and file Investors and do not involve with the Commission and mail to their than a Third Party Fund) in which a overreaching of such Fund or its Fund Tudor Group Entity acts as a general shareholders certain periodic reports Investors on the part of any person and financial statements. Applicants partner or has a similar capacity to concerned; and control the sale or other disposition of contend that the forms prescribed by the (b) The Section 17 Transaction is the entity’s securities. The restrictions Commission for periodic reports have consistent with the interests of the Fund contained in this condition, however, little relevance to the Funds and would Investors, the Fund’s organizational will not be deemed to limit or prevent entail administrative and legal costs that documents and the Fund’s reports to its the disposition of an investment by an outweigh any benefit to the Fund Fund Investors. Affiliated Co-Investor: (a) To its direct Investors. Applicants request exemptive In addition, the Manager of each Fund or indirect wholly-owned subsidiary, to relief to the extent necessary to permit will record and preserve a description of any company (a ‘‘Parent’’) of which the each Fund to report annually to its Fund all Section 17 Transactions, the Affiliated Co-Investor is a direct or Investors. Applicants also request also Manager’s and the Investment Adviser’s indirect wholly-owned subsidiary, or to an exemption from section 30(h) of the findings, the information or materials a direct or indirect wholly-owned Act to the extent necessary to exempt upon which their findings are based and subsidiary of its Parent; (b) to immediate the Managers of each Fund, and any the basis therefor. All such records will family members of the Affiliated Co- other person who may be deemed to be be maintained for the life of a Fund and Investor or a trust or other investment a member of an advisory board of a at least six years thereafter, and will be vehicle established for any Affiliated Fund, from filing Forms 3, 4, and 5 subject to examination by the Co-Investor or any such immediate under section 16(a) of the Exchange Act Commission and its staff.5 family member; or (c) when the with respect to their ownership of 2. The Manager of each Fund, in investment is comprised of securities Interests in a Fund. Applicants assert consultation with the Investment that are (i) listed on any exchange that, because there will be no trading Adviser of each Fund, will adopt, and registered under section 6 of the market and the transfers of Interests will periodically review and update, Exchange Act; (ii) NMS stocks pursuant be severely restricted, these filings are procedures designed to ensure that to section 11A(a)(2) of the Exchange Act unnecessary for the protection of reasonable inquiry is made, before the and rule 600(a) of Regulation NMS investors and burdensome to those consummation of any Section 17 required to make them. thereunder; (iii) government securities 12. Rule 38a–1 requires investment 5 Each Fund will preserve the accounts, books, as defined in section 2(a)(16) of the Act companies to adopt, implement and and other documents required to be maintained in or other securities that meet the periodically review written policies an easily accessible place for the first two years. definition of ‘‘Eligible Security’’ in rule

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2a–7 under the Act; or (iv) listed on or SECURITIES AND EXCHANGE notification by writing to the traded on any foreign securities COMMISSION Commission’s Secretary. exchange or board of trade that satisfies ADDRESSES [Investment Company Act Release No. : Secretary, U.S. Securities regulatory requirements under the law 29410; File No. 812–13661] and Exchange Commission, 100 F of the jurisdiction in which such foreign Street, NE., Washington, DC 20549– securities exchange or board of trade is Transamerica Asset Management, Inc. 1090; Applicants: Adviser, 570 Carillon organized similar to those that apply to et al.; Notice of Application Parkway, St Petersburg, Florida 33716. a national securities exchange or a FOR FURTHER INFORMATION CONTACT: national market system for securities. September 3, 2010 Laura J. Riegel, Senior Counsel, at (202) 4. Each Fund and its Manager will AGENCY: Securities and Exchange 551–6873, or Michael W. Mundt, maintain and preserve, for the life of Commission (‘‘Commission’’). Assistant Director, at (202) 551–6821 each Fund and at least six years ACTION: Notice of an application for an (Division of Investment Management, thereafter, all accounts, books, and other order under section 12(d)(1)(J) of the Office of Investment Company documents constituting the record Investment Company Act of 1940 (the Regulation). forming the basis for the audited ‘‘Act’’) for an exemption from sections SUPPLEMENTARY INFORMATION: The financial statements that are to be 12(d)(1)(A) and (B) of the Act, under sections 6(c) and 17(b) of the Act for an following is a summary of the provided to the Fund Investors, and application. The complete application each annual report of such Fund exemption from section 17(a) of the Act, and under section 6(c) of the Act for an may be obtained via the Commission’s required to be sent to the Fund Web site by searching for the file Investors, and agree that all such exemption from rule 12d1–2(a) under the Act. number, or an applicant using the records will be subject to examination Company name box, at http:// 6 by the Commission and its staff. Summary of the Application: The www.sec.gov/search/search.htm or by 5. The Manager will send to each requested order would (a) permit certain calling (202) 551–8090. Fund Investor who had an Interest in series of registered open-end Applicants’ Representations: the Fund, at any time during the fiscal management investment companies to 1. The Trusts are open-end year then ended, Fund financial acquire shares of other registered open- management investment companies statements that have been audited by end management investment companies registered under the Act. Each Trust is that Fund’s independent accountants. or unit investment trusts (‘‘UITs’’) comprised of separate series (the At the end of each fiscal year, the registered under the Act that are within ‘‘Funds’’) that pursue distinctive Manager will make a valuation or have or outside of the same group of investment objectives and strategies.1 a valuation made of all of the assets of investment companies as the acquiring TF and TST are statutory trusts the Fund as of such fiscal year end in investment companies, and (b) permit organized under the laws of Delaware. a manner consistent with customary certain series of registered open-end TPFG and TPFGII are business trusts practice with respect to the valuation of management investment companies organized under the laws of assets of the kind held by the Fund. In relying on rule 12d1–2 under the Act to Massachusetts. TPP is organized as a addition, within 120 days after the end invest in certain financial instruments. New York trust. TPFG and TPFGII of each fiscal year of the Fund, the Applicants: Transamerica Asset include Funds that operate as feeder Manager of a Fund shall send a report Management, Inc. (the ‘‘Adviser’’), trusts in a master-feeder structure in to each person who was a Fund Investor Transamerica Funds (‘‘TF’’), reliance on section 12(d)(1)(E) of the at any time during the fiscal year then Transamerica Partners Funds Group Act, with TPP as their common 2 ended setting forth tax information (‘‘TPFG’’), Transamerica Partners Funds corresponding master trust. TST necessary for the preparation by the Group II (‘‘TPFGII’’), Transamerica includes Funds that are offered solely to Fund Investor of his or her Federal and Partners Portfolios (‘‘TPP’’) and insurance company separate accounts State income tax returns and a report of Transamerica Series Trust (‘‘TST’’) (‘‘Separate Accounts’’) that fund variable the investment activities of the Fund (collectively, TF, TPFG, TPFGII, TPP, annuity and variable life contracts during that year. and TST, the ‘‘Trusts’’). issued by insurance companies. The 6. Whenever a Fund makes a purchase Filing Dates: The application was Separate Accounts may be registered from or sale to an entity that is affiliated filed on May 28, 2009 and amended on under the Act (‘‘Registered Separate with the Fund by reason of a Tudor November 20, 2009 and August 17, Accounts’’) or unregistered under the Group director, officer, or employee (a) 2010. Act (‘‘Unregistered Separate Accounts’’). serving as an officer, director, general Hearing or Notification of Hearing: An The Adviser, a Florida corporation, is partner or investment adviser of the order granting the application will be entity or (b) having a 5% or more issued unless the Commission orders a 1 Applicants request that the order extend to any investment in the entity, that individual future series of the Trusts and any other existing or hearing. Interested persons may request future registered open-end management investment will not participate in the determination a hearing by writing to the company and any series thereof that is part of the by the Fund of whether or not to effect Commission’s Secretary and serving same ‘‘group of investment companies,’’ as defined the purchase or sale. applicants with a copy of the request, in section 12(d)(1)(G)(ii) of the Act, as the Trusts and that is, or may in the future be advised by the For the Commission, by the Division of personally or by mail. Hearing requests Adviser or any entity controlling, controlled by, or Investment Management, under delegated should be received by the Commission under common control with the Adviser (included authority. by 5:30 p.m. on September 27, 2010, in the term ‘‘Funds.’’). All existing entities that Florence E. Harmon, and should be accompanied by proof of currently intend to rely on the requested order are named as applicants. Any other entity that relies on Deputy Secretary. service on applicants, in the form of an the order in the future will do so only in accordance [FR Doc. 2010–22622 Filed 9–9–10; 8:45 am] affidavit or, for lawyers, a certificate of with the terms and conditions of the application. 2 BILLING CODE 8010–01–P service. Hearing requests should state A Fund of Funds may not invest in an the nature of the writer’s interest, the Underlying Fund that operates as a feeder fund unless the feeder fund is part of the same group of 6 Each Fund will preserve the accounts, books reason for the request, and the issues investment companies (as defined in section and other documents required to be maintained in contested. Persons who wish to be 12(d)(1)(G)(ii)) of the Act as its corresponding an easily accessible place for the first two years. notified of a hearing may request master fund.

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registered under the Investment any investment company in which the Funds. The concern about undue Advisers Act of 1940 (the ‘‘Advisers Same Group Fund of Funds may invest. influence does not arise in connection Act’’). The Adviser serves as investment with a Fund of Funds’ investment in the Applicants’ Legal Analysis adviser to each of the Funds. Affiliated Underlying Funds, since they 2. Applicants request relief to permit Investments in Underlying Funds by are part of the same group of investment (a) certain Funds (each, a ‘‘Fund of Fund of Funds companies. To limit the control that a Funds’’) to acquire shares of (i) other A. Section 12(d)(1) Fund of Funds or its affiliated persons Funds (‘‘Affiliated Underlying Funds’’) may have over an Unaffiliated and (ii) registered open-end 1. Section 12(d)(1)(A) of the Act Underlying Fund, applicants propose a management investment companies (the prohibits a registered investment condition prohibiting: (a) Any ‘‘Unaffiliated Funds’’) and UITs company from acquiring shares of any investment adviser within the meaning (‘‘Unaffiliated Trusts,’’ and together with other investment company if the of section 2(a)(20)(A) of the Act to a the Unaffiliated Funds, the ‘‘Unaffiliated securities represent more than 3% of the Fund of Funds (‘‘Fund of Funds’ Underlying Funds’’) 3 that are not part of total outstanding voting stock of the Adviser’’), any person controlling, the same ‘‘group of investment acquired company, more than 5% of the controlled by or under common control companies,’’ as defined in section total assets of the acquiring company, with the Fund of Funds’ Adviser and 12(d)(1)(G)(ii) of the Act, as the Fund of or, together with the securities of any any investment company or issuer that other investment companies, more than Funds (collectively, the Affiliated would be an investment company but 10% of the total assets of the acquiring Underlying Funds and the Unaffiliated for section 3(c)(1) or section 3(c)(7) of company. Section 12(d)(1)(B) of the Act Underlying Funds are ‘‘Underlying the Act advised or sponsored by the prohibits a registered open-end Funds’’); (b) the Affiliated Underlying Fund of Funds’ Adviser or any person investment company, its principal Funds, or their principal underwriters controlling, controlled by or under underwriter and any broker or dealer and any broker or dealer registered common control with the Fund of from selling the shares of the investment under the Securities Exchange Act of Funds’ Adviser (collectively, the company to another investment 1934 (‘‘Broker’’) to sell shares of the ‘‘Group’’), and (b) any investment company if the sale will cause the Affiliated Underlying Funds to the Fund adviser within the meaning of section acquiring company to own more than of Funds; and (c) the Unaffiliated 2(a)(20)(B) of the Act to a Fund of Funds 3% of the acquired company’s voting (‘‘Fund of Funds’ Subadviser’’), any Funds, or their principal underwriters stock, or if the sale will cause more than person controlling, controlled by or and any Broker to sell shares of the 10% of the acquired company’s voting under common control with the Fund of Unaffiliated Funds to the Funds of stock to be owned by investment Funds’ Subadviser, and any investment Funds. Applicants also request an order companies generally. under sections 6(c) and 17(b) of the Act 2. Section 12(d)(1)(J) of the Act company or issuer that would be an to permit Underlying Funds that are provides that the Commission may investment company but for section affiliated persons of Fund of Funds to exempt any person, security, or 3(c)(1) or 3(c)(7) of the Act (or portion sell their shares to and redeem their transaction, or any class or classes of of such investment company or issuer) shares from the Fund of Funds. persons, securities or transactions, from advised or sponsored by the Fund of 3. Applicants also request an any provision of section 12(d)(1) if the Funds’ Subadviser or any person exemption under section 6(c) of the Act exemption is consistent with the public controlling, controlled by or under to permit any Fund that may invest in interest and the protection of investors. common control with the Fund of Affiliated Underlying Funds in reliance Applicants seek an exemption under Funds’ Subadviser (collectively, the on section 12(d)(1)(G) of the Act (‘‘Same section 12(d)(1)(J) of the Act from the ‘‘Subadviser Group’’) from controlling Group Fund of Funds’’) and that is limitations of sections 12(d)(1)(A) and (individually or in the aggregate) an eligible to invest in securities (as (B) to the extent necessary to permit the Unaffiliated Underlying Fund within defined in section 2(a)(36) of the Act) in Funds of Funds to acquire shares of the the meaning of section 2(a)(9) of the Act. reliance on rule 12d1–2 under the Act, Underlying Funds in excess of the limits 5. Applicants further state that to also invest, consistent with its set forth in section 12(d)(1)(A) of the Act condition 2 precludes a Fund of Funds, investment objectives, policies, and to permit the Affiliated Underlying a Fund of Funds’ Adviser, any Fund of strategies and limitations, in financial Funds and Unaffiliated Funds, their Funds’ Subadviser, promoter or instruments that may not be securities principal underwriters and any Broker principal underwriter of a Fund of within the meaning of section 2(a)(36) of to sell shares to the Funds of Funds in Funds, and any person controlling, the Act (‘‘Other Investments’’). excess of the limits set forth in sections controlled by or under common control 4. Consistent with its fiduciary 12(d)(1)(B) of the Act. with any of those entities (each, a ‘‘Fund obligations under the Act, each Same 3. Applicants state that the proposed of Funds Affiliate’’) from taking Group Fund of Funds’ board of trustees arrangement will not give rise to the advantage of an Unaffiliated Underlying or directors will review the advisory policy concerns underlying sections Fund, with respect to transactions fees charged by the Same Group Fund 12(d)(1)(A) and (B), which include between the Fund of Funds or a Fund of Funds’ investment adviser to ensure concerns about undue influence by a of Funds Affiliate and the Unaffiliated that they are based on services provided fund of funds or its affiliated persons Underlying Fund or the Unaffiliated that are in addition to, rather than over underlying funds, excessive Underlying Fund’s investment duplicative of, services provided layering of fees, and overly complex adviser(s), sponsor, promoter, principal pursuant to the advisory agreement of fund structures. Accordingly, applicants underwriter or any person controlling, believe that the requested exemption is controlled by or under common control 3 Certain of the Unaffiliated Underlying Funds consistent with the public interest and with any of these entities (each, an may be registered under the Act as either UITs or the protection of investors. ‘‘Unaffiliated Fund Affiliate’’). Condition open-end management investment companies and 4. Applicants state that the proposed 5 precludes a Fund of Funds or Fund of have obtained exemptions from the Commission Funds Affiliate (except to the extent it necessary to permit their shares to be listed and arrangement will not result in undue traded on a national securities exchange at influence by a Fund of Funds or its is acting in its capacity as an investment negotiated prices (each, an ‘‘ETF’’). affiliated persons over the Underlying adviser to an Unaffiliated Fund or

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sponsor to an Unaffiliated Trust) from Fund’s advisory contract(s). Applicants the Act in excess of the limits contained causing an Unaffiliated Underlying further state that the Fund of Funds’ in section 12(d)(1)(A), except to the Fund to purchase a security in an Adviser will waive fees otherwise extent that such Underlying Fund: (a) offering of securities during the payable to it by a Fund of Funds in an Acquires such securities in compliance existence of any underwriting or selling amount at least equal to any with section 12(d)(1)(E) of the Act; (b) syndicate of which a principal compensation (including fees received receives securities of another underwriter is an officer, director, pursuant to any plan adopted by an investment company as a dividend or as trustee, member of an advisory board, Unaffiliated Fund pursuant to rule 12b– a result of a plan of reorganization of a Fund of Fund’s Adviser, Fund of Funds’ 1 under the Act) received from an company (other than a plan devised for Subadviser, or employee of the Fund of Unaffiliated Underlying Fund by the the purpose of evading section 12(d)(1) Funds, or a person of which any such Fund of Funds’ Adviser, or an affiliated of the Act); or (c) acquires (or is deemed officer, director, trustee, investment person of the Fund of Funds’ Adviser, to have acquired) securities of another adviser, Fund of Funds’ Subadviser, other than any advisory fees paid to the investment company pursuant to member of an advisory board, or Fund of Funds’ Adviser or an affiliated exemptive relief from the Commission employee is an affiliated person (each, person of the Fund of Funds’ Adviser by permitting such Underlying Fund to: (i) an ‘‘Underwriting Affiliate,’’ except that an Unaffiliated Fund, in connection Acquire securities of one or more any person whose relationship to the with the investment by the Fund of investment companies for short-term Unaffiliated Underlying Fund is covered Funds in the Unaffiliated Underlying cash management purposes, or (ii) by section 10(f) of the Act is not an Fund. engage in interfund borrowing and Underwriting Affiliate). An offering of 8. Applicants state that with respect lending transactions. securities during the existence of any to Registered Separate Accounts that B. Section 17(a) underwriting or selling syndicate of invest in a Fund of Funds, no sales load which a principal underwriter is an will be charged at the Fund of Funds 1. Section 17(a) of the Act generally Underwriting Affiliate is an ‘‘Affiliated level or at the Underlying Fund level. prohibits sales or purchases of securities Underwriting.’’ Other sales charges and service fees, as between a registered investment 6. As an additional assurance that an defined in Rule 2830 of the Conduct company and its affiliated persons or Unaffiliated Fund understands the Rules of the National Association of affiliated persons of such persons. implications of an investment by a Fund Securities Dealers (‘‘NASD Conduct Rule Section 2(a)(3) of the Act defines an of Funds under the requested order, 2830’’),5 if any, will only be charged at ‘‘affiliated person’’ of another person to prior to a Fund of Funds’ investment in the Fund of Funds level or at the include (a) any person directly or the Unaffiliated Fund in excess of the Underlying Fund level, not both. With indirectly owning, controlling, or limit in section 12(d)(1)(A)(i), condition respect to other investments in a Fund holding with power to vote, 5% or more 8 requires that the Fund of Funds and of Funds, any sales charges and/or of the outstanding voting securities of the other person; (b) any person 5% or Unaffiliated Fund execute an agreement service fees charged with respect to more of whose outstanding voting stating, without limitation, that their shares of the Fund of Funds will not securities are directly or indirectly boards of directors or trustees (‘‘Boards’’) exceed the limits applicable to funds of owned, controlled, or held with power and their investment advisers funds as set forth in NASD Conduct to vote by the other person; and (c) any understand the terms and conditions of Rule 2830. person directly or indirectly controlling, the order and agree to fulfill their 9. Applicants represent that each controlled by, or under common control responsibilities under the order Fund of Funds will represent in the (‘‘Participation Agreement’’). Applicants with the other person. Participation Agreement that no 2. Applicants state that the Funds of note that an Unaffiliated Fund (other insurance company sponsoring a than an ETF whose shares are Funds and the Affiliated Funds may be Registered Separate Account funding deemed to be under common control of purchased by a Fund of Funds in the variable insurance contracts will be secondary market) will retain the right the Fund of Funds’ Adviser and permitted to invest in the Fund of therefore affiliated persons of one to reject an investment by a Fund of Funds unless the insurance company 4 another. Applicants also state that the Funds. has certified to the Fund of Funds that 7. Applicants do not believe that the Funds of Funds and the Underlying the aggregate of all fees and charges proposed arrangement will involve Funds may be deemed to be affiliated associated with each contract that excessive layering of fees. With respect persons of one another if a Fund of invests in the Fund of Funds, including to investment advisory fees, applicants Funds acquires 5% or more of an fees and charges at the Separate state that, in connection with the Underlying Fund’s outstanding voting approval of any investment advisory Account, Fund of Funds, and securities. In light of these possible contract under section 15 of the Act, the Underlying Fund levels, are reasonable affiliations, section 17(a) could prevent Board of each Fund of Funds, including in relation to the services rendered, the an Underlying Fund from selling shares a majority of the directors or trustees expenses expected to be incurred, and to and redeeming shares from a Fund of who are not ‘‘interested persons,’’ as the risks assumed by the insurance Funds.6 defined in section 2(a)(19) of the Act company. 3. Section 17(b) of the Act authorizes (‘‘Independent Board Members’’), will 10. Applicants state that the proposed the Commission to grant an order find that the advisory fees charged arrangement will not create an overly permitting a transaction otherwise under the advisory contract are based on complex fund structure. Applicants note services provided that are in addition to, that an Underlying Fund will be 6 Applicants acknowledge that receipt of any rather than duplicative of, services prohibited from acquiring securities of compensation by (a) an affiliated person of a Funds any investment company or company of Funds, or an affiliated person of such person, for provided pursuant to any Underlying the purchase by the Fund of Funds of shares of an relying on section 3(c)(1) or 3(c)(7) of Underlying Fund or (b) an affiliated person of an 4 An Unaffiliated Fund, including an ETF, would Underlying Fund, or an affiliated person of such retain its right to reject any initial investment by a 5 Any reference to NASD Conduct Rule 2830 person, for the sale by the Underlying Fund of its Fund of Funds in excess of the limit in section includes any successor or replacement rule to shares to a Fund of Funds may be prohibited by 12(d)(1)(A)(i) of the Act by declining to execute the NASD Conduct Rule 2830 that may be adopted by section 17(e)(1) of the Act. The Participation Participation Agreement with the Funds. the Financial Industry Regulatory Authority. Agreement also will include this acknowledgement.

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prohibited by section 17(a) if it finds of the Exchange Act or by the outstanding voting securities of the that (a) the terms of the proposed Commission; and (iv) the acquired Unaffiliated Underlying Fund, then the transaction are fair and reasonable and company has a policy that prohibits it Group or the Subadviser Group (except do not involve overreaching on the part from acquiring securities of registered for any member of the Group or the of any person concerned; (b) the open-end management investment Subadviser Group that is a Separate proposed transaction is consistent with companies or registered unit investment Account) will vote its shares of the the policies of each registered trusts in reliance on section 12(d)(1)(F) Unaffiliated Underlying Fund in the investment company involved; and (c) or (G) of the Act. same proportion as the vote of all other the proposed transaction is consistent 2. Rule 12d1–2 under the Act permits holders of the Unaffiliated Underlying with the general purposes of the Act. a registered open-end investment Fund’s shares. This condition will not Section 6(c) of the Act permits the company or a registered unit investment apply to the Subadviser Group with Commission to exempt any person or trust that relies on section 12(d)(1)(G) of respect to the Unaffiliated Underlying transactions from any provision of the the Act to acquire, in addition to Fund for which the Fund of Funds’ Act if such exemption is necessary or securities issued by another registered Subadviser or a person controlling, appropriate in the public interest and investment company in the same group controlled by, or under common control consistent with the protection of of investment companies, government with the Fund of Funds’ Subadviser acts investors and the purposes fairly securities, and short-term paper: (1) as the investment adviser within the intended by the policy and provisions of Securities issued by an investment meaning section 2(a)(20)(A) of the Act the Act. company that is not in the same group (in the case of an Unaffiliated Fund) or 4. Applicants submit that the of investment companies, when the as the sponsor (in the case of an proposed transactions satisfy the acquisition is in reliance on section Unaffiliated Trust). A Registered requirements for relief under sections 12(d)(1)(A) or 12(d)(1)(F) of the Act; (2) Separate Account will seek voting 17(b) and 6(c) of the Act as the terms are securities (other than securities issued instructions from its contract holders fair and reasonable and do not involve by an investment company); and (3) and will vote its shares of an overreaching. Applicants state that the securities issued by a money market Unaffiliated Underlying Fund in terms upon which an Underlying Fund fund, when the investment is in reliance accordance with the instructions will sell its shares to or purchase its on rule 12d1–1 under the Act. For the received and will vote those shares for shares from a Fund of Funds will be purposes of rule 12d1–2, ‘‘securities’’ which no instructions were received in based on the net asset value of each means any security as defined in section the same proportion as the shares for Underlying Fund.7 Applicants also state 2(a)(36) of the Act. which instructions were received. An that the proposed transactions will be 3. Applicants state that the proposed Unregistered Separate Account will consistent with the policies of each arrangement would comply with the either (a) vote its shares of the Fund of Funds and Underlying Fund, provisions of rule 12d1–2 under the Act, Unaffiliated Underlying Fund in the and with the general purposes of the but for the fact that the Same Group same proportion as the vote of all other Act. Fund of Funds may invest a portion of holders of the Unaffiliated Underlying their assets in Other Investments. Fund’s shares; or (b) seek voting Other Investments by Same Group Fund Applicants request an order under instructions from its contract holders of Funds section 6(c) of the Act for an exemption and vote its shares in accordance with 1. Section 12(d)(1)(G) of the Act from rule 12d1–2(a) to allow the Same the instructions received and vote those provides that section 12(d)(1) will not Group Fund of Funds to invest in Other shares for which no instructions were apply to securities of an acquired Investments. Applicants assert that received in the same proportion as the company purchased by an acquiring permitting the Same Group Fund of shares for which instructions were company if: (i) The acquiring company Funds to invest in Other Investments as received. and acquired company are part of the described in the application would not 2. No Fund of Funds or Fund of same group of investment companies; raise any of the concerns that the Funds Affiliate will cause any existing (ii) the acquiring company holds only requirements of section 12(d)(1) were or potential investment by the Fund of securities of acquired companies that designed to address. Funds in shares of an Unaffiliated are part of the same group of investment Underlying Fund to influence the terms Applicants’ Conditions of any services or transactions between companies, government securities, and the Fund of Funds or a Fund of Funds short-term paper; (iii) the aggregate sales A. Investments in Underlying Funds by Affiliate and the Unaffiliated loads and distribution-related fees of the Funds of Funds Underlying Fund or an Unaffiliated acquiring company and the acquired Applicants agree that any order Fund Affiliate. company are not excessive under rules granting the requested relief will be 3. The Board of each Fund of Funds, adopted pursuant to section 22(b) or subject to the following conditions: including a majority of the Independent section 22(c) of the Act by a securities 1. The members of the Group will not Board Members, will adopt procedures association registered under section 15A control (individually or in the aggregate) reasonably designed to assure that the an Unaffiliated Underlying Fund within Funds of Funds’ Adviser and any Fund 7 Applicants note that a Fund of Funds generally would purchase and sell shares of an Unaffiliated the meaning of section 2(a)(9) of the Act. of Funds’ Subadviser are conducting the Underlying Fund that operates as an ETF through The members of a Subadviser Group investment program of the Fund of secondary market transactions at market prices will not control (individually or in the Funds without taking into account any rather than through principal transactions with the aggregate) an Unaffiliated Underlying consideration received by the Fund of Unaffiliated Underlying Fund at net asset value. To the extent that a Fund of Funds purchases or Fund within the meaning of section Funds or a Fund of Funds Affiliate from redeems shares from an ETF that is an affiliated 2(a)(9) of the Act. If, as a result of a an Unaffiliated Underlying Fund or an person, or an affiliated person of an affiliated decrease in the outstanding voting Unaffiliated Fund Affiliate in person of the Fund of Funds, in exchange for a securities of an Unaffiliated Underlying connection with any services or basket of specified securities as described in the application for the exemptive order upon which the Fund, the Group or the Subadviser transactions. ETF relies, applicants also request relief from Group, each in the aggregate, becomes a 4. Once an investment by a Fund of section 17(a) for those transactions. holder of more than 25% of the Funds in the securities of an

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Unaffiliated Fund exceeds the limit of Underwriting Affiliate have changed the Act, the Board of each Fund of section 12(d)(1)(A)(i) of the Act, the significantly from prior years. The Funds, including a majority of the Board of the Unaffiliated Fund, Board of the Unaffiliated Fund will take Independent Board Members, will find including a majority of the Independent any appropriate actions based on its that the advisory fees charged under the Board Members, will determine that any review, including, if appropriate, the advisory contract are based on services consideration paid by the Unaffiliated institution of procedures designed to provided that are in addition to, rather Fund to a Fund of Funds or a Fund of assure that purchases of securities in than duplicative of, the services Funds Affiliate in connection with any Affiliated Underwritings are in the best provided under the advisory contract(s) services or transactions: (a) Is fair and interests of shareholders. of any Underlying Fund in which the reasonable in relation to the nature and 7. Each Unaffiliated Fund will Fund of Funds may invest. This finding, quality of the services and benefits maintain and preserve permanently in and the basis upon which the finding received by the Unaffiliated Fund; (b) is an easily accessible place a written copy was made, will be recorded fully in the within the range of consideration that of the procedures described in the minute books of the appropriate Fund of the Unaffiliated Fund would be required preceding condition, and any Funds. to pay to another unaffiliated entity in modifications to such procedures, and 10. The Funds of Funds’ Adviser will connection with the same services or will maintain and preserve for a period waive fees otherwise payable to it by the transactions; and (c) does not involve of not less than six years from the end Fund of Funds in an amount at least overreaching on the part of any person of the fiscal year in which any purchase equal to any compensation (including concerned. This condition does not in an Affiliated Underwriting occurred, fees received pursuant to a plan adopted apply with respect to any services or the first two years in an easily accessible by an Unaffiliated Fund pursuant to rule transactions between an Unaffiliated place, a written record of each purchase 12b–1 under the Act) received by the Fund and its investment adviser(s), or of securities in an Affiliated Fund of Funds’ Adviser or an affiliated any person controlling, controlled by, or Underwriting once an investment by a person of the Fund of Funds’ Adviser under common control with such Fund of Funds in the securities of an from an Unaffiliated Underlying Fund, investment adviser(s). Unaffiliated Fund exceeds the limit of other than any advisory fees paid to the 5. No Fund of Funds or Fund of section 12(d)(1)(A)(i) of the Act, setting Fund of Funds’ Adviser or its affiliated Funds Affiliate (except to the extent it forth from whom the securities were person by the Unaffiliated Fund, in is acting in its capacity as an investment acquired, the identity of the connection with the investment by the adviser to an Unaffiliated Fund or underwriting syndicate’s members, the Fund of Funds in the Unaffiliated sponsor to an Unaffiliated Trust) will terms of the purchase, and the Underlying Fund. Any Fund of Funds’ cause an Unaffiliated Underlying Fund information or materials upon which Subadviser will waive fees otherwise to purchase a security in an Affiliated the determinations of the Unaffiliated payable to the Fund of Funds’ Underwriting. Fund’s Board were made. Subadviser, directly or indirectly, by the 6. The Board of an Unaffiliated Fund, 8. Prior to an investment in shares of Fund of Funds in an amount at least including a majority of the Independent an Unaffiliated Fund in excess of the equal to any compensation received Board Members, will adopt procedures limit in section 12(d)(1)(A)(i) of the Act, from an Unaffiliated Underlying Fund reasonably designed to monitor any the Fund of Funds and the Unaffiliated by the Fund of Funds’ Subadviser, or an purchases of securities by the Fund will execute a Participation affiliated person of the Fund of Funds’ Unaffiliated Fund in an Affiliated Agreement stating, without limitation, Subadviser, other than any advisory fees Underwriting, once an investment by a that their boards of directors or trustees paid to the Fund of Funds’ Subadviser Fund of Funds in the securities of the and their investment advisers or its affiliated person by an Unaffiliated Unaffiliated Fund exceeds the limit of understand the terms and conditions of Fund, in connection with the section 12(d)(1)(A)(i) of the Act, the order and agree to fulfill their investment by the Fund of Funds in the including any purchases made directly responsibilities under the order. At the Unaffiliated Underlying Fund made at from an Underwriting Affiliate. The time of its investment in shares of an the direction of the Fund of Funds’ Board of the Unaffiliated Fund will Unaffiliated Fund in excess of the limit Subadviser. In the event that the Fund review these purchases periodically, but in section 12(d)(1)(A)(i), a Fund of of Funds’ Subadviser waives fees, the no less frequently than annually, to Funds will notify the Unaffiliated Fund benefit of the waiver will be passed determine whether the purchases were of the investment. At such time, the through to the Fund of Funds. influenced by the investment by the Fund of Funds also will transmit to the 11. With respect to Registered Fund of Funds in shares of the Unaffiliated Fund a list of the names of Separate Accounts that invest in a Fund Unaffiliated Fund. The Board of the each Fund of Funds Affiliate and of Funds, no sales load will be charged Unaffiliated Fund will consider, among Underwriting Affiliate. The Fund of at the Fund of Funds level or at the other things: (a) Whether the purchases Funds will notify the Unaffiliated Fund Underlying Fund level. Other sales were consistent with the investment of any changes to the list as soon as charges and service fees, as defined in objectives and policies of the reasonably practicable after a change NASD Conduct Rule 2830, if any, will Unaffiliated Fund; (b) how the occurs. The Unaffiliated Fund and the only be charged at the Fund of Funds performance of securities purchased in Fund of Funds will maintain and level or at the Underlying Fund level, an Affiliated Underwriting compares to preserve a copy of the order, the not both. With respect to other the performance of comparable Participation Agreement, and the list investments in a Fund of Funds, any securities purchased during a with any updated information for the sales charges and/or service fees comparable period of time in duration of the investment and for a charged with respect to shares of a Fund underwritings other than Affiliated period of not less than six years of Funds will not exceed the limits Underwritings or to a benchmark such thereafter, the first two years in an applicable to funds of funds set forth in as a comparable market index; and (c) easily accessible place. NASD Conduct Rule 2830. whether the amount of securities 9. Prior to reliance on the requested 12. No Underlying Fund will acquire purchased by the Unaffiliated Fund in order and subsequently in connection securities of any other investment Affiliated Underwritings and the with the approval of any investment company or company relying on section amount purchased directly from an advisory contract under section 15 of 3(c)(1) or 3(c)(7) of the Act in excess of

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the limits contained in section system plan establishing procedures accordance with the procedures set 12(d)(1)(A) of the Act, except to the under Rule 605 of Regulation NMS forth in the Plan regarding new extent that such Underlying Fund: (a) (‘‘Joint-SRO Plan’’ or ‘‘Plan’’).3 Under the participants. Acquires such securities in compliance proposed amendment, EGDA and EDGX The Commission finds that the with section 12(d)(1)(E) of the Act; (b) would be added as participants to the amendment to the Joint-SRO Plan is receives securities of another Joint-SRO Plan. Notice of filing and an consistent with the requirements of the investment company as a dividend or as order granting temporary effectiveness Act and the rules and regulations a result of a plan of reorganization of a of the proposal were published in the thereunder. Specifically, the company (other than a plan devised for Federal Register on April 9, 2010.4 The Commission finds that the proposed the purpose of evading section 12(d)(1) Commission did not receive any amendment, which permits EDGA and of the Act); or (c) acquires (or is deemed comments on the proposed amendment. EDGX to become participants to the to have acquired) securities of another This order approves the amendment on Joint-SRO Plan, is consistent with the investment company pursuant to a permanent basis. requirements of Section 11A of the Act,5 exemptive relief from the Commission 6 II. Discussion and Rule 608 of Regulation NMS. The permitting such Underlying Fund to: (i) Plan established appropriate procedures acquire securities of one or more The Joint-SRO Plan establishes for market centers to follow in making investment companies for short-term procedures for market centers to follow their monthly reports required pursuant cash management purposes, or (ii) in making their monthly reports to Rule 605 of Regulation NMS, engage in interfund borrowing and required pursuant to Rule 605 of available to the public in a uniform, Regulation NMS, available to the public lending transactions. readily accessible, and usable electronic in a uniform, readily accessible, and format. The amendment to include B. Other Investments by Same Group usable electronic format. The current EDGA and EDGX as participants in the Fund of Funds participants to the Joint-SRO Plan are Joint-SRO Plan should contribute to the Applicants agree that the relief to the American Stock Exchange LLC (n/k/ maintenance of fair and orderly markets permit the Same Group Fund of Funds a NYSE Amex, Inc.), BATS Exchange, and remove impediments to and perfect to invest in Other Investments shall be Inc., Boston Stock Exchange, Inc. (n/k/ the mechanisms of a national market subject to the following condition: a NASDAQ OMX BX, Inc.), Chicago system by facilitating the uniform 13. Applicants will comply with all Board Options Exchange, Incorporated, public disclosure of order execution provisions of rule 12d1–2 under the Act, Chicago Stock Exchange, Inc., information by all market centers. The except for paragraph (a)(2), to the extent Cincinnati Stock Exchange, Inc. (n/k/a Commission believes that it is necessary that it restricts any Same Group Fund of National Stock ExchangeSM), and appropriate in the public interest, Funds from investing in Other International Securities Exchange, LLC, for the maintenance of fair and orderly Investments as described in the The NASDAQ Stock Market LLC, markets, to remove impediments to, and application. National Association of Securities perfect mechanisms of, a national For the Commission, by the Division of Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), New York market system to allow EDGA and Investment Management, pursuant to EDGX to become participants in the delegated authority. Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC), Pacific Exchange, Joint-SRO Plan. The Commission finds, Florence E. Harmon, therefore, that approving amendment to Deputy Secretary. Inc. (n/k/a NYSE Arca, Inc.), and Philadelphia Stock Exchange, Inc. (n/k/ the Joint-SRO Plan is appropriate and [FR Doc. 2010–22623 Filed 9–9–10; 8:45 am] 7 a NASDAQ OMX PHLX, Inc.). The consistent with Section 11A of the Act. BILLING CODE 8010–01–P proposed amendment would add EDGA IV. Conclusion and EDGX as participants to the Joint- SRO Plan. It is therefore ordered, pursuant to SECURITIES AND EXCHANGE Section 11A(a)(3)(B) of the Act 8 and COMMISSION Section III(b) of the Joint-SRO Plan provides that a national securities Rule 608 of Regulation NMS,9 that the [Release No. 34–62823, File No. 4–51] exchange or national securities amendment to the Joint-SRO Plan to add association may become a party to the EDGA and EDGX as participants to the Joint Industry Plan; Order Approving Plan by: (i) Executing a copy of the Plan, Joint-SRO Plan is approved and EDGA Amendment To Add EDGA Exchange, as then in effect (with the only changes and EDGX are authorized to each act Inc. and EDGX Exchange, Inc. as being the addition of the new jointly with the other participants to the Participants to National Market System participant’s name in Section 11(a) of Joint-SRO Plan in planning, developing, Plan Establishing Procedures Under the Plan and the new participant’s operating, or regulating the Plan as a Rule 605 of Regulation NMS single-digit code in Section VI(a)(1) of means of facilitating a national market system. September 1, 2010. the Plan) and (ii) submitting such executed plan to the Commission for For the Commission, by the Division of I. Introduction approval. Each of EDGA and EDGX has Trading and Markets, pursuant to delegated On March 30, 2010, EDGA Exchange, submitted a signed copy of the Joint- authority.10 Inc. (‘‘EDGA’’) and EDGX Exchange, Inc. SRO Plan to the Commission in Florence E. Harmon, (‘‘EDGX’’) submitted to the Securities Deputy Secretary. 3 17 CFR 242.605. On April 12, 2001, the and Exchange Commission (‘‘SEC’’ or [FR Doc. 2010–22552 Filed 9–9–10; 8:45 am] Commission approved a national market system ‘‘Commission’’) in accordance with plan for the purpose of establishing procedures for BILLING CODE 8010–01–P Section 11A of the Securities Exchange market centers to follow in making their monthly 1 reports available to the public under Rule 11Ac1– Act of 1934 (‘‘Act’’) and Rule 608 of 5 15 U.S.C. 78k–1. 2 5 under the Act (n/k/a Rule 605 of Regulation Regulation NMS, a proposed 6 NMS). See Securities Exchange Act Release No. 17 CFR 242.608. amendment to the national market 44177 (April 12, 2001), 66 FR 19814 (April 17, 7 15 U.S.C. 78k–1. 2001). 8 15 U.S.C. 78k–1(a)(3)(B). 1 15 U.S.C. 78k–1. 4 See Securities Exchange Act Release No. 61824 9 17 CFR 242.608. 2 17 CFR 242.608. (April 1, 2010), 75 FR 18246 (April 9, 2010). 10 17 CFR 200.30–3(a)(29).

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SECURITIES AND EXCHANGE SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s COMMISSION COMMISSION Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Sunshine Act Meetings [Release No. 34–62833; File No. SR– Change NYSEArca–2010–82] 1. Purpose Notice is hereby given, pursuant to the provisions of the Government in the Self-Regulatory Organizations; NYSE Currently, Arca Securities is the approved outbound order routing Sunshine Act, Public Law 94–409, that Arca, Inc.; Notice of Filing and facility of the Exchange.3 Arca the Securities and Exchange Immediate Effectiveness of Proposed Securities is also the approved Commission (‘‘SEC’’) and the Rule Change Extending the Pilot Commodity Futures Trading outbound order routing facility of the Period To Receive Inbound Routes of New York Stock Exchange LLC Commission (‘‘CFTC’’) will hold public Equities Orders From Archipelago roundtable discussions on Tuesday, (‘‘NYSE’’) and NYSE Amex LLC (‘‘NYSE Securities LLC ’’ 4 September 14, 2010 at the CFTC’s Amex ). The Exchange, through NYSE Arca Equities, has also been previously headquarters at Three Lafayette Centre, September 2, 2010. approved to receive inbound routes of Lobby Level Hearing Room (Room Pursuant to Section 19(b)(1) 1 of the equities orders by Arca Securities in its 1000), 1155 21st Street, NW., Securities Exchange Act of 1934 (the capacity as an order routing facility of Washington, DC 20581 and on ‘‘Act’’) and Rule 19b–4 thereunder,2 the NYSE and NYSE Amex.5 The Wednesday, September 15, 2010 at the notice is hereby given that, on August Exchange’s authority to receive inbound SEC’s headquarters at 100 F Street, NE., 31, 2010, NYSE Arca, Inc. (the routes of equities orders by Arca Washington, DC 20549 in the ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with Securities is subject to a pilot period Auditorium, (Room L–002). the Securities and Exchange ending September 30, 2010.6 The The meeting on Tuesday will begin at Commission (the ‘‘Commission’’) the Exchange hereby seeks to extend the 8:45 a.m. and the meeting on proposed rule change as described in previously approved pilot period (with Wednesday will begin at 9 a.m., with Items I and II below, which Items have the attendant obligations and both meetings being open to the public, been prepared by the self-regulatory conditions) for an additional 6 months, with seating on a first-come, first-served organization. The Commission is through March 31, 2011. basis. Visitors will be subject to security publishing this notice to solicit 2. Statutory Basis checks. comments on the proposed rule change The proposed rule change is This Sunshine Act notice is being from interested persons. consistent with Section 6(b) 7 of the issued because a majority of the I. Self-Regulatory Organization’s Securities Exchange Act of 1934 (the Commission may attend the meetings. Statement of the Terms of Substance of ‘‘Act’’), in general, and furthers the Commissioner Aguilar, as duty the Proposed Rule Change objectives of Section 6(b)(5) 8 in officer, determined that no earlier notice particular in that it is designed to thereof was possible. The Exchange proposes to extend the prevent fraudulent and manipulative The agenda for the meeting on pilot period of the Exchange’s prior acts and practices, to promote just and September 14, 2010 includes a panel approvals to receive inbound routes of equitable principles of trade, to foster discussion concerning data for swaps equities orders from Archipelago Securities LLC (‘‘Arca Securities’’), an 3 See Securities Exchange Act Release No. 54238 and security-based swaps, swap data (July 28, 2006), 71 FR 44758 (August 7, 2006) (order repositories, security-based swap data NYSE Arca affiliated ETP Holder. The approving SR–NYSEArca–2006–13); see also, repositories, and real-time public text of the proposed rule change is Securities Exchange Act Release No. 52497 reporting in the context of certain available at the Exchange, the (September 22, 2005), 70 FR 56949 (September 29, Commission’s Public Reference Room, 2005)(SR–PCX–2005–90); see also, Securities authority that Sections 727, 728, and Exchange Act Release No. 44983 (October 25, 2001), 763 of the Dodd-Frank Wall Street and http://www.nyse.com. 66 FR 55225 (November 1, 2001) (SR–PCX–00–25); see also, Securities Exchange Act Release No. 58681 Reform and Consumer Protection Act II. Self-Regulatory Organization’s (‘‘Act’’) granted the Agencies (September 29, 2008), 73 FR 58285 (October 6, Statement of the Purpose of, and the 2008) (order approving SR–NYSEArca–2008–90). respectively. Statutory Basis for, the Proposed Rule 4 See Securities Exchange Act Release No. 55590 The agenda for the meeting on (April 5, 2007), 72 FR 18707 (April 13, 2007) (notice Change of immediate effectiveness of SR–NYSE–2007–29); September 15, 2010 includes a panel see also, Securities Exchange Act Release No. 58680 discussion concerning swap execution In its filing with the Commission, the (September 29, 2008), 73 FR 58283 (October 6, facilities and security-based swap self-regulatory organization included 2008) (order approving SR–NYSE–2008–76). See execution facilities in the context of statements concerning the purpose of, Securities Exchange Act Release No. 59009 (November 24, 2008), 73 FR 73363 (December 2, certain authority that Sections 733 and and basis for, the proposed rule change 2008) (order approving SR–NYSEALTR–2008–07); 763 of Act granted the Agencies. and discussed any comments it received see also, Securities Exchange Act Release No. 59473 For further information, please on the proposed rule change. The text (February 27, 2009) 74 FR 9853 (March 6, 2009) of those statements may be examined at (order approving SR–NYSEALTR–2009–18). contact the CFTC’s Office of Public 5 See Securities Exchange Act Release No. 58681 Affairs at (202) 418–5080 or the SEC’s the places specified in Item IV below. (September 29, 2008), 73 FR 58285 (October 6, office of Public Affairs at (202) 551– The Exchange has prepared summaries, 2008) (order approving NYSEArca–2008–90); see 4120. set forth in sections A, B, and C below, also, Securities Exchange Act Release No. 59010 of the most significant parts of such (November 24, 2008), 73 FR 73373 (December 2, Dated: September 8, 2010. 2008) (order approving SR–NYSEArca–2008–130). statements. 6 See Securities Exchange Act Release No. 61813 Elizabeth M. Murphy, (March 31, 2010), 75 FR 17459 (April 6, 2010) Secretary. (Notice of immediate effectiveness of SR– NYSEArca–2010–19). [FR Doc. 2010–22751 Filed 9–8–10; 4:15 pm] 1 15 U.S.C.78s(b)(1). 7 15 U.S.C. 78f(b). BILLING CODE 8010–01–P 2 17 CFR 240.19b–4. 8 15 U.S.C. 78f(b)(5).

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cooperation and coordination with temporarily suspend such rule change if For the Commission, by the Division of persons engaged in facilitating it appears to the Commission that such Trading and Markets, pursuant to delegated transactions in securities, and to remove action is necessary or appropriate in the authority.12 impediments to and perfect the public interest, for the protection of Florence E. Harmon, mechanism of a free and open market investors or otherwise in furtherance of Deputy Secretary. and a national market system. the purposes of the Act. [FR Doc. 2010–22562 Filed 9–9–10; 8:45 am] Specifically, the proposed rule change IV. Solicitation of Comments BILLING CODE 8010–01–P will allow the Exchange to continue receiving inbound routes of equities Interested persons are invited to orders from Arca Securities acting in its submit written data, views, and SECURITIES AND EXCHANGE capacity as a facility of the NYSE and arguments concerning the foregoing, COMMISSION NYSE Amex, in a manner consistent including whether the proposed rule with prior approvals and established change is consistent with the Act. protections. The Exchange believes that Comments may be submitted by any of [Release No. 34–62847; File No. SR–CBOE– extending the previously approved pilot the following methods: 2010–077] period for six months will permit both Electronic Comments Self-Regulatory Organizations; the Exchange and the Commission to • further assess the impact of the Use the Commission’s Internet Chicago Board Options Exchange, Exchange’s authority to receive direct comment form (http://www.sec.gov/ Incorporated; Notice of Proposed Rule rules/sro.shtml); or Change, as Modified by Amendment inbound routes of equities orders via • Arca Securities (including the attendant Send an e-mail to rule- No. 1, To List Series With Up to 12 obligations and conditions).9 [email protected]. Please include File Expiration Months for Broad-Based Number SR–NYSEArca–2010–82 on the Security Index Options Upon Which B. Self-Regulatory Organization’s subject line. the Exchange Calculates a Volatility Statement on Burden on Competition Paper Comments Index The Exchange does not believe that • the proposed rule change will impose Send paper comments in triplicate September 3, 2010. to Elizabeth M. Murphy, Secretary, any burden on competition that is not Pursuant to Section 19(b)(1) of the necessary or appropriate in furtherance Securities and Exchange Commission, Securities Exchange Act of 1934 (the of the purposes of the Act. 100 F Street, NE., Washington, DC 20549–1090. ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 C. Self-Regulatory Organization’s All submissions should refer to File notice is hereby given that on August Statement on Comments on the Number SR–NYSEArca–2010–82. This 24, 2010, the Chicago Board Options Proposed Rule Change Received From file number should be included on the Exchange, Incorporated (the ‘‘Exchange’’ Members, Participants, or Others subject line if e-mail is used. To help the or ‘‘CBOE’’) filed with the Securities and No written comments were solicited Commission process and review your Exchange Commission (the or received with respect to the proposed comments more efficiently, please use ‘‘Commission’’) the proposed rule rule change. only one method. The Commission will change as described in Items I and II post all comments on the Commission’s III. Date of Effectiveness of the below, which Items have been prepared Internet Web site (http://www.sec.gov/ by the Exchange. On September 2, 2010, Proposed Rule Change and Timing for rules/sro.shtml). Copies of the Commission Action the Exchange filed Amendment No. 1, submission, all subsequent which replaced the original filing in its Because the foregoing rule change amendments, all written statements entirety. The Commission is publishing does not: (1) Significantly affect the with respect to the proposed rule this notice to solicit comments on the protection of investors or the public change that are filed with the proposed rule change, as amended, from interest; (2) impose any significant Commission, and all written interested persons. burden on competition; and (3) become communications relating to the operative for 30 days after the date of proposed rule change between the I. Self-Regulatory Organization’s this filing, or such shorter time as the Commission and any person, other than Statement of the Terms of Substance of Commission may designate, it has those that may be withheld from the the Proposed Rule Change become effective pursuant to Section public in accordance with the 19(b)(3)(A) of the Act 10 and Rule 19b– provisions of 5 U.S.C. 552, will be CBOE proposes to amend Rule 4(f)(6) thereunder.11 available for Web site viewing and 24.9(a)(2), Terms of Index Option At any time within 60 days of the printing in the Commission’s Public Contracts, to allow the Exchange to list filing of such proposed rule change the Reference Room on official business up to twelve expiration months for Commission summarily may days between the hours of 10 a.m. and options that overlie broad-based 3 p.m. Copies of such filing also will be security indexes for which options are 9 The Exchange is currently analyzing the available for inspection and copying at condition regarding non-public information and used by the Exchange to calculate a system changes in order to better reflect the the principal office of the Exchange. All volatility index. The text of the rule operation of Arca Securities. comments received will be posted proposal is available on the Exchange’s 10 15 U.S.C. 78s(b)(3)(A). without change; the Commission does Web site (http://www.cboe.org/legal), at 11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– not edit personal identifying 4(f)(6)(iii) requires that a self-regulatory the Exchange’s principal office, and at organization submit to the Commission written information from submissions. You the Commission’s Public Reference notice of its intent to file the proposed rule change, should submit only information that Room. along with a brief description and text of the you wish to make available publicly. All proposed rule change, at least five business days submissions should refer to File prior to the date of filing of the proposed rule 12 17 CFR 200.30–3(a)(12). change, or such shorter time as designated by the Number SR–NYSEArca-2010–82 and Commission. The Exchange has satisfied this should be submitted on or before 1 15 U.S.C. 78s(b)(1). requirement. October 1, 2010. 2 17 CFR 240.19b–4.

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II. Self-Regulatory Organization’s recently announced plans to issue an respond quickly to investor demand for Statement of the Purpose of, and exchange-traded fund (‘‘ETF’’) 4 that new volatility-based products. Statutory Basis for, the Proposed Rule holds VIX futures or an economically Capacity Change equivalent position and Bank of CBOE has analyzed its capacity and In its filing with the Commission, the America Merrill Lynch recently represents that it believes the Exchange self-regulatory organization included announced plans to issue an ETN based and the Options Price Reporting statements concerning the purpose of on forward implied volatility of S&P 500 Authority have the necessary systems and basis for the proposed rule change Index options. Additionally, the capacity to handle the additional traffic and discussed any comments it received Exchange is aware of other issuers that associated with the ability to list up to on the proposed rule change. The text are engaged in similar volatility product twelve expiration months for broad- of those statements may be examined at initiatives. based security index options upon the places specified in Item IV below. The Exchange was previously granted which the Exchange calculates a The Exchange has prepared summaries, approval to list a seventh expiration in volatility index. set forth in sections A, B, and C below, broad-based index classes on which the of the most significant parts of such Exchange calculates a 3-month volatility 2. Statutory Basis 5 statements. index. In order to satisfy growing demand for a wider variety of volatility Because the increase in the number of A. Self-Regulatory Organization’s investment strategies, the Exchange is expiration months is limited to options Statement of the Purpose of, and the seeking to increase, from seven to overlying broad based security indexes Statutory Basis for, the Proposed Rule twelve, the number of expiration upon which the Exchange calculates a Change months for broad-based security index volatility index and because the series could be added without presenting 1. Purpose options upon which the Exchange calculates a volatility index. capacity problems, the Exchange Amendment 1 replaces the original Rule 24.9(a)(2) currently permits the believes the rule proposal is consistent filing in its entirety. The purpose of Exchange to list up to seven expiration with the Act and the rules and Amendment 1 is to provide additional months at any one time for any broad- regulations under the Act applicable to reasoning for the proposed rule text based security index option contracts, a national securities exchange and, in change and to make a technical change including reduced-value and jumbo particular, the requirements of Section to Rule 24.9(a)(2) by deleting an option contracts, (e.g., DJX, NDX, RUT 6(b) of the Act.7 Specifically, the unnecessary word from the text of the and SPX) upon which the Exchange Exchange believes that the proposed rule. calculates a constant three-month rule change is consistent with the The purpose of this rule filing is to volatility index. When the Exchange Section 6(b)(5) Act 8 requirements that amend Rule 24.9(a)(2), Terms of Index proposed the allowance of a seventh the rules of an exchange be designed to Options, to allow the Exchange to list up expiration month for broad-based promote just and equitable principles of to twelve expiration months for broad- security index option contracts on trade, to prevent fraudulent and based security index options upon which CBOE calculates a constant three- manipulative acts and, in general, to which the Exchange calculates a month volatility index, the Commission protect investors and the public interest. volatility index. Currently, Rule noted that the change ‘‘will result in a B. Self-Regulatory Organization’s 24.9(a)(2) permits the Exchange to list more consistent and predictable Statement on Burden on Competition only seven expiration months in any calculation in which the option series index options upon which the Exchange that bracket three months to expiration CBOE does not believe that the calculates a constant three-month will always expire one month apart proposed rule change will impose any volatility index. ***’’ 6 In this current proposal, the burden on competition not necessary or Since 2009, volatility trading has Exchange is seeking to create flexibility appropriate in furtherance of the experienced significant growth in terms that would enable it to create volatility purposes of the Act. of both trading volume and in the indexes of varying lengths in response C. Self-Regulatory Organization’s variety of products offered. For to demand for a wider variety of Statement on Comments on the example, through the first six months in volatility investment strategies. As a Proposed Rule Change Received From ‘‘ ’’ 2010, CBOE Volatility Index ( VIX ) result, the Exchange is not proposing to Members, Participants, or Others options averaged close to 250,000 tie the number of expiration months The Exchange neither solicited nor contracts traded per day, a 150% permitted to a specific volatility received comments on the proposal. increase compared to the same period in calculation period and is proposing to 2009. VIX futures volume increased delete the phrase ‘‘constant three- III. Date of Effectiveness of the 440%, averaging 13,500 contracts per month’’ from the existing text of Rule Proposed Rule Change and Timing for day compared to 2,500 contracts per day 24.9(a)(2). Commission Action during the same period in 2009. The Exchange believes that the Similarly, since 2009, three exchange- Within 45 days of the date of additional expirations, which will be publication of this notice in the Federal traded notes (‘‘ETNs’’) linked to the listed in monthly intervals over a one- performance of VIX futures have been Register or within such longer period (i) year time frame, will provide the as the Commission may designate up to issued, two of which overlie listed Exchange with the flexibility to create options.3 In addition, Jefferies & Co. 90 days of such date if it finds such indexes that represent unique volatility longer period to be appropriate and exposures, and enable the Exchange to 3 ETNs are referred to ‘‘Index-Linked Securities’’ publishes its reasons for so finding or in CBOE’s Rules. See Interpretation and Policy .13 (ii) as to which the self-regulatory to Rule 5.3. The ETNs linked to the performance of 4 ETFs are referred to as ‘‘Units’’ in CBOE’s Rules. organization consents, the Commission See Interpretation and Policy .06 to Rule 5.3. VIX futures are the (1) iPath S&P 500 VIX Short- will: Term Futures ETN (‘‘VXX’’), (2) iPath S&P 500 VIX 5 See Securities Exchange Act Release No. 56821 Mid-Term Futures ETN (‘‘VXZ’’), and (3) Barclays (November 20, 2007), 72 FR 66210 (November 27, ETN+ Inverse S&P 500 VIX Short-Term Futures 2007) (SR–CBOE–2007–082). 7 15 U.S.C. 78f(b). ETN (‘‘XXV’’). 6 See id. 8 15 U.S.C. 78f(b)(5).

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(A) By order approve or disapprove For the Commission, by the Division of and basis for, the proposed rule change such proposed rule change, or Trading and Markets, pursuant to delegated and discussed any comments it received 9 (B) Institute proceedings to determine authority. on the proposed rule change. The text whether the proposed rule change Florence E. Harmon, of these statements may be examined at should be disapproved. Deputy Secretary. the places specified in Item IV below. IV. Solicitation of Comments [FR Doc. 2010–22599 Filed 9–9–10; 8:45 am] The self-regulatory organization has BILLING CODE 8010–01–P prepared summaries, set forth in Interested persons are invited to sections A, B and C below, of the most submit written data, views, and significant aspects of such statements. arguments concerning the foregoing, SECURITIES AND EXCHANGE including whether the proposed rule COMMISSION A. Self-Regulatory Organization’s change is consistent with the Act. Statement of the Purpose of, and Comments may be submitted by any of [Release No. 34–62846; File No. SR–EDGX– Statutory Basis for, the Proposed Rule 2010–12] the following methods: Change Electronic Comments Self-Regulatory Organizations; EDGX 1. Purpose • Exchange, Inc.; Notice of Filing and The Exchange proposes to make Use the Commission’s Internet Immediate Effectiveness of Proposed comment form (http://www.sec.gov/ several amendments to its fee schedule. Rule Change Relating to Amendments First, it proposes to add a price rules/sro.shtml); or to the EDGX Exchange, Inc. Fee • Send an e-mail to rule- guarantee to footnote 1 of the schedule. Schedule [email protected]. Please include File This guarantee would state that ‘‘Any Number SR–CBOE–2010–077 on the September 3, 2010. Member meeting the following criteria: subject line. Pursuant to Section 19(b)(1) of the (i) Adding 10,000,000 shares or more of liquidity to EDGX, (ii) where such Paper Comments Securities Exchange Act of 1934 (the ‘‘ ’’ 1 2 added liquidity on EDGX is at least • Act ), and Rule 19b–4 thereunder, Send paper comments in triplicate notice is hereby given that on August 5,000,000 shares greater than the to Elizabeth M. Murphy, Secretary, 31, 2010, the EDGX Exchange, Inc. (the previous calendar month; and (iii) but Securities and Exchange Commission, ‘‘Exchange’’ or the ‘‘EDGX’’) filed with for the liquidity added on EDGX, such 100 F Street, NE., Washington, DC the Securities and Exchange Member would have qualified for a 20549–1090. Commission (‘‘Commission’’) the better rebate with respect to liquidity All submissions should refer to File proposed rule change as described in added on another exchange or ECN that Number SR–CBOE–2010–077. This file Items I, II, and III below, which items the Member previously qualified for in number should be included on the have been prepared by the self- the three calendar months prior to subject line if e-mail is used. To help the regulatory organization. The meeting the above-described criteria in Commission process and review your Commission is publishing this notice to (i) and (ii), shall be reimbursed the comments more efficiently, please use solicit comments on the proposed rule difference between the rebate received only one method. The Commission will change from interested persons. and the rebate potentially received, so post all comments on the Commission’s long as source documentation I. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ evidencing the above is provided to the Statement of the Terms of the Substance rules/sro.shtml). Copies of the Exchange within fifteen (15) calendar of the Proposed Rule Change submission, all subsequent days from the end of the relevant amendments, all written statements The Exchange proposes to amend its month. A Member can only receive with respect to the proposed rule fees and rebates applicable to Members 3 reimbursement with respect to two change that are filed with the of the Exchange pursuant to EDGX Rule consecutive calendar months. With Commission, and all written 15.1(a) and (c) to (i) add a price respect to the second calendar month’s communications relating to the guarantee to footnote 1 of its fee reimbursement, the relevant period in proposed rule change between the schedule; and (ii) make other technical determining whether criteria (iii) is Commission and any person, other than amendments to its fee schedule. satisfied is the period three calendar those that may be withheld from the All of the changes described herein months prior to the first of the two public in accordance with the are applicable to EDGX Members. The consecutive calendar months the provisions of 5 U.S.C. 552, will be text of the proposed rule change is Member meets the above-described available for Web site viewing and available on the Exchange’s Internet criteria in (i) and (ii).’’ printing in the Commission’s Public Web site at http://www.directedge.com, The Exchange believes that the price Reference Room, 100 F Street, NE., on the Commission’s Web site at guarantee, as described above, is Washington, DC 20549, on official http://www.sec.gov, and at the equitable in that it is available to all business days between the hours of 10 Commission’s Public Reference Room. Members migrating volumes to the a.m. and 3 p.m. Copies of the filing also II. Self-Regulatory Organization’s Exchange. Furthermore, the price will be available for inspection and Statement of the Purpose of, and guarantee limits the increase in a copying at the principal office of the Statutory Basis for, the Proposed Rule Members’ execution costs associating Exchange. All comments received will Change with failing to meet the volume be posted without change; the thresholds of other exchanges and ECNs Commission does not edit personal In its filing with the Commission, the while a Member is in the process of identifying information from self-regulatory organization included migrating volumes from one exchange to submissions. You should submit only statements concerning the purpose of, another. The Exchange believes that the information that you wish to make difficulty in transitioning volume has 9 17 CFR 200.30–3(a)(12). available publicly. All submissions 1 15 U.S.C. 78s(b)(1). incentivized Members to leave volume should refer to File Number SR–CBOE– 2 17 CFR 240.19b–4. on certain exchanges and ECNs rather 2010–077 and should be submitted on 3 A Member is any registered broker or dealer that than incurring the costs of migrating or before October 1, 2010. has been admitted to membership in the Exchange. volumes to the Exchange. By facilitating

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the migration of volumes in the short is not necessary or appropriate in with respect to the proposed rule term through this guarantee, the furtherance of the purposes of the Act. change that are filed with the Exchange minimizes the cost of Commission, and all written C. Self-Regulatory Organization’s Members pursuing the most economic communications relating to the Statement on Comments Regarding the execution cost model. The resulting proposed rule change between the Proposed Rule Change Received From migration of Members’ volumes to the Commission and any person, other than Members, Participants or Others Exchange will reduce the fixed costs those that may be withheld from the associated with the Exchange The Exchange has not solicited, and public in accordance with the supporting its overall volumes and does not intend to solicit, comments on provisions of 5 U.S.C. 552, will be reduce costs on a per share basis. This this proposed rule change. The available for Web site viewing and will, in turn, facilitate the Exchange’s Exchange has not received any printing in the Commission’s Public ability to maintain lower transactional unsolicited written comments from Reference Room, 100 F Street, NE, costs for all Members. members or other interested parties. Washington, DC 20549, on official Secondly, the Exchange proposes to III. Date of Effectiveness of the business days between the hours of 10 make a technical amendment to the Proposed Rule Change and Timing for a.m. and 3 p.m. Copies of such filing schedule. The Exchange proposes to Commission Action also will be available for inspection and delete references in footnote 1 that copying at the principal office of the describe how certain volume thresholds The foregoing rule change has become Exchange. All comments received will were pro-rated for the month of July effective pursuant to Section 19(b)(3) of be posted without change; the 6 7 2010 as these descriptions are no longer the Act and Rule 19b–4(f)(2) Commission does not edit personal relevant. thereunder. At any time within 60 days identifying information from EDGX Exchange proposes to of the filing of such proposed rule submissions. You should submit only implement these amendments to the change, the Commission summarily may information that you wish to make Exchange fee schedule on September 1, temporarily suspend such rule change if publicly available. All submissions 2010. it appears to the Commission that such should refer to File Number SR–EDGX– action is necessary or appropriate in the 2. Statutory Basis 2010–12 and should be submitted on or public interest, for the protection of before October 1, 2010. The Exchange believes that the investors, or otherwise in furtherance of proposed rule change is consistent with the purposes of the Act. For the Commission, by the Division of 4 Trading and Markets, pursuant to delegated the objectives of Section 6 of the Act, 8 in general, and furthers the objectives of IV. Solicitation of Comments authority. Section 6(b)(4),5 in particular, as it is Interested persons are invited to Florence E. Harmon, designed to provide for the equitable submit written data, views, and Deputy Secretary. allocation of reasonable dues, fees and arguments concerning the foregoing, [FR Doc. 2010–22598 Filed 9–9–10; 8:45 am] other charges among its members and including whether the proposed rule BILLING CODE 8010–01–P other persons using its facilities. The change is consistent with the Act. Exchange notes that it operates in a Comments may be submitted by any of highly competitive market in which the following methods: SECURITIES AND EXCHANGE market participants can readily direct COMMISSION Electronic Comments order flow to competing venues if they • [Release No. 34–62845; File No. SR–EDGA– deem fee levels at a particular venue to Use the Commission’s Internet 2010–12] be excessive. The proposed rule change comment form (http://www.sec.gov/ reflects a competitive pricing structure rules/sro.shtml); or Self-Regulatory Organizations; EDGA • designed to incent market participants Send an e-mail to rule- Exchange, Inc.; Notice of Filing and to direct their order flow to the [email protected]. Please include File Immediate Effectiveness of Proposed Exchange. Specifically, the Exchange Number SR–EDGX–2010–12 on the Rule Change Relating to Amendments believes that the price guarantee, as subject line. to the EDGA Exchange, Inc. Fee described above, facilitates the Paper Comments Schedule migration of volumes to the Exchange • by subsidizing the cost of migrating Send paper comments in triplicate September 3, 2010. volumes to the Exchange. Finally, the to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) of the Exchange believes that the proposed Securities and Exchange Commission, Securities Exchange Act of 1934 (the rates are equitable in that they apply 100 F Street, NE., Washington, DC ‘‘Act’’),1 and Rule 19b–4 thereunder,2 uniformly to all Members. The 20549–1090. notice is hereby given that on August Exchange believes the fees and credits All submissions should refer to File 31, 2010, the EDGA Exchange, Inc. (the remain competitive with those charged Number SR–EDGX–2010–12. This file ‘‘Exchange’’ or the ‘‘EDGA’’) filed with by other venues and therefore continue number should be included on the the Securities and Exchange to be reasonable and equitably allocated subject line if e-mail is used. To help the Commission (‘‘Commission’’) the to those members that opt to direct Commission process and review your proposed rule change as described in orders to the Exchange rather than comments more efficiently, please use Items I, II and III below, which items competing venues. only one method. The Commission will have been prepared by the self- post all comments on the Commission’s regulatory organization. The B. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ Commission is publishing this notice to Statement on Burden on Competition rules/sro.shtml). Copies of the solicit comments on the proposed rule The proposed rule change does not submission, all subsequent change from interested persons. impose any burden on competition that amendments, all written statements 8 17 CFR 200.30–3(a)(12). 4 15 U.S.C. 78f. 6 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78f(b)(4). 7 17 CFR 19b–4(f)(2). 2 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s deem fee levels at a particular venue to Paper Comments Statement of the Terms of the Substance be excessive. The proposed rule change • of the Proposed Rule Change reflects a competitive pricing structure Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, The Exchange proposes to amend its designed to incent market participants Securities and Exchange Commission, fees and rebates applicable to Members 3 to direct their order flow to the of the Exchange pursuant to EDGA Rule Exchange. Finally, the Exchange 100 F Street, NE., Washington, DC 15.1(a) and (c) by making an believes that the proposed rates are 20549–1090. equitable in that they apply uniformly amendment to its fee schedule. All submissions should refer to File to all Members. The Exchange believes All of the changes described herein Number SR–EDGA–2010–12. This file the fees and credits remain competitive are applicable to EDGA Members. The number should be included on the text of the proposed rule change is with those charged by other venues and therefore continue to be reasonable and subject line if e-mail is used. To help the available on the Exchange’s Internet Commission process and review your Web site at http://www.directedge.com, equitably allocated to those members comments more efficiently, please use on the Commission’s Web site at http:// that opt to direct orders to the Exchange only one method. The Commission will www.sec.gov, and at the Commission’s rather than competing venues. Public Reference Room. post all comments on the Commission’s B. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ II. Self-Regulatory Organization’s Statement on Burden on Competition rules/sro.shtml). Copies of the Statement of the Purpose of, and The proposed rule change does not submission, all subsequent Statutory Basis for, the Proposed Rule impose any burden on competition that amendments, all written statements Change is not necessary or appropriate in with respect to the proposed rule In its filing with the Commission, the furtherance of the purposes of the Act. change that are filed with the self-regulatory organization included C. Self-Regulatory Organization’s Commission, and all written statements concerning the purpose of, Statement on Comments Regarding the communications relating to the and basis for, the proposed rule change Proposed Rule Change Received From proposed rule change between the and discussed any comments it received Members, Participants or Others Commission and any person, other than on the proposed rule change. The text The Exchange has not solicited, and those that may be withheld from the of these statements may be examined at public in accordance with the the places specified in Item IV below. does not intend to solicit, comments on this proposed rule change. The provisions of 5 U.S.C. 552, will be The self-regulatory organization has available for website viewing and prepared summaries, set forth in Exchange has not received any printing in the Commission’s Public sections A, B and C below, of the most unsolicited written comments from Reference Room, 100 F Street, NE., significant aspects of such statements. members or other interested parties. Washington, DC 20549, on official III. Date of Effectiveness of the A. Self-Regulatory Organization’s business days between the hours of 10 Statement of the Purpose of, and Proposed Rule Change and Timing for Commission Action a.m. and 3 p.m. Copies of such filing Statutory Basis for, the Proposed Rule also will be available for inspection and Change The foregoing rule change has become copying at the principal office of the effective pursuant to Section 19(b)(3) of Exchange. All comments received will 1. Purpose the Act 6 and Rule 19b–4(f)(2) 7 be posted without change; the The Exchange proposes to delete thereunder. At any time within 60 days references in footnotes 1 and 2 that of the filing of such proposed rule Commission does not edit personal describe how certain volume thresholds change, the Commission summarily may identifying information from were pro-rated for the month of July temporarily suspend such rule change if submissions. You should submit only 2010 as these descriptions are no longer it appears to the Commission that such information that you wish to make relevant. action is necessary or appropriate in the publicly available. All submissions EDGA Exchange proposes to public interest, for the protection of should refer to File Number SR–EDGA– implement these amendments to the investors, or otherwise in furtherance of 2010–12 and should be submitted on or Exchange fee schedule on September 1, the purposes of the Act. before October 1, 2010. 2010. IV. Solicitation of Comments For the Commission, by the Division of 2. Statutory Basis Trading and Markets, pursuant to delegated Interested persons are invited to authority.8 The Exchange believes that the submit written data, views, and proposed rule change is consistent with arguments concerning the foregoing, Florence E. Harmon, the objectives of Section 6 of the Act,4 including whether the proposed rule Deputy Secretary. in general, and furthers the objectives of change is consistent with the Act. [FR Doc. 2010–22596 Filed 9–9–10; 8:45 am] 5 Section 6(b)(4), in particular, as it is Comments may be submitted by any of BILLING CODE 8010–01–P designed to provide for the equitable the following methods: allocation of reasonable dues, fees and other charges among its members and Electronic Comments other persons using its facilities. The • Use the Commission’s Internet Exchange notes that it operates in a comment form (http://www.sec.gov/ highly competitive market in which rules/sro.shtml); or market participants can readily direct • Send an e-mail to rule- order flow to competing venues if they [email protected]. Please include File Number SR–EDGA–2010–12 on the 3 A Member is any registered broker or dealer that subject line. has been admitted to membership in the Exchange. 4 15 U.S.C. 78f. 6 15 U.S.C. 78s(b)(3)(A). 5 15 U.S.C. 78f(b)(4). 7 17 CFR 19b-4(f)(2). 8 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s transactions in securities, and to remove COMMISSION Statement of the Purpose of, and the impediments to and perfect the Statutory Basis for, the Proposed Rule mechanism of a free and open market [Release No. 34–62831; File No. SR– Change and a national market system. Specifically, the proposed rule change NYSEAmex–2010–91] 1. Purpose will allow the Exchange to continue Self-Regulatory Organizations; NYSE Currently, Arca Securities is the receiving inbound routes of equities approved outbound order routing Amex LLC; Notice of Filing and orders from Arca Securities acting in its facility of the Exchange.3 Arca Immediate Effectiveness of Proposed capacity as a facility of the NYSE and Securities is also the approved Rule Change Extending the Pilot NYSE Arca, in a manner consistent with outbound order routing facility of the prior approvals and established Period To Receive Inbound Routes New York Stock Exchange (‘‘NYSE’’) and protections. The Exchange believes that From Archipelago Securities LLC NYSE Arca, Inc. (‘‘NYSE Arca’’).4 The extending the previously approved pilot September 2, 2010. Exchange has also been previously period for six months will permit both approved to receive inbound routes of the Exchange and the Commission to 1 Pursuant to Section 19(b)(1) of the orders by Arca Securities in its capacity further assess the impact of the Securities Exchange Act of 1934 (the as an order routing facility of NYSE Exchange’s authority to receive direct ‘‘Act’’) and Rule 19b–4 thereunder,2 Arca and the NYSE.5 The Exchange’s inbound routes of equities orders via notice is hereby given that, on August authority to receive inbound routes of Arca Securities (including the attendant 31, 2010, NYSE Amex LLC (the orders by Arca Securities is subject to a obligations and conditions).9 ‘‘Exchange’’ or ‘‘NYSE Amex’’) filed with pilot period ending September 30, B. Self-Regulatory Organization’s the Securities and Exchange 2010.6 The Exchange hereby seeks to Statement on Burden on Competition Commission (the ‘‘Commission’’) the extend the previously approved pilot proposed rule change as described in period (with the attendant obligations The Exchange does not believe that Items I and II below, which Items have and conditions) for an additional six the proposed rule change will impose been prepared by the self-regulatory months, through March 31, 2011. any burden on competition that is not organization. The Commission is necessary or appropriate in furtherance 2. Statutory Basis of the purposes of the Act. publishing this notice to solicit The proposed rule change is comments on the proposed rule change C. Self-Regulatory Organization’s consistent with Section 6(b) 7 of the Statement on Comments on the from interested persons. Securities Exchange Act of 1934 (the Proposed Rule Change Received From ‘‘Act’’), in general, and furthers the I. Self-Regulatory Organization’s Members, Participants, or Others Statement of the Terms of Substance of objectives of Section 6(b)(5),8 in the Proposed Rule Change particular, in that it is designed to No written comments were solicited prevent fraudulent and manipulative or received with respect to the proposed The Exchange proposes to extend the acts and practices, to promote just and rule change. pilot period of the Exchange’s prior equitable principles of trade, to foster III. Date of Effectiveness of the approvals to receive inbound routes of cooperation and coordination with Proposed Rule Change and Timing for orders from Archipelago Securities LLC persons engaged in facilitating Commission Action ‘‘ ’’ ( Arca Securities ), an NYSE Amex Because the foregoing rule change affiliated member. The text of the 3 See Securities Exchange Act Release No. 59009 (November 24, 2008), 73 FR 73363 (December 2, does not: (1) Significantly affect the proposed rule change is available at the 2008) (order approving SR–NYSEALTR–2008–07); protection of investors or the public Exchange, the Commission’s Public see also, Securities Exchange Act Release No. 59473 interest; (2) impose any significant Reference Room, and http:// (February 27, 2009) 74 FR 9853 (March 6, 2009) burden on competition; and (3) become www.nyse.com. (order approving SR–NYSEALTR–2009–18). 4 See Securities Exchange Act Release No. 55590 operative for 30 days after the date of II. Self-Regulatory Organization’s (April 5, 2007), 72 FR 18707 (April 13, 2007) (notice this filing, or such shorter time as the of immediate effectiveness of SR–NYSE–2007–29); Commission may designate, it has Statement of the Purpose of, and see also, Securities Exchange Act Release No. 58680 become effective pursuant to Section Statutory Basis for, the Proposed Rule (September 29, 2008), 73 FR 58283 (October 6, 10 2008) (order approving SR–NYSE–2008–76). See 19(b)(3)(A) of the Act and Rule 19b– Change 11 Securities Exchange Act Release No. 54238 (July 28, 4(f)(6) thereunder. In its filing with the Commission, the 2006), 71 FR 44758 (August 7, 2006) (order At any time within 60 days of the approving SR–NYSEArca–2006–13); see also, self-regulatory organization included filing of such proposed rule change the Securities Exchange Act Release No. 52497 Commission summarily may statements concerning the purpose of, (September 22, 2005), 70 FR 56949 (September 29, temporarily suspend such rule change if and basis for, the proposed rule change 2005)(SR–PCX–2005–90); see also, Securities Exchange Act Release No. 44983 (October 25, 2001), it appears to the Commission that such and discussed any comments it received 66 FR 55225 (November 1, 2001) (SR–PCX–00–25); on the proposed rule change. The text see also, Securities Exchange Act Release No. 58681 9 The Exchange is currently analyzing the of those statements may be examined at (September 29, 2008), 73 FR 58285 (October 6, condition regarding non-public information and the places specified in Item IV below. 2008) (order approving NYSEArca-2008–90). system changes in order to better reflect the 5 See Securities Exchange Act Release No. 58673 The Exchange has prepared summaries, operation of Arca Securities. (September 29, 2008), 73 FR 57707 (October 3, 10 15 U.S.C. 78s(b)(3)(A). set forth in sections A, B, and C below, 2008) (order approving SR–Amex–2008–62). See 11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– of the most significant parts of such also, Securities Exchange Act Release No. 58705 4(f)(6)(iii) requires that a self-regulatory statements. (October 1, 2008), 73 FR 58995 (October 8, 2008) organization submit to the Commission written (order approving SR–AMEX–2008–63). notice of its intent to file the proposed rule change, 6 See Securities Exchange Act Release No. 61815 along with a brief description and text of the (March 31, 2010), 75 FR 17817 (April 7, 2010) proposed rule change, at least five business days (Notice of immediate effectiveness of SR– prior to the date of filing of the proposed rule NYSEAmex–2010–32). change, or such shorter time as designated by the 1 15 U.S.C.78s(b)(1). 7 15 U.S.C. 78f(b). Commission. The Exchange has satisfied this 2 17 CFR 240.19b-4. 8 15 U.S.C. 78f(b)(5). requirement.

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action is necessary or appropriate in the For the Commission, by the Division of concerning the purpose of and basis for public interest, for the protection of Trading and Markets, pursuant to delegated the proposed rule change and discussed 12 investors or otherwise in furtherance of authority. any comments it received on the the purposes of the Act. Florence E. Harmon, proposed rule change. The text of these Deputy Secretary. statements may be examined at the IV. Solicitation of Comments [FR Doc. 2010–22556 Filed 9–9–10; 8:45 am] places specified in Item IV below. The Interested persons are invited to BILLING CODE 8010–01–P Exchange has prepared summaries, set submit written data, views, and forth in sections A, B, and C below, of arguments concerning the foregoing, the most significant parts of such including whether the proposed rule SECURITIES AND EXCHANGE statements. COMMISSION change is consistent with the Act. A. Self-Regulatory Organization’s Comments may be submitted by any of [Release No. 34–62822; File No. SR–NSX– Statement of the Purpose of, and the following methods: 2010–11] Statutory Basis for, the Proposed Rule Electronic Comments Self-Regulatory Organizations; Change • Use the Commission’s Internet National Stock Exchange, Inc.; Notice 1. Purpose comment form (http://www.sec.gov/ of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Exchange is proposing to amend rules/sro.shtml); or its Rule 11.13(b)(2) concerning the time • Rule 11.13 Regarding Maximum Send an e-mail to rule- Permissible Response Time for Users within which an ETP Holders [email protected]. Please include File of Order Delivery submitting displayed orders utilizing Number SR–NYSEAmex–2010–91 on the Order Delivery mode of order the subject line. September 1, 2010. interaction (‘‘Order Delivery’’) 5 must Pursuant to Section 19(b)(1) of the respond to an inbound order before NSX Paper Comments ® Securities Exchange Act of 1934 (the BLADE cancels the ETP Holder’s • Send paper comments in triplicate ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 order. Under the proposed rule change, to Elizabeth M. Murphy, Secretary, notice is hereby given that on August if no response to an inbound order is Securities and Exchange Commission, 31, 2010, National Stock Exchange, Inc. received within 300 milliseconds, the ® 100 F Street, NE., Washington, DC (‘‘NSX ’’ or ‘‘Exchange’’) filed with the ETP Holder’s order will be cancelled.6 20549–1090. Securities and Exchange Commission Currently, Rule 11.13(b)(2) provides (‘‘Commission’’) the proposed rule that an ETP Holder’s displayed order in All submissions should refer to File change, as described in Items I and II Order Delivery will be cancelled ‘‘if no Number SR–NYSEAmex–2010–91. This below, which Items have been prepared response to an inbound order is file number should be included on the by the Exchange. The Exchange filed the received within c of a second.’’ Under subject line if e-mail is used. To help the proposal as a ‘‘non-controversial’’ the instant rule change, the Exchange Commission process and review your proposed rule change pursuant to proposes to replace reference to ‘‘1/2 of comments more efficiently, please use Section 19(b)(3)(A)(iii) of the Act 3 and a second’’ with ‘‘300 milliseconds,’’ only one method. The Commission will Rule 19b–4(f)(6) thereunder.4 The which timeframe the Exchange post all comments on the Commission’s Commission is publishing this notice to considers appropriate at the present Internet Web site (http://www.sec.gov/ solicit comment on the proposed rule time and in conformity with industry rules/sro.shtml). Copies of the change from interested persons. standards. Utilization of the proposed submission, all subsequent 300 millisecond response time amendments, all written statements I. Self-Regulatory Organization’s Statement of the Terms of Substance of requirement represents no change to with respect to the proposed rule current Exchange practice.7 change that are filed with the the Proposed Rule Change Commission, and all written NSX is proposing to amend NSX Rule Effective Date communications relating to the 11.13(b)(2) concerning the time within The Exchange requests that the proposed rule change between the which ETP Holders submitting instant rule change be approved by the Commission and any person, other than displayed orders utilizing the Order Securities and Exchange Commission those that may be withheld from the Delivery mode of order interaction must (the ‘‘Commission’’) immediately upon public in accordance with the respond to an inbound order before the filing, and in any case not more than provisions of 5 U.S.C. 552, will be ETP Holder’s displayed is cancelled. thirty days after the date of filing of this available for Web site viewing and The text of the proposed rule change rule change, or such earlier date as the printing in the Commission’s Public is available on the Exchange’s Web site Commission determines, because the Reference Room on official business at http://www.nsx.com, at the principal days between the hours of 10 a.m. and office of the Exchange, and at the 5 The Exchange’s two modes of order interaction 3 p.m. Copies of such filing also will be Commission’s Public Reference Room. are described in NSX Rule 11.13(b). 6 available for inspection and copying at II. Self-Regulatory Organization’s In addition, Rule 11.13(b)(2) provides that, to be the principal office of the Exchange. All eligible for Order Delivery service, an ETP Holder Statement of the Purpose of, and ‘‘must demonstrate to Exchange examiners that the comments received will be posted Statutory Basis for, the Proposed Rule User’s system can automatically process the without change; the Commission does Change inbound order and respond immediately.’’ not edit personal identifying Interpretation and Policy .01 provides that the information from submissions. You In its filing with the Commission, the Exchange ‘‘currently considers 100 milliseconds’’ to Exchange included statements be the maximum permissible response time to an should submit only information that inbound order. The current rule filing does not you wish to make available publicly. All propose to change this standard. 12 17 CFR 200.30–3(a)(12). submissions should refer to File 7 The Exchange is currently conducting a study 1 15 U.S.C. 78s(b)(1). Number SR–NYSEAmex–2010–91 and regarding the time standards referenced in Rule 2 17 CFR 240.19b–4. 11.13, and will submit a rule change proposing should be submitted on or before 3 15 U.S.C. 78s(b)(3)(A)(iii). modifications to those standards as necessary and October 1, 2010. 4 17 CFR 240.19b–4(f)(6). appropriate.

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instant rule change is non-controversial 4(f)(6)(iii) permits the Commission to Paper Comments and presents no novel issues. designate a shorter time if such action • is consistent with the protection of Send paper comments in triplicate 2. Statutory Basis investors and the public interest. The to Elizabeth M. Murphy, Secretary, Approval of the rule change proposed Exchange has requested that the Securities and Exchange Commission, in this submission is consistent with the Commission waive the 30-day operative 100 F Street, NE., Washington, DC requirements of the Act and the rules delay. The Commission notes that the 20549–1090. and regulations thereunder that are Exchange has indicated that its proposal applicable to a national securities All submissions should refer to File will provide a clear and objective Number SR–NSX–2010–11. This file exchange, and, in particular, with the timeframe, within which users of Order number should be included on the requirements of Section 6(b) of the Act.8 Delivery submitting displayed orders subject line if e-mail is used. To help the In particular, the proposed change is must respond to incoming orders before consistent with Section 6(b)(5) of the their orders are cancelled. The Commission process and review your Act,9 because it would promote just and Commission believes that the comments more efficiently, please use only one method. The Commission will equitable principles of trade, remove Exchange’s proposal to reduce from 1⁄2 impediments to, and perfect the of a second to 300 milliseconds the post all comments on the Commission’s mechanism of, a free and open market timeframe for a user’s response to Internet Web site (http://www.sec.gov/ and a national market system, and, in inbound orders on the Exchange’s Order rules/sro.shtml). Copies of the general, protect investors and the public Delivery system will update NSX’s rule submission, all subsequent interest. The proposed rule change to reflect its current practice and amendments, all written statements advances these objectives by represents the first step in NSX’s efforts with respect to the proposed rule establishing a clear and objective to propose a more appropriate standard change that are filed with the timeframe within which users of Order that is more in line with current Commission, and all written Delivery submitting displayed orders industry standards. Based on the communications relating to the must respond to incoming orders before foregoing, the Commission believes that proposed rule change between the their orders are cancelled. waiving the 30-day operative delay is Commission and any person, other than B. Self-Regulatory Organization’s consistent with the protection of those that may be withheld from the Statement on Burden on Competition investors and the public interest and public in accordance with the hereby designates the proposal provisions of 5 U.S.C. 552, will be The Exchange does not believe that operative upon filing.13 the proposed rule change will impose available for Web site viewing and any burden on competition that is not At any time within 60 days of the printing in the Commission’s Public necessary or appropriate in furtherance filing of the proposed rule change, the Reference Room, 100 F Street, NE., of the purposes of the Exchange Act. Commission summarily may Washington, DC 20549, on official temporarily suspend such rule change if business days between the hours of C. Self-Regulatory Organization’s it appears to the Commission that such 10 a.m. and 3 p.m. Copies of the filing Statement on Comments on the action is necessary or appropriate in the will also be available for inspection and Proposed Rule Change Received From public interest, for the protection of copying at the principal office of the Members, Participants, or Others investors, or otherwise in furtherance of self-regulatory organization. All 14 The Exchange has neither solicited the purposes of the Act. comments received will be posted nor received written comments on the IV. Solicitation of Comments without change; the Commission does proposed rule change. not edit personal identifying Interested persons are invited to information from submissions. You III. Date of Effectiveness of the submit written data, views, and Proposed Rule Change and Timing for should submit only information that arguments concerning the foregoing, you wish to make available publicly. Commission Action including whether the proposed rule Because the foregoing rule change change is consistent with the Act. All submissions should refer to File does not: (1) Significantly affect the Comments may be submitted by any of Number SR–NSX–2010–11 and should protection of investors or the public the following methods: be submitted on or before October 1, interest; (2) impose any significant 2010. Electronic Comments burden on competition; and (3) become For the Commission, by the Division of operative for 30 days after the date of • Use the Commission’s Internet Trading and Markets, pursuant to delegated this filing, or such shorter time as the comment form (http://www.sec.gov/ authority.15 Commission may designate, it has rules/sro.shtml); or Florence E. Harmon, become effective pursuant to Section • Send an e-mail to rule- 19(b)(3)(A) of the Act 10 and Rule Deputy Secretary. [email protected]. Please include File 19b–4(f)(6) thereunder.11 [FR Doc. 2010–22551 Filed 9–9–10; 8:45 am] Number SR–NSX–2010–11 on the A proposed rule change filed under BILLING CODE 8010–01–P Rule 19b-4(f)(6) normally may not subject line. become operative prior to 30 days after the date of filing.12 However, Rule 19b– along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule 8 15 U.S.C. 78f(b). change, or such shorter time as designated by the 9 15 U.S.C. 78f(b)(5). Commission. The Exchange has satisfied this 10 15 U.S.C. 78s(b)(3)(A). requirement. 11 17 CFR 240.19b–4(f)(6). 13 For the purposes only of waiving the 30-day 12 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule operative delay, the Commission has considered the 19b–4(f)(6)(iii) requires that a self-regulatory proposed rule’s impact on efficiency, competition, organization submit to the Commission written and capital formation. See 15 U.S.C. 78c(f). notice of its intent to file the proposed rule change, 14 15 U.S.C. 78s(b)(3)(C). 15 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s acts and practices, to promote just and COMMISSION Statement of the Purpose of, and the equitable principles of trade, to foster Statutory Basis for, the Proposed Rule cooperation and coordination with [Release No. 34–62832; File No. SR–NYSE– Change persons engaged in facilitating transactions in securities, and to remove 2010–64] 1. Purpose impediments to and perfect the Self-Regulatory Organizations; New Currently, Arca Securities is the mechanism of a free and open market approved outbound order routing York Stock Exchange LLC; Notice of and a national market system. facility of the Exchange.3 Arca Filing and Immediate Effectiveness of Specifically, the proposed rule change Securities is also the approved will allow the Exchange to continue Proposed Rule Change Extending the outbound order routing facility of NYSE Pilot Period To Receive Inbound receiving inbound routes of equities Arca, Inc. (‘‘NYSE Arca’’) and NYSE orders from Arca Securities acting in its Routes of Certain Equities Orders Amex LLC (‘‘NYSE Amex’’).4 The From Archipelago Securities LLC capacity as a facility of the NYSE Arca Exchange has also been previously and NYSE Amex, in a manner approved to receive inbound routes of September 2, 2010. consistent with prior approvals and equities orders by Arca Securities in its 1 established protections. The Exchange Pursuant to Section 19(b)(1) of the capacity as an order routing facility of believes that extending the previously 5 Securities Exchange Act of 1934 (the NYSE Arca and NYSE Amex. The approved pilot period for six months 2 ‘‘Act’’) and Rule 19b–4 thereunder, Exchange’s authority to receive inbound will permit both the Exchange and the notice is hereby given that, on August routes of equities orders by Arca Commission to further assess the impact 31, 2010, New York Stock Exchange Securities is subject to a pilot period of the Exchange’s authority to receive 6 LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed ending September 30, 2010. The direct inbound routes of equities orders with the Securities and Exchange Exchange hereby seeks to extend the via Arca Securities (including the Commission (the ‘‘Commission’’) the previously approved pilot period (with attendant obligations and conditions).9 proposed rule change as described in the attendant obligations and Items I and II below, which Items have conditions) for an additional six B. Self-Regulatory Organization’s Statement on Burden on Competition been prepared by the self-regulatory months, through March 31, 2011. organization. The Commission is 2. Statutory Basis The Exchange does not believe that the proposed rule change will impose publishing this notice to solicit The proposed rule change is any burden on competition that is not comments on the proposed rule change consistent with Section 6(b) 7 of the from interested persons. Securities Exchange Act of 1934 (the necessary or appropriate in furtherance of the purposes of the Act. I. Self-Regulatory Organization’s ‘‘Act’’), in general, and furthers the 8 Statement of the Terms of Substance of objectives of Section 6(b)(5), in C. Self-Regulatory Organization’s particular, in that it is designed to the Proposed Rule Change Statement on Comments on the prevent fraudulent and manipulative Proposed Rule Change Received From The Exchange proposes to extend the Members, Participants, or Others pilot period of the Exchange’s prior 3 See Securities Exchange Act Release No. 55590 (April 5, 2007), 72 FR 18707 (April 13, 2007) (notice No written comments were solicited approvals to receive inbound routes of of immediate effectiveness of SR–NYSE–2007–29); or received with respect to the proposed certain equities orders from Archipelago see also, Securities and [sic] Exchange Act Release rule change. Securities LLC (‘‘Arca Securities’’), an No. 58680 (September 29, 2008), 73 FR 58283 NYSE affiliated member. The text of the (October 6, 2008) (order approving SR–NYSE– III. Date of Effectiveness of the 2008–76). Proposed Rule Change and Timing for proposed rule change is available at the 4 See Securities Exchange Act Release No. 54238 Commission Action Exchange, the Commission’s Public (July 28, 2006), 71 FR 44758 (August 7, 2006) (order Reference Room, and http:// approving SR–NYSEArca–2006–13); see also, Because the foregoing rule change Securities Exchange Act Release No. 52497 does not: (1) Significantly affect the www.nyse.com. (September 22, 2005), 70 FR 56949 (September 29, 2005) (SR–PCX–2005–90); see also, Securities protection of investors or the public II. Self-Regulatory Organization’s Exchange Act Release No. 44983 (October 25, 2001), interest; (2) impose any significant Statement of the Purpose of, and 66 FR 55225 (November 1, 2001) (SR–PCX–00–25); burden on competition; and (3) become Statutory Basis for, the Proposed Rule see also, Securities Exchange Act Release No. 58681 operative for 30 days after the date of (September 29, 2008), 73 FR 58285 (October 6, Change 2008) (order approving NYSEArca–2008–90). See this filing, or such shorter time as the Securities Exchange Act Release No. 59009 Commission may designate, it has In its filing with the Commission, the (November 24, 2008), 73 FR 73363 (December 2, become effective pursuant to Section self-regulatory organization included 2008) (order approving SR–NYSEALTR–2008–07); 19(b)(3)(A) of the Act 10 and Rule 19b– statements concerning the purpose of, see also, Securities Exchange Act Release No. 59473 11 (February 27, 2009), 74 FR 9853 (March 6, 2009) 4(f)(6) thereunder. and basis for, the proposed rule change (order approving SR–NYSEALTR–2009–18). and discussed any comments it received 5 See Securities and [sic] Exchange Act Release 9 The Exchange is currently analyzing the on the proposed rule change. The text No. 58680 (September 29, 2008), 73 FR 58283 condition regarding non-public information and of those statements may be examined at (October 6, 2008) (order approving SR–NYSE– system changes in order to better reflect the 2008–76); see Securities Exchange Act Release No. the places specified in Item IV below. operation of Arca Securities. 59011 (November 24, 2008), 73 FR 73360 10 15 U.S.C. 78s(b)(3)(A). The Exchange has prepared summaries, (December 2, 2008) (order approving SR–NYSE– 11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– set forth in sections A, B, and C below, 2008–122); see also Securities Exchange Act 4(f)(6)(iii) requires that a self-regulatory of the most significant parts of such Release No. 60255 (July 7, 2009), 74 FR 34065 (July organization submit to the Commission written 14, 2009) (order approving SR–NYSE–2009–58). notice of its intent to file the proposed rule change, statements. 6 See Securities Exchange Act Release No. 61814 along with a brief description and text of the (March 31, 2010), 75 FR 17814 (April 7, 2010) proposed rule change, at least five business days (Notice of immediate effectiveness of SR–NYSE– prior to the date of filing of the proposed rule 2010–27). change, or such shorter time as designated by the 1 15 U.S.C. 78s(b)(1). 7 15 U.S.C. 78f(b). Commission. The Exchange has satisfied this 2 17 CFR 240.19b–4. 8 15 U.S.C. 78f(b)(5). requirement.

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At any time within 60 days of the Number SR–NYSE–2010–64 and should submitted comments will also be filing of such proposed rule change the be submitted on or before October 1, available on the Commission’s Web site Commission summarily may 2010. at http://www.sec.gov. All comments temporarily suspend such rule change if For the Commission, by the Division of received will be posted without change; it appears to the Commission that such Trading and Markets, pursuant to delegated we do not edit personal identifying action is necessary or appropriate in the authority.12 information from submissions. You public interest, for the protection of Florence E. Harmon, should submit only information that investors or otherwise in furtherance of Deputy Secretary. you wish to make available publicly. the purposes of the Act. [FR Doc. 2010–22557 Filed 9–9–10; 8:45 am] FOR FURTHER INFORMATION CONTACT: IV. Solicitation of Comments BILLING CODE 8010–01–P Alicia F. Goldin, Office of Commissioner Elisse B. Walter, at (202) Interested persons are invited to 551–5618, Lesli Sheppard, Office of submit written data, views, and SECURITIES AND EXCHANGE Commissioner Elisse B. Walter, at (202) arguments concerning the foregoing, COMMISSION 551–2806 or Kayla Gillan, Office of the including whether the proposed rule Chairman, at (202) 551–2600. change is consistent with the Act. [Release No. 34–62853; File No. 4–610] Comments may be submitted by any of By the Commission. the following methods: State of the Municipal Securities Dated: September 7, 2010. Market Field Hearings Elizabeth M. Murphy, Electronic Comments Secretary. • AGENCY: Securities and Exchange Use the Commission’s Internet Commission. [FR Doc. 2010–22628 Filed 9–9–10; 8:45 am] comment form (http://www.sec.gov/ ACTION: BILLING CODE 8010–01–P rules/sro.shtml); or Notice of field hearings. • Send an e-mail to rule- SUMMARY: On May 7, 2010, the [email protected]. Please include File Chairman of the Securities and SOCIAL SECURITY ADMINISTRATION Number SR–NYSE–2010–64 on the Exchange Commission Mary L. subject line. Schapiro, announced that [Docket No. SSA–2010–0046] Paper Comments Commissioner Elisse B. Walter would Employment Network Report Card lead an effort to gather facts, opinions • Send paper comments in triplicate and analyses about the municipal AGENCY: Social Security Administration to Elizabeth M. Murphy, Secretary, securities market by holding a series of (SSA). Securities and Exchange Commission, field hearings across the country. A ACTION: Notice of Webinar and National 100 F Street, NE., Washington, DC broad array of municipal market 20549–1090. Teleconference Call listening sessions— participants representing diverse announcing two opportunities for SSA All submissions should refer to File viewpoints will be invited to participate to hear public comments on Number SR–NYSE–2010–64. This file in the field hearings by sharing their Employment Network quality assurance, number should be included on the perspectives on important topics including a ticket consumer subject line if e-mail is used. To help the relating to the municipal securities Employment Network Report Card. Commission process and review your market. comments more efficiently, please use SUMMARY: We are soliciting the views of only one method. The Commission will DATES: The initial field hearing will be the public, beneficiaries, advocates, post all comments on the Commission’s held on September 21, 2010 in San Employment Networks (EN), and other Internet Web site (http://www.sec.gov/ Francisco, California and will be open professionals on a key part of our rules/sro.shtml). Copies of the to the public. The field hearing will quality assurance and performance submission, all subsequent begin at 9 a.m. Over the next several measurement system for the Ticket to amendments, all written statements months, the Commission will hold four Work (TTW) program. An EN is a with respect to the proposed rule additional public field hearings in cities private or public entity that provides change that are filed with the across the country. Information employment support and/or vocational Commission, and all written regarding the dates and times of future rehabilitation services to Social Security communications relating to the field hearings will be available on the Disability Insurance (SSDI) and proposed rule change between the Commission’s Web site at http:// Supplemental Security Income (SSI) Commission and any person, other than www.sec.gov. disabled beneficiaries who choose to those that may be withheld from the ADDRESSES: The September 21, 2010 participate in the TTW program. public in accordance with the field hearing will be held at the Port of We are seeking to expand and provisions of 5 U.S.C. 552, will be San Francisco, Pier 1, The Embarcadero, improve the mechanism used to monitor available for Web site viewing and San Francisco, CA 94111. Information and evaluate EN performance under the printing in the Commission’s Public regarding the locations of future field TTW program. We plan to accomplish Reference Room on official business hearings will be available on the this goal by combining a user-friendly days between the hours of 10 a.m. and Commission’s Web site at http:// EN Report Card, which contains 3 p.m. Copies of such filing also will be www.sec.gov. Comments relating to the customer satisfaction feedback, with the available for inspection and copying at state of the municipal securities market current administrative data that EN’s the principal office of the Exchange. All field hearings may be filed submit annually. The EN Report Card comments received will be posted electronically by e-mail to will be useful to beneficiaries in making without change; the Commission does [email protected] or through informed choices regarding their not edit personal identifying the comment form available at: http:// selection of ENs under the TTW information from submissions. You www.sec.gov/rules/other.shtml. program. We will use the findings to should submit only information that Transcripts of the field hearings and all inform ENs about the service you wish to make available publicly. All expectations of TTW beneficiaries, the submissions should refer to File 12 17 CFR 200.30–3(a)(12). level of satisfaction of beneficiaries who

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have assigned tickets to the EN, and the the clients of two ENs last year. We will (B) Conduct regular consultations ways that ENs may improve their be rolling out the EN Report Card in with Mexican human rights performance under the program. California first and then nationally. organizations and other relevant DATES: There will be two listening We will include the results of the EN Mexican civil society organizations on sessions—a Webinar and a National Report Card on the Beneficiary Access recommendations for the Teleconference Call in September 2010. and Support Services Web site that will implementation of the Merida Initiative On Monday, September 27, 2010, from be a feature of the new Program in accordance with Mexican and 1 p.m. to 2:30 p.m., we will invite Manager contract. The Web site will international law; Employment Networks, advocates, and also include a monitored user comments (C) Ensure that civilian prosecutors other interested TTW program partners section where beneficiaries will be able and judicial authorities are investigating to participate in a Webinar. On Tuesday, to post comments about their and prosecuting, in accordance with September 28, 2010, from 1 p.m. to 2:30 experiences with ENs. We also will Mexican and international law, p.m., we will invite our beneficiaries, make the results of the Report Card members of the Federal police and the public, and those who cannot make available to the ENs. military forces who have been credibly the first date to participate in the We invite participation in the alleged to have violated internationally National Teleconference Call. Webinar and National Teleconference recognized human rights, and the FOR FURTHER INFORMATION CONTACT: Call from persons who have an interest Federal police and military forces are Bashiru Kamara, Office of Employment in the rules we use to administer the fully cooperating with the Support Programs, Social Security TTW program, applicants and investigations; and Administration, 6401 Security beneficiaries, members of the public, (D) Enforce the prohibition, in Boulevard, Baltimore, MD 21235–6401, advocates, and organizations that accordance with Mexican and 410–965–9128, for information about represent parties interested in the TTW international law, on the use of this notice. For information on program. testimony obtained through torture or eligibility or filing for benefits, call our This is not a request for written other ill-treatment. national toll-free number, 1–800–772– comments; comments will be accepted This determination shall be reported 1213 or TTY 1–800–325–0778, or visit as part of the Webinar and National to Congress and published in the our Internet site, Social Security Online, Teleconference Call. We will not Federal Register. at http://www.socialsecurity.gov. respond directly to comments you send Dated: September 2, 2010. SUPPLEMENTARY INFORMATION: The in response to this Notice. After we have James B. Steinberg, purpose of the Webinar and National considered all comments and Deputy Secretary of State. suggestions made during the Webinar Teleconference Call is to provide a [FR Doc. 2010–22647 Filed 9–9–10; 8:45 am] and National Teleconference Call, as forum for us to hear the public’s BILLING CODE 4710–29–P perspective on our planned means of well as what we have learned from our monitoring and evaluating EN program experience administering the TTW program, we will determine performance under the TTW program, DEPARTMENT OF TRANSPORTATION including customer satisfaction with whether and how we should adjust the ENs. Since the publication of the EN Report Card. Federal Aviation Administration revised TTW program regulations in Dated: September 3, 2010. July 2008, we have seen significant Michael J. Astrue, Aviation Rulemaking Advisory increases in the number of ENs who Commissioner of Social Security. Committee Meeting on Transport Airplane and Engine Issues have Tickets assigned and are receiving [FR Doc. 2010–22611 Filed 9–9–10; 8:45 am] payment for helping beneficiaries go to BILLING CODE 4191–02–P AGENCY: Federal Aviation work. We have increased outreach Administration (FAA), DOT. efforts to disability beneficiaries in the TTW program. More beneficiaries are ACTION: Notice of public meeting. DEPARTMENT OF STATE participating in the TTW program and SUMMARY: This notice announces a successfully progressing in their [Public Notice: 7159] public meeting of the FAA’s Aviation employment goals. Rulemaking Advisory Committee On an annual basis, one of the Ticket Determination Under Section 1010(a) (ARAC) to discuss transport airplane Program Managers, MAXIMUS, is of the Supplemental Appropriations and engine (TAE) issues. responsible for collecting from ENs Act, 2010 (Pub. L. 111–212) DATES: administrative data on each EN’s The meeting is scheduled for Wednesday, October 06, 2010, starting performance, using a format called the Pursuant to section 1010(a) of the at 9 a.m. Eastern Daylight Time. Annual Performance and Outcome Supplemental Appropriations Act, 2010 Arrangements for oral presentations Report (APOR). This report is currently (Pub. L. 111–212) and the authority must be made by September 22, 2010. the primary EN evaluation tool. To vested in me by Delegation of Authority expand on this effort, we will be 245–1, I hereby determine that the ADDRESSES: The Boeing Company, 1200 conducting annual customer satisfaction Government of Mexico is continuing to: Wilson Boulevard, Room 234, surveys regarding the performance of (A) Improve the transparency and Arlington, Virginia 22209. ENs. The mechanism we will use to accountability of Federal police forces FOR FURTHER INFORMATION CONTACT: report the combined results of the and to work with State and municipal Ralen Gao, Office of Rulemaking, ARM– customer satisfaction surveys and the authorities to improve the transparency 209, FAA, 800 Independence Avenue, APOR data is called the EN Report Card. and accountability of State and SW., Washington, DC 20591, Telephone In 2008, we tested the EN Report Card municipal police forces through (202) 267–3168, FAX (202) 267–5075, or in New York with two focus groups mechanisms including police e-mail at [email protected]. composed of disability beneficiaries and complaints commissions with authority SUPPLEMENTARY INFORMATION: Pursuant their representatives. We then piloted it and independence to receive complaints to Section 10(a)(2) of the Federal in customer satisfaction surveys with and carry out effective investigations; Advisory Committee Act (Pub. L. 92–

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463; 5 U.S.C. app. 2), notice is given of DEPARTMENT OF TRANSPORTATION http://www.regulations.gov at any time an ARAC meeting to be held October 06, or to the Docket Management Facility in 2010. Federal Aviation Administration Room W12–140 of the West Building The agenda for the meeting is as Ground Floor at 1200 New Jersey [Summary Notice No. PE–2010–40] follows: Avenue, SE., Washington, DC, between • Opening Remarks, Review Agenda Petition for Exemption; Summary of 9 a.m. and 5 p.m., Monday through and Minutes. Petition Received Friday, except Federal holidays. • FAA Report. FOR FURTHER INFORMATION CONTACT: • ARAC Executive Committee Report. AGENCY: Federal Aviation Mark Forseth, ANM–113, (425) 227– • Transport Canada Report. Administration (FAA), DOT. 2796, Federal Aviation Administration, • Airworthiness Assurance ACTION: Notice of petition for exemption 1601 Lind Avenue, SW., Renton, WA Harmonization Working Group (HWG) received. 98057–3356, or Katherine Haley, (202) Report. 493–5708, Office of Rulemaking (ARM– • Avionics HWG Report. SUMMARY: This notice contains a • 203), Federal Aviation Administration, Materials Flammability Working summary of a petition seeking relief 800 Independence Avenue, SW., Group Formation. from specified requirements of 14 CFR. • Washington, DC 20591. Any Other Business. The purpose of this notice is to improve This notice is published pursuant to • Action Items Review. the public’s awareness of, and 14 CFR11.85. Attendance is open to the public, but participation in, this aspect of FAA’s will be limited to the availability of Issued in Washington, DC, on September 7, regulatory activities. Neither publication 2010. meeting room space. Please confirm of this notice nor the inclusion or Pamela Hamilton-Powell, your attendance with the person listed omission of information in the summary in the FOR FURTHER INFORMATION is intended to affect the legal status of Director, Office of Rulemaking. CONTACT section no later than the petition or its final disposition. Petition for Exemption September 22, 2010. Please provide the DATES: Comments on this petition must [Docket No.: FAA–2010–0765] following information: Full legal name, identify the petition docket number country of citizenship, and name of Petitioner: Airbus S.A.S. involved and must be received on or Section of 14 CFR Affected: 14 CFR your industry association, or applicable before September 30, 2010. affiliation. If you are attending as a 26.33 (d),(e),(f) and (h). ADDRESSES: You may send comments Description of Relief Sought: public citizen, please indicate so. Temporary exemption from compliance The FAA will arrange for identified by Docket Number FAA– with timely issuance of service bulletins teleconference service for individuals 2010–0765 using any of the following and instructions for continued wishing to join in by teleconference if methods: • airworthiness. These documents will be we receive notice by September 22, Government-wide rulemaking Web ready for release to airplane operators 2010. For persons participating by site: Go to http://www.regulations.gov approximately one year after their part telephone, please contact Ralen Gao by and follow the instructions for sending your comments electronically. 26 compliance deadline. email or phone for the teleconference • call-in number and passcode. Anyone Mail: Send comments to the Docket [FR Doc. 2010–22595 Filed 9–9–10; 8:45 am] calling from outside the Arlington, VA, Management Facility; U.S. Department BILLING CODE 4910–13–P metropolitan area will be responsible for of Transportation, 1200 New Jersey paying long-distance charges. Avenue, SE., West Building Ground The public must make arrangements Floor, Room W12–140, Washington, DC DEPARTMENT OF TRANSPORTATION 20590. by September 22, 2010, to present oral • Federal Railroad Administration statements at the meeting. Written Fax: Fax comments to the Docket Management Facility at 202–493–2251. statements may be presented to the • Program for Capital Grants for Rail ARAC at any time by providing 25 Hand Delivery: Bring comments to the Docket Management Facility in Line Relocation and Improvement copies to the person listed in the FOR Room W12–140 of the West Building Projects FURTHER INFORMATION CONTACT section or by providing copies at the meeting. Ground Floor at 1200 New Jersey AGENCY: Federal Railroad Copies of the documents to be presented Avenue, SE., Washington, DC, between Administration (FRA), Department of to ARAC may be made available by 9 a.m. and 5 p.m., Monday through Transportation (DOT). Friday, except Federal holidays. contacting the person listed in the FOR ACTION: Notice of funding availability. Privacy: We will post all comments FURTHER INFORMATION CONTACT section. SUMMARY: Under this Notice, the FRA If you need assistance or require a we receive, without change, to http:// encourages eligible applicants to submit reasonable accommodation for the www.regulations.gov, including any applications for grants to fund eligible meeting or meeting documents, please personal information you provide. rail line relocation and improvement contact the person listed in the FOR Using the search function of our docket projects. This Notice of Funds FURTHER INFORMATION CONTACT section. Web site, anyone can find and read the Availability (NOFA) does not apply to Sign and oral interpretation, as well as comments received into any of our the 27 projects specifically enumerated a listening device, can be made dockets, including the name of the in the Consolidated Appropriations Act, available if requested 10 calendar days individual sending the comment (or 2010 (Pub. L. 111–117 (December 16, before the meeting. signing the comment for an association, business, labor union, etc.). You may 2009)) or the 23 projects specifically Issued in Washington, DC, on September 3, review DOT’s complete Privacy Act enumerated in the Omnibus 2010. Statement in the Federal Register Appropriations Act, 2009 (Pub. L. 111– Dennis R. Pratte, II, published on April 11, 2000 (65 FR 8 (March 11, 2009)). Acting Director, Office of Rulemaking. 19477–78). DATES: Applications for funding under [FR Doc. 2010–22631 Filed 9–9–10; 8:45 am] Docket: To read background this solicitation are due no later than BILLING CODE 4910–13–P documents or comments received, go to 5 p.m. EDT, October 29, 2010 and must

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be submitted via Grants.gov. See Section projects. The remaining $10,012,800 eligible for grants under the Program 3 for additional information regarding will be combined with the $589,700 (see 49 CFR 262.3 and 262.7). FRA the application process. FRA reserves remaining from the FY 2008 considers political subdivisions of the right to modify this deadline. competition, $2,000,000 that was States to be entities such as cities, FOR FURTHER INFORMATION CONTACT: For awarded to one of the FY 2008 projects counties, townships, boroughs, and further information regarding this notice but which the project sponsors villages. If an applicant is not one of and the grants program, please contact ultimately turned down, and the these traditional political subdivisions, John Winkle via e-mail at $7,900,000 in FY 2009 discretionary then the applicant must prove to FRA’s [email protected], or by mail: U.S. funding. As a result, FRA has a total of satisfaction that, under the applicable Department of Transportation, Federal $20,502,500 available for the FY 2010 State law, the applicant is a political Railroad Administration, 1200 New competition. This NOFA does not apply subdivision of the State. Jersey Avenue, SE., MS–20, to the 23 specific projects identified in In making this determination, FRA Washington, DC 20590 Att’n: John FY 2009 or the 27 specific projects will look primarily to the intent of the Winkle. identified in FY 2010. State legislature when creating the entity. Thus, FRA will likely find Table of Contents 1.3 Funding Approach persuasive enabling legislation 1. Financial Assistance Description The Omnibus Appropriations Act, establishing the entity if the legislation 2. Eligibility Information 2009, provided $7,900,000 for states clearly that the entity is a political 3. Application and Submission Information discretionary grants. Likewise, the subdivision of the State. Similarly, FRA 4. Application Review Information Transportation, Housing and Urban will also consider State appellate court 5. Award Administration Information Development, and Related Agencies opinions where the court finds that the Appendix 1: Administrative and National Appropriations Act, 2010, provided entity is a political subdivision of the Policy Requirements $10,012,800. As discussed above, FRA State. Opinions from the State Attorney Appendix 2: Additional Information on is combining these amounts with General also may be used to bolster the Award Administrations and Grant $589,700 remaining from the FY 2008 above authorities. If nothing Conditions Appendix 3: Additional Information on competition and $2,000,000 that was conclusively states that the entity is a Applicant Budgets awarded under the FY 2008 competition political subdivision of the State, FRA to a project that ultimately was declined will review all submitted information Section 1: Financial Assistance by the project sponsors, and will award and attempt to determine legislative Description up to $20,502,500 in discretionary intent. If applicant eligibility is a 1.1 Authority grants. The funding provided under potential issue, the applicant is these grants will be made available to encouraged to contact FRA before The authority for the Program can be grantees on a reimbursement basis. As submitting an application and FRA will found in 49 U.S.C. 20154 and at 49 CFR in FY 2008, FRA expects that the make an eligibility determination. Part 262. available funding will support multiple 2.2 Cost Sharing and Matching 1.2 Program Description and project applications. FRA may choose to Legislative History award a grant or grants within the An approved applicant, or other non- available funds in any amount. Federal party, must pay at least 10 To assist State and local governments, An approved applicant, or other non- percent of the costs of any project Congress in the Safe, Accountable, Federal party, must pay at least 10 funded by a grant awarded through the Flexible, Efficient Transportation Act: A percent of the costs of any project Program. Applicants must specify the Legacy for Users (SAFETEA–LU) (Public funded by a grant awarded through the match amount in their application. Law 109–59, August 10, 2005) Program. Applicants should indicate 2.3 Eligible Projects authorized the Program for Capital whether funding made available Grants for Rail Line Relocation and through grants provided under this In accordance with SAFETEA–LU, Improvement Projects (Program). Program, together with committed eligible projects are construction Section 9002 of SAFETEA–LU amended funding from other sources, including projects undertaken for the chapter 201 of Title 49 of the United the required match, will be sufficient to improvement of the route or structure of States Code by adding § 20154, which complete the overall project or a a rail line that either: (1) Are carried out authorized, but did not appropriate, discrete portion of the project. FRA for the purpose of mitigating the adverse $350,000,000 per year for each of the expects to award grants to multiple effects of rail traffic on safety, motor fiscal years 2006 through 2009 for the eligible participants. vehicle traffic flow, community quality purpose of funding the Program (Catalog of life, or economic development; or (2) of Federal Domestic Assistance (CFDA) Section 2: Eligibility Information involve a lateral or vertical relocation of Program Number 20.320). SAFETEA–LU Applications for rail line relocation any portion of the rail line (see 49 CFR also directed FRA to promulgate a and improvement projects will be 262.7). regulation that establishes the Program. required to meet minimum FRA wants to emphasize that in order That final rule was published on July requirements related to applicant for the project to be eligible, the rail line 11, 2008 and can be found at 73 FR eligibility, project eligibility, and the must be the element that is moved or 39875 (49 CFR Part 262). fulfillment of other prerequisites. To the improved. Grade separation projects that In Fiscal Year (FY) 2009, Congress extent that an application’s substance involve raising or lowering the road, for appropriated $25,000,000 and directed exceeds the minimum eligibility example are not eligible. Similarly, that $17,100,000 be awarded to 23 requirements described below, such quiet zone and stand-alone grade specific projects, with $7,900,000 left qualifications will be considered in crossing improvement projects are not over for discretionary grants. evaluating the merits of an application. eligible. Likewise, station improvement Subsequently, in FY 2010, Congress projects where there is little or no appropriated $34,532,000 for the 2.1 Eligible Applicant Types related track work are not eligible. As Program, and directed that $24,519,200 Only States, political subdivisions of explained in the Final Rule, if station or go to 27 specifically enumerated States, and the District of Columbia are grade crossing improvements are part of

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an otherwise eligible rail line relocation 1. Acquire a DUNS Number. A Data 5. Search for the Funding Opportunity or improvement project, then the costs Universal Numbering System (DUNS) on Grants.gov. The Catalog of Federal associated with the grade crossing or number is required for Grants.gov Domestic Assistance (CFDA) number for station work may be eligible (see 73 FR registration. The Office of Management this opportunity is 20.320. It is titled 39879). The majority of the work must and Budget requires that all businesses ‘‘Rail Line Relocation and involve relocating or improving a rail and nonprofit applicants for Federal Improvement.’’ line. Finally, if an applicant is funds include a DUNS number in their 6. Submit an Application Addressing undertaking a larger project that would applications for a new award or renewal All of the Requirements Outlined in this be eligible, but is applying to FRA for of an existing award. A DUNS number Funding Availability Announcement. funding for a small portion that is not is a unique nine-digit sequence Within 24 to 48 hours after submitting eligible (e.g., an applicant is recognized as the universal standard for an electronic application, an applicant undertaking a large rail improvement identifying and keeping track of entities should receive an e-mail validation involving upgrading grade crossing receiving federal funds. The identifier is message from Grants.gov. The validation equipment and applies to FRA for funds used for tracking purposes and to message will explain whether the to cover the grade crossing validate address and point of contact application has been received and improvements), the fact that the larger information for Federal assistance validated or rejected, with an project would be eligible does not mean applicants, recipients, and sub explanation. Applicants are urged to that FRA can fund the smaller, recipients. The DUNS number will be submit an application at least 72 hours ineligible project. If project eligibility is used throughout the grant life cycle. prior to the due date of the application a potential issue, applicants are Obtaining a DUNS number is a free, to allow time to receive the validation encouraged to contact FRA before one-time activity. Applicants may message and to correct any problems submitting an application and FRA will obtain a DUNS number by calling 1– that may have caused a rejection make an eligibility determination. 866–705–5711 or by applying online at notification. Pre-construction activities, such as http://www.dnb.com/us. If you experience difficulties at any preliminary engineering and design 2. Acquire or Renew Registration with point during this process, please call the work and project-level environmental the Central Contractor Registration Grants.gov Customer Center Hotline at compliance, are considered part of the (CCR) Database. All applicants for 1–800–518–4726, 24 hours a day, 7 days overall construction project (see 49 CFR Federal financial assistance maintain a week (closed on Federal holidays). 262.3(6)). Because section 9002 of current registrations in the Central Note: Please use generally accepted formats SAFETEA–LU directs that only Contractor Registration (CCR) database. such as .pdf, .doc, .docx, .xls, .xlsx and .ppt, construction costs are eligible costs, An applicant must be registered in the when uploading attachments. While activities such as planning studies and CCR to successfully register in applicants may imbed picture files, such as feasibility analyses are not eligible costs. Grants.gov. The CCR database is the .jpg, .gif, and .bmp, in document files, please repository for standard information do not submit attachments in these formats. Section 3: Application and Submission about Federal financial assistance Additionally, the following formats will not Information applicants, recipients, and sub be accepted: .com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, .sys, and .zip. 3.1 Applying Online recipients. Organizations that have previously submitted applications via Applications for these funds must be 3.2 Address To Request/Submit Grants.gov are already registered with Application Package submitted through Grants.gov by 5 p.m. CCR, as it is a requirement for EDT on October 29, 2010. Applicants Grants.gov registration. Please note, To request a hard copy of the are strongly encouraged to apply early however, that applicants must update or application package, please contact John to ensure that all materials are received renew their CCR registration at least Winkle, Office of Railroad Policy and before this deadline. once per year to maintain an active Development (RPD–11), Federal To apply for funding through status, so it is critical to check Railroad Administration, 1200 New Grants.gov, applicants must be properly registration status well in advance of the Jersey Avenue, SE., Room W38–311, registered. Complete instructions on application deadline. Information about Washington, DC 20590. Phone: (202) how to register and submit an CCR registration procedures can be 493–6360; Fax: (202) 493–6333; E-mail: application can be found at Grants.gov. accessed at http://www.ccr.gov. [email protected]. Registering with Grants.gov is a one- 3. Acquire an Authorized Any additional required attachments time process; however, it can take up to Organization Representative (AOR) and that an applicant is unable to submit via several weeks for first-time registrants to a Grants.gov Username and Password. Grants.gov, such as oversized receive confirmation and a user Applicants must complete an AOR engineering drawings, may be submitted password. FRA recommends that profile on Grants.gov and create a to the above address. Applicants should applicants start the registration process username and password. Applicants submit one original and two (2) copies as early as possible to prevent delays must use the organization’s DUNS of the material. However, due to delays that may preclude submitting an number to complete this step. caused by enhanced screening of mail application package by the application Additional information about the delivered via the U.S. Postal Service, deadline. Applications will not be registration process is available at applicants are advised to use other accepted after the due date. Delayed http://www.grants.gov/applicants/ means of conveyance (such as courier registration is not an acceptable get_registered.jsp. service) to assure timely receipt of justification for an application 4. Acquire Authorization for your materials. extension. AOR from the E–Business Point of 3.3 Content of Application In order to apply for funding under Contact (E–Biz POC). The Applicant’s this announcement and to apply for E–Biz POC must log in to Grants.gov to 3.3.1 On-Line Application funding through Grants.gov, all confirm a representative as an AOR. The on-line application must be applicants are required to complete the Please note that there can be more than completed and submitted using following: one AOR at an organization. Grants.gov after Central Contractor

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Registry (CCR) registration is confirmed. e-mail message to [email protected] architectural and engineering plans, The on-line application includes the confirming that an application was project cost estimates, and project- following required forms and submitted. Each grant application must: specific construction-related costs submissions: 1. Designate a point of contact for the (including costs associated with Construction Projects: applicant and provide his or her name securing environmental clearance as • Standard Form 424, Application for and contact information, including described in § 262.15 of the Final Rule). Federal Assistance phone number, mailing address and e- As discussed above under ‘‘Eligible • Standard Form 424C, Budget mail address. The point of contact must Projects,’’ FRA will not consider as Information—Construction be an employee of an eligible applicant potentially allowable any costs • Standard Form 424D, Assurances— (i.e., a State employee, or an employee associated with planning studies and Construction Programs of a political subdivision of a State, or similar analyses. For approved projects, • FRA’s Additional Assurance and an employee of the District of construction-related expenditures may Certifications, available at http:// Columbia). qualify as allowable, even if they are www.fra.dot.gov/downloads/admin/ 2. Include a detailed project incurred in advance of the execution of assurancesandcertifications.pdf description with an explanation of how the grant agreement between the • Project Narrative/Statement of Work the project is an eligible project. applicant and FRA, provided they (described in 3.4.1 below) 3. Include a thorough discussion of otherwise satisfy eligibility standards. • Detailed Budget (described in 3.4.2 how the project meets all of the 6. Describe proposed project selection criteria. Applicants should below) implementation and project note that FRA evaluates applications • NEPA Documentation, as applicable management arrangements. Include based upon the selection criteria. If an Non-Construction Projects: descriptions of expected arrangements application does not sufficiently address • Standard Form 424, Application for for project contracting, contract the selection criteria, FRA will have Federal Assistance oversight, change-order management, little or no basis on which to evaluate • Standard Form 424A, Budget risk management, and conformance to the application; thus, it will likely not Information—Non-Construction Federal requirements for project be a competitive application. The Programs progress reporting. • Standard Form 424B, Assurances— selection criteria are described in detail in Section 4.1, below. 7. Describe the anticipated public and Non-Construction Programs private benefits associated with the • 4. Explain how the applicant is an FRA’s Additional Assurance and proposed project and the applicant’s Certifications, available at http:// eligible applicant. For a full discussion of how an applicant can meet this assessment of how those benefits www.fra.dot.gov/downloads/admin/ outweigh the costs of the proposed assurancesandcertifications.pdf burden, see Eligible Participants, above. 5. Provide a detailed scope of work for project (see 49 CFR 262.11(b)). Identify • Project Narrative/Statement of Work the proposed project and include the any financial contributions or (described in 3.4.1 below) anticipated project schedule. Describe commitments the applicant has secured • Detailed Budget (described in 3.4.2 the proposed project’s physical location from private entities that are expected to below) (as applicable), and include any benefit from the project. Although FRA Any additional required attachments drawings, plans, or schematics that have will weigh all of the selection criteria, (for application materials that an been prepared relating to the proposed potential applicants should be aware applicant is unable to submit via project. If the funding from the Program that FRA is seeking the maximum Grants.gov), such as oversized is only going to be a component of the public benefit from these limited funds. engineering drawings, applicants may overall funding for the project, describe Moreover, in directing FRA to establish submit an original and two (2) copies to the complete project and specify which the Program, Congress instructed FRA to the Federal Railroad Administration, component will involve FRA funding. consider the feasibility of seeking Attention: John Winkle, Office of Applications should include feasibility financial contributions or commitments Railroad Policy and Development (RPD– determinations and cost estimates, if from private entities involved with 11), Room W38–311, 1200 New Jersey completed. FRA will more favorably projects in proportion to the expected Avenue, SE., Washington, DC 20590. consider applications that include these benefits that would accrue to those 3.4 Detailed Application Requirements types of studies, as they demonstrate entities. As FRA explained in the that an applicant has a definite preamble to the Final Rule, however, 3.4.1 Project Narrative/Statement of understanding of the scope and cost of FRA will apply all the selection criteria Work the project. In submitting applications, and will not disfavor one application The following points describe the applicants should be mindful that the over another because of the amount minimum content which will be Program, as created by Congress and, as requested. required in the project narrative/ further described in the Final Rule, is 8. Describe anticipated environmental statement of work elements of grant focused upon construction projects (see or historic preservation impacts applications. These requirements may 49 CFR §§ 262.3 and 262.7). If FRA associated with the proposed project, be satisfied through a narrative approves a project for funding, any environmental or historic statement submitted by the applicant, allowable costs (i.e., costs that can preservation analyses that have been supported by spreadsheet documents, qualify for reimbursement from Federal prepared, and progress toward tables, drawings, and other materials, as funds or as part of the required non- completing any environmental appropriate. FRA recommends that Federal match) will have to directly documentation or clearance required for applicants read this section carefully support project construction. Section the proposed project under the National and submit all required information. If 262.3 identifies the types of activities Environmental Policy Act (NEPA), the an application does not address each of that are associated with ‘‘construction’’ National Historic Preservation Act these requirements to FRA’s and thus are potentially allowable. In (NHPA), section 4(f) of the DOT Act, the satisfaction, the application will be terms of project development, FRA will Clean Water Act, or other applicable considered incomplete and will not be consider as potentially allowable any Federal or State laws. Refer to 49 CFR scored. Applicants should send an costs associated with the preparation of § 262.15 for further guidance.

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Generally, grant recipients may not Microsoft Excel (or compatible) one exists, and if this program has been expend any of the funds provided in an documents. selected for review by the State. award on construction or other activities Applicants must contact their State 3.4.2 Detailed Budget that represent an irretrievable SPOC to determine if the program has commitment of resources to a particular Applicants must present a detailed been selected for State review. course of action affecting the budget for the proposed project that Executive Order 12372 can be environment until after all includes both Federal funds and referenced at http://www.fws.gov/ environmental and historic preservation matching funds. Items of cost included policy/library/rgeo12372.pdf. The analyses required by the NEPA, the in the budget must be reasonable, names and addresses of the SPOCs are NHPA (16 U.S.C. 470(f)), and related allocable and necessary for the project. listed on OMB’s home page available at laws and regulations have been For a construction project, at a http://www.whitehouse.gov/omb/grants/ completed and FRA has provided the minimum, the budget should separate spoc.html. grant recipient with a written notice total cost of the project into the authorizing them to proceed. following categories, if applicable: (1) Section 4: Application Review In instances where NEPA approval Administrative and legal expenses; (2) Information has not been secured at the time of grant Land, structures, rights-of-way, and 4.1 Selection Criteria award, grant recipients are required to appraisals; (3) Relocation expenses and assist FRA in its compliance with the payments; (4) Architectural and FRA will consider the following provisions of NEPA, the Council on engineering fees; (5) Project inspection selection factors in evaluating Environmental Quality’s regulations fees; (6) Site work; (7) Demolition and applications for grants under this implementing NEPA (40 CFR part 1500 removal; (8) Construction labor, program (see 49 CFR 262.9): 1. The capability of the applicant to et seq.), FRA’s ‘‘Procedures for supervision, and management; (9) fund the project without Federal grant Considering Environmental Impacts’’ (45 Materials, by type (e.g. ties, rail, signals, funding; FR 40854, June 16, 1980, as revised May switches); (10) Miscellaneous; and (11) 2. The effects of the rail line, relocated 26, 1999, 64 FR 28545), Section 106 of Contingencies. or improved as proposed, on motor the NHPA, and related environmental For a non-construction project, at a vehicle and pedestrian traffic, safety, and historic preservation statutes and minimum, the budget should separate community quality of life, and area regulations. As a condition of receiving total cost of the project into the commerce; financial assistance under an award, following categories, if applicable: (1) 3. The effects of the rail line, grant recipients may be required to Personnel; (2) Fringe Benefits; (3) relocated, or improved as proposed, on conduct certain environmental analyses Travel; (4) Equipment; (5) Supplies; (6) the freight rail and passenger rail and to prepare and submit to FRA draft Consultants/Contracts; (7) Other; and (8) operations on the line; documents required under NEPA, Indirect Costs. 4. Equitable treatment of the various NHPA, and related statutes and See Appendix 3 of this solicitation for regions of the United States; regulations. more information on project budgets. 5. Any other factors FRA determines No publicly-owned land from a park, 3.4.3 Submission Dates and Times to be relevant in assessing the recreational area, or wildlife or effectiveness and/or efficiency of the Complete applications must be waterfowl refuge of national, State, or grant application, including the cost- submitted to Grants.gov (as specified in local significance as determined by the effectiveness of the proposed project in Federal, State, or local officials having Section 3.1) no later than 5 p.m. EDT, terms of benefits achieved in relation to jurisdiction thereof, or any land from an October 29, 2010. Grants.gov will send the funds expended. In the preamble to historic site of national, State, or local the applicant an automated e-mail the Final Rule, FRA provided an significance as so determined by such confirming receipt of the application. extensive, but not exhaustive, list of officials shall be used by grant Supporting documentation that cannot possible data items that could be used recipients without the prior written be submitted electronically may be sent to support a cost-effectiveness concurrence of FRA. Grant recipients by courier service with a waybill receipt determination. That list can be found at shall assist FRA in complying with stamped no later than 5 p.m. EDT, 73 FR 39875. these requirements of 49 U.S.C. 303(c). October 29, 2010. FRA will e-mail the Applicants are advised to consult applicant to confirm receipt of Section 5: Award Administration with the FRA’s Office of Railroad Policy supporting documentation sent by Information and Development before initiating any courier service. 5.1 Award Notices NEPA, NHPA or Section 4(f) Subject to demonstration of environmental or historic preservation unanticipated extenuating Should FRA select a project for reviews. circumstances, FRA may, but is not funding, notification of application 9. Format: Excluding spreadsheets, obligated to, consider application approval is made through the drawings, and tables, the Project materials submitted after the deadlines GrantSolutions (GS) system. Selectees Narrative/Statement of Work for grant prescribed above. should follow the directions in the applications may not exceed 35 pages in FRA reserves the right to contact notification and log into GS to access length. FRA will not consider any applicants with any concerns, the award document. The authorized application that includes a narrative questions, or comments related to grantee official should carefully read the that exceeds 35 pages. With the applications. award and terms/conditions documents. exclusion of oversized engineering The grantee must either accept or drawings (which may be submitted in 3.4.4 Intergovernmental Review decline the award in GS. hard copy to the FRA at the address Executive Order 12372 requires The period of performance for this above), all application materials should applicants from State and local units of grant program is dependent on the be submitted as attachments through government or other organizations project. However, any unobligated funds Grants.Gov. Spreadsheets consisting of providing services within a State to will be deobligated at the end of the 90 budget or financial information should submit a copy of the application to the day close-out period, provided for in be submitted via Grants.Gov as State Single Point of Contact (SPOC), if Appendix 2.4. Extensions to the period

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of performance will be considered only obtain access to Federal agency records, constraints as set forth in the agreement, through written requests to FRA with except to the extent that such records (or together with recommended solutions or specific and compelling justifications portions of them) are protected from public corrective action plans (with dates) to such why an extension is required. disclosure by one of nine exemptions or by problems, or identification of specific action one of three special law enforcement record that is required by the FRA, or a statement 5.2 Administrative and National exclusions. Grant applications and related that no problems were encountered; and (c) Policy Requirements materials submitted by applicants pursuant an outline of work and activities planned for to this guidance will become agency records, the next reporting period. The grantee and any subgrantee shall and thus are subject to the FOIA and to • Quarterly Federal Financial Report (SF– comply with all applicable laws and public release through individual FOIA 425)—The Grantee must submit a quarterly regulations. For a non-exclusive list of requests. FRA also recognizes that certain Federal financial report electronically in the regulations commonly applicable to information submitted in support of an GrantSolutions system, on or before the FRA grants refer to Appendix 1. application for funding in accordance with thirtieth (30th) calendar day of the month this guidance could be exempt from public following the end of the quarter being 5.3 General Requirements release under FOIA as a result of the reported (e.g., for quarter ending March 31, the SF–425 is due no later than April 30). A Grant recipients must comply with application of one of the FOIA exemptions, most particularly Exemption 4, which report must be submitted for every quarter of reporting requirements. All post-award the period of performance, including partial information pertaining to reporting, protects trade secrets and commercial or financial information obtained from a person calendar quarters, as well as for periods auditing, monitoring, and the close-out that is privileged or confidential (5 U.S.C. where no grant activity occurs. The Grantee process is detailed in Appendix 2. 552(b)(4)). In the context of this grant must use SF–425, Federal Financial Report, in accordance with the instructions program, commercial or financial Appendix 1: Administrative and accompanying the form, to report all information obtained from a person could be National Policy Requirements transactions, including Federal cash, Federal confidential if disclosure is likely to cause expenditures and unobligated balance, Appendix 1.1 Standard Financial substantial harm to the competitive position recipient share, and program income. Requirements of the person from whom the information • Interim Report(s)—If required, interim was obtained (see National Parks & Administrative Requirements reports will be due at intervals specified in Conservation Ass’n v. Morton, 498 F.2d 765, the Statement of Work and must be • 49 CFR Part 18, Uniform Administrative 770 (D.C. Cir. 1974)). Entities seeking exempt Requirements for Grants and Cooperative submitted to FRA. treatment must provide a detailed statement • Final Report(s)—Within 90 days of the Agreements to State and Local Governments supporting and justifying the request and • 49 CFR Part 19, Uniform Administrative Project completion date or termination by should follow FRA’s existing procedures for FRA, the Grantee must submit a Summary Requirements for Grants and Cooperative requesting confidential treatment in the Agreements with Institutions of Higher Project Report in the GrantSolutions system. railroad safety context found at 49 CFR This report should detail the results and Education, Hospitals, and Other Non-Profit 209.11. As noted in the Department’s FOIA Organizations (OMB Circular A–110) benefits of the Grantee’s improvement efforts. implementing regulation (49 CFR part 7), the • Reports, Presentations and Other Cost Principles burden is on the entity requesting Deliverables—Whether for technical confidential treatment to identify all • 2 CFR Part 225, Cost Principles for State, examination, administrative review, or information for which exempt treatment is Local, and Indian Tribal Governments (OMB publication, all submittals shall be of a sought and to persuade the agency that the Circular A–87) professional quality and suitable for their information should not be disclosed (see 49 • 2 CFR Part 220, Cost Principles for intended purpose. Due dates for submittals CFR 7.17). The final decision as to whether Educational Institutions (OMB Circular shall be based on the specified intervals or A–21) the information meets the standards of days from the effective date of the agreement. • Exemption 4 rests with FRA. 2 CFR Part 230, Cost Principles for Non- Appendix 2.2 Audit Requirements Profit Organizations (OMB A–122) Appendix 2: Additional Information on • Federal Acquisition Regulations (FAR), Grant recipients that expend $500,000 or Award Administration and Grant more of Federal funds during their fiscal Part 31.2 Contract Cost Principles and Conditions Procedures, Contracts with Commercial year, combined from all sources, are required Organizations Appendix 2.1 Reporting Requirements to submit an organization-wide financial and compliance audit report. The audit must be Audit Requirements Reporting requirements must be met performed in accordance with U.S. General • OMB Circular A–133, Audits of States, throughout the life of the grant (refer to the Accountability Office, Government Auditing Local Governments, and Non-Profit program guidance and the special/general Standards, located at http://www.gao.gov/ Organizations provisions found in the award package for a govaud/ybk01.htm, and OMB Circular A– full explanation of these requirements). 133, Audits of States, Local Governments, Appendix 1.2 Administrative and National • Progress Reports—Progress reports are to and Non-Profit Organizations, located at Policy Requirements be submitted quarterly. These reports must http://www.whitehouse.gov/omb/circulars/ Grant recipients must follow all relate the state of completion of items in the a133/a133.html. Currently, audit reports administrative and national policy Statement of Work to expenditures of the must be submitted to the Federal Audit requirements including: procurement relevant budget elements. The grant recipient Clearinghouse no later than nine months standards, compliance with Federal civil must furnish the quarterly progress report to after the end of the recipient’s fiscal year. In rights laws and regulations, disadvantaged the FRA on or before the 30th calendar day addition, FRA and the Comptroller General business enterprises (DBE), debarment and of the month following the end of the quarter of the United States must have access to any suspension, drug-free workplace, FRA’s and being reported. Grantees must submit reports books, documents, and records of grant OMB’s Assurances and Certifications, for the periods: January 1–March 31, April 1– recipients for audit and examination Americans with Disabilities Act (ADA), Buy June 30, July 1–September 30, and October purposes. The grant recipient will also give America, environmental protection, National 1–December 31. Each quarterly report must FRA or the Comptroller, through any Environmental Policy Act (NEPA), and set forth concise statements concerning authorized representative, access to, and the environmental justice. activities relevant to the project, and should right to examine all records, books, papers or include, but not be limited to, the following: documents related to the grant. Grant Appendix 1.3 Freedom of Information Act (a) An account of significant progress recipients must require that sub-grantees (FOIA) (findings, events, trends, etc.) made during comply with the audit requirements set forth As a Federal agency, FRA is subject to the the reporting period; (b) a description of any in OMB Circular A–133. Grant recipients are Freedom of Information Act (FOIA) (5 U.S.C. technical and/or cost problem(s) encountered responsible for ensuring that sub-recipient 552), which generally provides that any or anticipated that will affect completion of audit reports are received and for resolving person has a right, enforceable in court, to the grant within the time and fiscal any audit findings.

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Appendix 2.3 Monitoring Requirements established formula. Fringe benefits are for Federal funds and matching funds. Items of Grant recipients will be monitored personnel listed in the ‘‘Personnel’’ budget cost included in the budget must be periodically by FRA to ensure that the project category and only for the percentage of time reasonable, allocable, and necessary for the devoted to the project. project. At a minimum, the budget should goals, objectives, performance requirements, • timelines, milestones, budgets, and other Travel: Itemize travel expenses of project separate total cost of the project into the related program criteria are being met. FRA personnel by purpose (training, interviews, following categories and provide a basis of and meetings). Show the basis of computation for each cost: will conduct monitoring activities through a • combination of office-based reviews and computation (e.g., X people to Y-day training Administrative and Legal Expenses: List at $A airfare, $B lodging, $C subsistence). the estimated amounts needed to cover onsite monitoring visits. Monitoring will • involve the review and analysis of the Equipment: List non-expendable items administrative expenses. Do not include financial, programmatic, and administrative that are to be purchased. Nonexpendable costs which are related to the normal issues relative to each program and will equipment is tangible property having a functions of government. Allowable legal identify areas where technical assistance and useful life of more than two years and an costs are generally only those associated with other support may be needed. The recipient acquisition cost of $5,000 or more per unit. the purchases of land which is allowable for is responsible for monitoring award (Note: Organization’s own capitalization Federal participation and certain services in activities, including sub-awards and sub- policy may be used for items costing less support of construction of the project. This than $5,000.) Expendable items should be may include: grantees, to provide reasonable assurance Æ that the award is being administered in included either in the ‘‘Supplies’’ category or Hours/Rate and total cost of local in the ‘‘Other’’ category. Applicants should government staff compliance with Federal requirements. Æ Financial monitoring responsibilities include analyze the cost benefits of purchasing versus Hours/Rate and total cost of outside the accounting of recipients and leasing equipment, especially high cost items counsel fees and those subject to rapid technical Æ Hours/Rate and total cost of consultants expenditures, cash management, maintaining • of adequate financial records, and refunding advances. Rented or leased equipment Land, structures, rights-of-way, expenditures disallowed by audits. should be listed in the ‘‘Contractual’’ appraisals, and related items: List the category. Explain how the equipment is estimate site and right(s)-of-way acquisition Appendix 2.4 Closeout Process necessary for the success of the project. costs (this includes purchase, lease, and/or Project closeout occurs when all required Attach a narrative describing the easements). If possible, include details of project work and all administrative procurement method to be used. number of acres, acre cost, square-footage, procedures described in 49 CFR section • Supplies: List items by type (office and square footage cost. 262.19, as applicable, have been completed, supplies, postage, training materials, copying • Relocation expenses and payments: List and when FRA notifies the grant recipient paper, and expendable equipment items the estimated costs relation to relocation and forwards the final Federal assistance costing less than $5,000) and show the basis advisory assistance, replacement of housing, payment, or when FRA acknowledges the for computation. (Note: Organization’s own relocation payments to displaced persons grant recipient’s remittance of the proper capitalization policy may be used for items and businesses, etc. This may include: refund. Project closeout should not invalidate costing less than $5,000). Generally, supplies Æ The gross salaries and wages of any continuing obligations imposed on the include any materials that are expendable or employees for the grantee who will be Grantee by an award or by the FRA’s final consumed during the course of the project. directly engaged in performing demolition or notification or acknowledgment. Within 90 • Consultants/Contracts: Indicate whether removal of structures from developed land days of the Project completion date or applicant’s written procurement policy (see • Architectural and engineering fees: List termination by FRA, grantees agree to submit 49 CFR 18.36) or the Federal Acquisition the estimated basic engineering fees related a final Federal Financial Report (SF–425), a Regulations (FAR) are followed. Consultant to construction (this includes start-up certification or summary of project expenses, Fees: For each consultant enter the name, if services and preparation of project a final report, and third party audit reports, known, service to be provided, hourly or performance work plan). as applicable. daily fee (8-hour day), and the estimated time • Other architectural and engineering fees: on the project. Consultant Expenses: List all List the estimated engineering costs, such as Appendix 3: Additional Information on expenses to be paid from the grant to the surveys, tests, soil borings, etc. Applicant Budgets individual consultants in addition to their • Project inspection fees: List the The information contained in this fees (travel, meals, and lodging). Contracts: estimated engineering inspection costs. This appendix is intended to assist applicants Provide a description of the product or may include: Æ with developing the SOW budget and OMB service to be procured by contract and an Rate of project inspector Æ Standard Forms 424A: Budget Information— estimate of the cost. Applicants are Construction monitoring Æ Non-Construction Programs and 424C: encouraged to promote free and open Audit or construction programs • Budget Information—Construction Programs, competition in awarding contracts. A Site Work: List the estimated costs of site as described in Section 3.3.1. separate justification must be provided for preparation and restoration which are not sole source contracts in excess of $100,000. included in the basic construction contract. Appendix 3.1 Non-Construction Project • Other: List items (rent, reproduction, This may include: Budgets telephone, janitorial or security services) by Æ Clearing Applicants must present a detailed budget major type and the basis of the computation. Æ Erosion control for the proposed project that includes both For example, provide the square footage and Æ Reseeding Federal funds and matching funds. Items of the cost per square foot for rent, or provide • Demolition and removal: List the cost included in the budget must be the monthly rental cost and how many estimated costs related to demolition reasonable, allocable, and necessary for the months to rent. activities. project. At a minimum, the budget should • Indirect Costs: Indirect costs are allowed • Construction: List the estimated cost of separate total cost of the project into the only if the applicant has a Federally- the construction contract. This may include following categories and provide a basis of approved indirect cost rate. A copy of the costs for: computation for each cost: rate approval (a fully executed, negotiated Æ Labor costs, e.g., associated with site • Personnel: List each position by title and agreement) must be attached. If the applicant preparation and installation of grade name of employee, if available, and show the does not have an approved rate, one can be crossings, highway warning signs, etc. annual salary rate and the percentage of time requested by contacting the applicant’s Æ Equipment rental/purchase, e.g., an to be devoted to the project. Compensation cognizant Federal agency, which will review excavator or bulldozer paid for employees engaged in grant all documentation and approve a rate for the Æ Materials, e.g., Rail anchors, retaining activities must be consistent with that paid applicant organization. walls, etc. for similar work within the applicant • Equipment: List the estimated cost of organization. Appendix 3.2 Construction Project Budgets office, shop, laboratory, safety equipment, • Fringe Benefits: Fringe benefits should Applicants must present a detailed budget etc. to be used at the facility, if such costs be based on actual known costs or an for the proposed project that includes both are not included in the construction contract.

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• Miscellaneous: List the estimated On August 23, 2010, the FAA Sr., A.A.E., Director of Aviation, miscellaneous costs. determined that the request for Springfield-Branson National Airport, • Contingencies: List the estimated permanent easement at Dallas/Fort 5000 West Kearney, Suite 15, contingency costs. Worth International Airport, submitted Springfield, MO 65803, (417) 869–0300. Issued in Washington, DC on September 7, by the Airport, met the procedural FOR FURTHER INFORMATION CONTACT: 2010. requirements of the Federal Aviation Nicoletta S. Oliver, Airports Compliance Mark Yachmetz, Regulations, Part 155. The FAA may Specialist, Federal Aviation Associate Administrator. approve the request, in whole or in part, Administration, Airports Division, [FR Doc. 2010–22652 Filed 9–9–10; 8:45 am] no later than October 23, 2010. ACE–6100, 901 Locust, Kansas City, MO BILLING CODE 4910–06–P The following is a brief overview of 64106, (816) 329–2642, the request: [email protected]. The Dallas/Fort Worth International The request to release property may DEPARTMENT OF TRANSPORTATION Airport requests the release for be reviewed, by appointment, in person permanent easement of 0.501 acres of at this same location. Federal Aviation Administration non-aeronautical airport property. The SUPPLEMENTARY INFORMATION: The FAA land was acquired by the Cities of Dallas invites public comment on the request Notice of Intent To Rule on Request To and Fort Worth for use as an airport. to release approximately 235 acres of Release Airport Property at the Dallas/ The funds generated by the release will property known as the Air Park South Fort Worth International Airport, DFW be used to improve the Airport’s Airport (2K2) under the provisions of 49 Airport, TX roadway system. U.S.C. 47107(h)(2). On September 25, Any person may inspect the request AGENCY: Federal Aviation 2007, the Director of Aviation at the in person at the FAA office listed above Administration (FAA), DOT. Springfield-Branson National Airport under FOR FURTHER INFORMATION ACTION: notified the FAA that because of the Notice of request of release for CONTACT. permanent easement of airport property. In addition, any person may, upon Sponsor’s inability to acquire land request, inspect the application, notice necessary to safely and effectively SUMMARY: The FAA proposes to rule and operate the airport, he requested full invite public comment on the request and other documents relevant to the application in person at the Dallas/Fort release of the affected property from for permanent easement at the Dallas/ Federal obligations. On March 16, 2010, Fort Worth International Airport under Worth International Airport, telephone number (972) 973–5200. the FAA determined that the request to the provisions of Section 125 of the release property at Air Park South Wendell H. Ford Aviation Investment Issued in Fort Worth, Texas, on August 31, Airport (2K2) submitted by the Sponsor Reform Act for the 21st Century (AIR 2010. meets the procedural requirements of 21). Joseph G. Washington, the Federal Aviation Administration. Acting Manager, Airports Division. DATES: Comments must be received on The FAA may approve the request, in or before October 12, 2010. [FR Doc. 2010–22542 Filed 9–9–10; 8:45 am] whole or in part, no sooner than thirty BILLING CODE M ADDRESSES: Comments on this days after the publication of this Notice. application may be mailed or delivered The following is a brief overview of the request: to the FAA at the following address: Mr. DEPARTMENT OF TRANSPORTATION Mike Nicely, Manager, Federal Aviation Air Park South Airport (2K2) is proposing the release of the entire Administration, Southwest Region, Federal Aviation Administration Airports Division, Texas Airports airport property and associated Development Office, ASW–650, Fort Notice of Intent To Rule on Request To facilities. The release of land is Worth, Texas 76137–0650. Release Airport Property at the Air necessary to comply with Federal In addition, one copy of any Park South Airport (2K2), Ozark, MO Aviation Administration Grant comments submitted to the FAA must Assurances that do not allow Federally AGENCY: Federal Aviation acquired airport property to be used for be mailed or delivered to Mr. Jeff Fegan, Administration (FAA), DOT. Chief Executive Office, at the following non-aviation purposes. The sale and ACTION: address: Dallas/Fort Worth International Notice of Request To Release permanent abandonment of the subject Airport, Executive Office, P.O. Box Airport Property. property will result in the lands of the 619428, DFW Airport, Texas 75261. Air Park South Airport (2K2) being SUMMARY: The FAA proposes to rule and changed from aeronautical to FOR FURTHER INFORMATION CONTACT: Mr. invites public comment on the release of nonaeronautical use and release the Rodney Clark, Program Manager, land at the Air Park South Airport (2K2) lands from the conditions of the AlP Federal Aviation Administration, Texas under the provisions of 49 U.S.C. Grant Agreement Grant Assurances. In Airports Development Office, ASW– 47107(h)(2). accordance with 49 U.S.C. 651, 2601 Meacham Boulevard, Fort DATES: Comments must be received on 47107(c)(2)(B)(i) and (iii), the airport Worth, Texas 76137–0650, Telephone: or before October 12, 2010. will receive fair market value for the (817) 222–5659, e-mail: ADDRESSES: Comments on this property, which will be subsequently [email protected], fax: (817) 222– application may be mailed or delivered reinvested in another eligible airport 5989. to the FAA at the following address: improvement project for general The request to release property may Nicoletta S. Oliver, Airports Compliance aviation facilities at the Springfield- be reviewed in person at this same Specialist, Federal Aviation Branson National Airport. location. Administration, Airports Division, Any person may inspect, by SUPPLEMENTARY INFORMATION: The FAA ACE–610C, 901 Locust, Kansas City, appointment, the request in person at invites public comment on the request MO 64106. the FAA office listed above under FOR to release property at the Dallas/Fort In addition, one copy of any FURTHER INFORMATION CONTACT. In Worth International Airport under the comments submitted to the FAA must addition, any person may, upon provisions of the AIR 21. be mailed or delivered to: Gary A. Cyr, appointment and request, inspect the

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application, notice and other documents plan or a health insurance issuer DEPARTMENT OF THE TREASURY determined by the FAA to be related to requiring or allowing for the designation the application in person at the of a primary care provider provide Internal Revenue Service Springfield-Branson National Airport. notice to participants of the right to [REG–120399–10 (T.D. 9491)] Issued in Kansas City, MO, on September designate a primary care provider RIN 1545–BJ61 1, 2010. (including a pediatrician for a child) and of the right to obtain access to Jim A. Johnson, Proposed Collection; Comment obstetrical or gynecological services Manager, Airports Division. Request for Regulation Project without referral from a primary care [FR Doc. 2010–22541 Filed 9–9–10; 8:45 am] provider. AGENCY: Internal Revenue Service (IRS), BILLING CODE 4910–13–M Current Actions: There is no change to Treasury. this existing regulation. ACTION: Notice and request for comments. DEPARTMENT OF THE TREASURY Type of Review: Extension of a currently approved collection. SUMMARY: The Department of the Internal Revenue Service Affected Public: Business or other for- Treasury, as part of its continuing effort [REG–120399–10 [RIN 1545–BJ61] (T.D. profit organizations. to reduce paperwork and respondent 9491)] Estimated Number of Respondents: burden, invites the general public and 170,000. other Federal agencies to take this Proposed Collection; Comment opportunity to comment on proposed Request for Regulation Project Estimated Total Annual Burden and/or continuing information Hours: 33,000. collections, as required by the AGENCY: Internal Revenue Service (IRS), The following paragraph applies to all Paperwork Reduction Act of 1995, Treasury. of the collections of information covered Public Law 104–13 (44 U.S.C. ACTION: Notice and request for by this notice: 3506(c)(2)(A)). Currently, the IRS is comments. An agency may not conduct or soliciting comments concerning existing SUMMARY: The Department of the sponsor, and a person is not required to Interim Final Regulations, Affordable Treasury, as part of its continuing effort respond to, a collection of information Care Act Notice of Rescission. to reduce paperwork and respondent unless the collection of information DATES: Written comments should be burden, invites the general public and displays a valid OMB control number. received on or before November 9, 2010 other Federal agencies to take this Books or records relating to a collection to be assured of consideration. opportunity to comment on proposed of information must be retained as long ADDRESSES: Direct all written comments and/or continuing information as their contents may become material to Gerald Shields, Internal Revenue collections, as required by the in the administration of any internal Service, Room 6129, 1111 Constitution Paperwork Reduction Act of 1995, revenue law. Avenue, NW., Washington, DC 20224. Public Law 104–13 (44 U.S.C. Generally, tax returns and tax return FOR FURTHER INFORMATION CONTACT: 3506(c)(2)(A)). Currently, the IRS is information are confidential, as required Requests for additional information or soliciting comments concerning existing by 26 U.S.C. 6103. copies of the regulations should be Interim Final Regulations, REG– directed to Joel Goldberger, (202) 927– Request for Comments: Comments 120399–10–Affordable Care Act Notice 9368, or at Internal Revenue Service, submitted in response to this notice will of Patient Protection. Room 6129, 1111 Constitution Avenue, be summarized and/or included in the DATES: Written comments should be NW., Washington DC 20224, or through request for OMB approval. All the internet, at received on or before November 9, 2010 comments will become a matter of to be assured of consideration. [email protected]. public record. Comments are invited on: Title: Affordable Care Act Notice of ADDRESSES: Direct all written comments (a) Whether the collection of Rescission. to Gerald Shields, Internal Revenue information is necessary for the proper OMB Number: 1545–2180. Service, Room 6129, 1111 Constitution performance of the functions of the Regulation Project Number: REG– Avenue, NW., Washington, DC 20224. agency, including whether the 120399–10 [RIN 1545–BJ61] (T.D. 9491). FOR FURTHER INFORMATION CONTACT: information shall have practical utility; Abstract: This document contains Requests for additional information or (b) the accuracy of the agency’s estimate interim final regulations implementing copies of the regulations should be of the burden of the collection of the rules for group health plans and directed to Joel Goldberger, (202) 927– information; (c) ways to enhance the health insurance coverage in the group 9368, or at Internal Revenue Service, quality, utility, and clarity of the and individual markets under Room 6129, 1111 Constitution Avenue, information to be collected; (d) ways to provisions of the Affordable Care Act NW., Washington DC 20224, or through minimize the burden of the collection of regarding preexisting condition the Internet, at information on respondents, including exclusions, lifetime and annual dollar [email protected]. through the use of automated collection limits on benefits, rescissions, Title: REG–120399–10–Affordable techniques or other forms of information prohibition on discrimination in favor Care Act Notice of Patient Protection. technology; and (e) estimates of capital of highly compensated individuals, and OMB Number: 1545–2181. or start-up costs and costs of operation, patient protections. Regulation Project Number: REG– maintenance, and purchase of services Current Actions: There is no change to 120399–10 [RIN 1545–BJ61] (T.D. 9491). to provide information. this existing regulation. Abstract: Section 2719A of the Public Type of Review: Extension of a Approved: August 30, 2010. Health Service Act (PHS Act), currently approved collection. incorporated into Code section 9815 by Allan Hopkins, Affected Public: Business or other for- section 1563(f) of the Patient Protection Tax Analyst. profit organizations. and Affordable Care Act, Public Law [FR Doc. 2010–22632 Filed 9–9–10; 8:45 am] Estimated Number of Respondents: 111–148, requires that a group health BILLING CODE 4830–01–P 800.

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Estimated Total Annual Burden opportunity to comment on proposed Request for Comments: Comments Hours: 25 Hours. and/or continuing information submitted in response to this notice will The following paragraph applies to all collections, as required by the be summarized and/or included in the of the collections of information covered Paperwork Reduction Act of 1995, request for OMB approval. All by this notice: Public Law 104–13 (44 U.S.C. comments will become a matter of An agency may not conduct or 3506(c)(2)(A)). Currently, the IRS is public record. Comments are invited on: sponsor, and a person is not required to soliciting comments concerning existing (a) Whether the collection of respond to, a collection of information Interim Final Regulations, Patient information is necessary for the proper unless the collection of information Protection and Affordable Care Act performance of the functions of the displays a valid OMB control number. Enrollment Opportunity Notice Relating agency, including whether the Books or records relating to a to Lifetime Limits. information shall have practical utility; collection of information must be DATES: Written comments should be (b) the accuracy of the agency’s estimate retained as long as their contents may received on or before November 9, 2010 of the burden of the collection of become material in the administration to be assured of consideration. information; (c) ways to enhance the of any internal revenue law. Generally, ADDRESSES: Direct all written comments quality, utility, and clarity of the tax returns and tax return information to Gerald Shields, Internal Revenue information to be collected; (d) ways to are confidential, as required by 26 Service, Room 6129, 1111 Constitution minimize the burden of the collection of U.S.C. 6103. Avenue, NW., Washington, DC 20224. information on respondents, including Request for Comments: Comments FOR FURTHER INFORMATION CONTACT: through the use of automated collection submitted in response to this notice will Requests for additional information or techniques or other forms of information be summarized and/or included in the copies of the regulations should be technology; and (e) estimates of capital request for OMB approval. All directed to Joel Goldberger, (202) 927– or start-up costs and costs of operation, comments will become a matter of 9368, or at Internal Revenue Service, maintenance, and purchase of services public record. Comments are invited on: Room 6129, 1111 Constitution Avenue, to provide information. (a) Whether the collection of NW., Washington DC 20224, or through Approved: August 27, 2010. information is necessary for the proper the internet, at performance of the functions of the Gerald Shields, [email protected]. Supervisory Tax Analyst. agency, including whether the Title: Patient Protection and information shall have practical utility; Affordable Care Act Enrollment [FR Doc. 2010–22635 Filed 9–9–10; 8:45 am] (b) the accuracy of the agency’s estimate Opportunity Notice Relating to Lifetime BILLING CODE 4830–01–P of the burden of the collection of Limits. information; (c) ways to enhance the OMB Number: 1545–2179. quality, utility, and clarity of the Regulation Project Number: REG– DEPARTMENT OF THE TREASURY information to be collected; (d) ways to 120399–10 [RIN 1545–BJ61] Internal Revenue Service minimize the burden of the collection of Abstract: 26 CFR 54.9815–2711T information on respondents, including requires plans and issuers to provide an Open Meeting of the Area 1 Taxpayer through the use of automated collection individual whose coverage ended due to Advocacy Panel (Including the States techniques or other forms of information reaching a lifetime limit on the dollar of New York, Connecticut, technology; and (e) estimates of capital value of all benefits notice that the Massachusetts, Rhode Island, New or start-up costs and costs of operation, lifetime limit no longer applies and with Hampshire, Vermont and Maine) maintenance, and purchase of services an opportunity to enroll (including to provide information. notice of an opportunity to enroll) that AGENCY: Internal Revenue Service (IRS) Approved: August 27, 2010. continues for at least 30 days. Treasury. Current Actions: There is no change to Gerald Shields, ACTION: Notice of meeting. this existing regulation. Supervisory Tax Analyst. Type of Review: Extension of a SUMMARY: An open meeting of the Area [FR Doc. 2010–22633 Filed 9–9–10; 8:45 am] currently approved collection. 1 Taxpayer Advocacy Panel will be BILLING CODE 4830–01–P Affected Public: Business or other for- conducted. The Taxpayer Advocacy profit organizations. Panel is soliciting public comments, Estimated Number of Respondents: ideas and suggestions on improving DEPARTMENT OF THE TREASURY 29,000. customer service at the Internal Revenue Estimated Total Annual Burden Service. Internal Revenue Service Hours: 1300 Hours. DATES: The meeting will be held The following paragraph applies to all [REG–120399–10 (T.D. 9491)] Tuesday, October 19, 2010. of the collections of information covered RIN 1545–BJ61 by this notice: FOR FURTHER INFORMATION CONTACT: An agency may not conduct or Marisa Knispel at 1–888–912–1227 or Proposed Collection; Comment sponsor, and a person is not required to 718–488–3557. Request for Regulation Project respond to, a collection of information SUPPLEMENTARY INFORMATION: Notice is AGENCY: Internal Revenue Service (IRS), unless the collection of information hereby given pursuant to section Treasury. displays a valid OMB control number. 10(a)(2) of the Federal Advisory ACTION: Notice and request for Books or records relating to a Committee Act, 5 U.S.C. App. (1988) comments. collection of information must be that an open meeting of the Area 1 retained as long as their contents may Taxpayer Advocacy Panel will be held SUMMARY: The Department of the become material in the administration Tuesday, October 19, 2010, at 10 a.m. Treasury, as part of its continuing effort of any internal revenue law. Generally, Eastern Time via telephone conference. to reduce paperwork and respondent tax returns and tax return information The public is invited to make oral burden, invites the general public and are confidential, as required by 26 comments or submit written statements other Federal agencies to take this U.S.C. 6103. for consideration. Due to limited

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conference lines, notification of intent Dated: September 1, 2010. DEPARTMENT OF THE TREASURY to participate must be made with Marisa Shawn F. Collins, Knispel. For more information, please Director, Taxpayer Advocacy Panel. Internal Revenue Service contact Ms. Knispel at 1–888–912–1227 [FR Doc. 2010–22576 Filed 9–9–10; 8:45 am] or 718–488–3557, or write TAP Office, Open Meeting of the Area 5 Taxpayer 10 MetroTech Center, 625 Fulton Street, BILLING CODE 4830–01–P Advocacy Panel (Including the States Brooklyn, NY 11201, or contact us at the of Iowa, Kansas, Minnesota, Missouri, Nebraska, Oklahoma, and Texas) Web site: http://www.improveirs.org. DEPARTMENT OF THE TREASURY The agenda will include various IRS AGENCY: Internal Revenue Service (IRS) issues. Internal Revenue Service Treasury. Dated: September 1, 2010. ACTION: Notice of meeting. Open Meeting of the Area 6 Taxpayer Shawn F. Collins, Advocacy Panel (Including the States SUMMARY: An open meeting of the Area Director, Taxpayer Advocacy Panel. of Arizona, Colorado, Idaho, Montana, 5 Taxpayer Advocacy Panel will be [FR Doc. 2010–22570 Filed 9–9–10; 8:45 am] New Mexico, North Dakota, Oregon, conducted. The Taxpayer Advocacy BILLING CODE 4830–01–P South Dakota, Utah, Washington, and Panel is soliciting public comments, Wyoming) ideas, and suggestions on improving customer service at the Internal Revenue DEPARTMENT OF THE TREASURY AGENCY: Internal Revenue Service (IRS) Service. Treasury. DATES: The meeting will be held Internal Revenue Service Tuesday, October 12, 2010. ACTION: Notice of meeting. Open Meeting of Taxpayer Advocacy FOR FURTHER INFORMATION CONTACT: Patricia Robb at 1–888–912–1227 or Panel Notice Improvement Project SUMMARY: An open meeting of the Area 414–231–2360. Committee 6 Taxpayer Advocacy Panel will be SUPPLEMENTARY INFORMATION: Notice is conducted. The Taxpayer Advocacy AGENCY: hereby given pursuant to Section Internal Revenue Service (IRS), Panel is soliciting public comment, Treasury. 10(a)(2) of the Federal Advisory ideas, and suggestions on improving Committee Act, 5 U.S.C. App. (1988) ACTION: Notice of meeting. customer service at the Internal Revenue that a meeting of the Area 5 Taxpayer Service. Advocacy Panel will be held Tuesday, SUMMARY: An open meeting of the DATES: The meeting will be held October 12, 2010, at 11 a.m. Central Taxpayer Advocacy Panel Notice Wednesday, October 6, 2010. Time via telephone conference. The Improvement Project Committee will be public is invited to make oral comments conducted. The Taxpayer Advocacy FOR FURTHER INFORMATION CONTACT: or submit written statements for Panel is soliciting public comments, Timothy Shepard at 1–888–912–1227 or consideration. Due to limited ideas and suggestions on improving 206–220–6095. conference lines, notification of intent customer service at the Internal Revenue to participate must be made with Service. SUPPLEMENTARY INFORMATION: Notice is hereby given pursuant to Section Patricia Robb. For more information DATES: The meeting will be held 10(a)(2) of the Federal Advisory please contact Ms. Robb at 1–888–912– Wednesday, October 13, 2010. Committee Act, 5 U.S.C. App. (1988) 1227 or 414–231–2360, or write TAP Office Stop 1006MIL, 211 West that an open meeting of the Area 6 FOR FURTHER INFORMATION CONTACT: Wisconsin Avenue, Milwaukee, WI Taxpayer Advocacy Panel will be held Audrey Y. Jenkins at 1–888–912–1227 53203–2221, or post comments to the Wednesday, October 6, 2010, at 1 p.m. or 718–488–2085. Web site: http://www.improveirs.org. Pacific Time via telephone conference. SUPPLEMENTARY INFORMATION: Notice is The agenda will include various IRS The public is invited to make oral issues. hereby given pursuant to section comments or submit written statements 10(a)(2) of the Federal Advisory for consideration. Due to limited Dated: September 1, 2010. Committee Act, 5 U.S.C. App. (1988) conference lines, notification of intent Shawn F. Collins, that an open meeting of the Taxpayer to participate must be made with Director, Taxpayer Advocacy Panel. Advocacy Panel Notice Improvement [FR Doc. 2010–22559 Filed 9–9–10; 8:45 am] Project Committee will be held Timothy Shepard. For more BILLING CODE 4830–01–P Wednesday, October 13, 2010, at 2 p.m. information, please contact Mr. Shepard Eastern Time via telephone conference. at 1–888–912–1227 or 206–220–6095, or write TAP Office, 915 2nd Avenue, MS The public is invited to make oral DEPARTMENT OF THE TREASURY comments or submit written statements W–406, Seattle, WA 98174 or post for consideration. Due to limited comments to the Web site: http:// Internal Revenue Service conference lines, notification of intent www.improveirs.org. to participate must be made with The agenda will include various IRS Open Meeting of the Taxpayer Audrey Y. Jenkins. For more issues. Advocacy Panel Tax Forms and information, please contact Ms. Jenkins Publications/MLI Project Committee at 1–888–912–1227 or 718–488–2085, or Dated: September 1, 2010. Shawn F. Collins, AGENCY: Internal Revenue Service (IRS), write TAP Office, 10 MetroTech Center, Treasury. 625 Fulton Street, Brooklyn, NY 11201, Director, Taxpayer Advocacy Panel. ACTION: Notice of meeting. or post comments to the Web site: [FR Doc. 2010–22555 Filed 9–9–10; 8:45 am] http://www.improveirs.org. BILLING CODE 4830–01–P SUMMARY: An open meeting of the The agenda will include various IRS Taxpayer Advocacy Panel Tax Forms issues. and Publications/MLI Project

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Committee will be conducted. The 10(a)(2) of the Federal Advisory contact Ms. Smiley at 1–888–912–1227 Taxpayer Advocacy Panel is soliciting Committee Act, 5 U.S.C. App. (1988) or 414–231–2360, or write TAP Office public comments, ideas and suggestions that an open meeting of the Taxpayer Stop 1006MIL, 211 West Wisconsin on improving customer service at the Advocacy Panel Small Business/Self Avenue, Milwaukee, WI 53203–2221, or Internal Revenue Service. Employed Project Committee will be post comments to the Web site: http:// DATES: The meeting will be held held Thursday, October 28, 2010, at 9 www.improveirs.org. Thursday, October 14, 2010. a.m. Pacific Time via telephone The agenda will include various IRS FOR FURTHER INFORMATION CONTACT: conference. The public is invited to issues. Marisa Knispel at 1–888–912–1227 or make oral comments or submit written Dated: September 1, 2010. 718–488–3557. statements for consideration. Due to Shawn F. Collins, SUPPLEMENTARY INFORMATION: Notice is limited conference lines, notification of Director, Taxpayer Advocacy Panel. intent to participate must be made with hereby given pursuant to section [FR Doc. 2010–22569 Filed 9–9–10; 8:45 am] Janice Spinks. For more information 10(a)(2) of the Federal Advisory BILLING CODE 4830–01–P Committee Act, 5 U.S.C. App. (1988) please contact Ms. Spinks at 1–888– that an open meeting of the Taxpayer 912–1227 or 206–220–6098, or write Advocacy Panel Tax Forms and TAP Office, 915 2nd Avenue, MS W– DEPARTMENT OF THE TREASURY Publications/MLI Project Committee 406, Seattle, WA 98174 or post will be held Thursday, October 14, comments to the Web site: http:// Internal Revenue Service 2010, at 1 pm, Eastern Time via www.improveirs.org. telephone conference. The public is The agenda will include various IRS Open Meeting of the Area 3 Taxpayer invited to make oral comments or issues. Advocacy Panel (Including the States submit written statements for Dated: September 1, 2010. of Florida, Georgia, Alabama, Mississippi, Louisiana, Arkansas, and consideration. Due to limited Shawn F. Collins, the Territory of Puerto Rico) conference lines, notification of intent Director, Taxpayer Advocacy Panel. to participate must be made with Marisa [FR Doc. 2010–22571 Filed 9–9–10; 8:45 am] AGENCY: Internal Revenue Service (IRS) Knispel. For more information, please BILLING CODE 4830–01–P Treasury. contact Ms. Knispel at 1–888–912–1227 ACTION: Notice of meeting. or 718–488–3557, or write TAP Office, 10 MetroTech Center, 625 Fulton Street, DEPARTMENT OF THE TREASURY SUMMARY: An open meeting of the Area Brooklyn, NY 11201, or post comments 3 Taxpayer Advocacy Panel will be to the Web site: http:// Internal Revenue Service conducted. The Taxpayer Advocacy www.improveirs.org. Panel is soliciting public comments, The agenda will include various IRS Open Meeting of the Taxpayer ideas, and suggestions on improving issues. Advocacy Panel Taxpayer Assistance customer service at the Internal Revenue Center Committee Dated: September 1, 2010. Service. Shawn F. Collins, AGENCY: Internal Revenue Service (IRS) DATES: The meeting will be held Monday, October 18, 2010. Director, Taxpayer Advocacy Panel. Treasury. FOR FURTHER INFORMATION CONTACT: [FR Doc. 2010–22572 Filed 9–9–10; 8:45 am] ACTION: Notice of meeting. Donna Powers at 1–888–912–1227 or BILLING CODE 4830–01–P SUMMARY: An open meeting of the 954- 423–7977. Taxpayer Advocacy Panel Taxpayer SUPPLEMENTARY INFORMATION: Notice is DEPARTMENT OF THE TREASURY Assistance Center Committee will be hereby given pursuant to Section conducted. The Taxpayer Advocacy 10(a)(2) of the Federal Advisory Internal Revenue Service Panel is soliciting public comments, Committee Act, 5 U.S.C. App. (1988) ideas, and suggestions on improving that a meeting of the Area 3 Taxpayer Open Meeting of the Taxpayer customer service at the Internal Revenue Advocacy Panel will be held Monday, Advocacy Panel Small Business/Self Service. October 18, 2010, at 2:30 p.m. Eastern Employed Project Committee DATES: The meeting will be held Time via telephone conference. The AGENCY: Internal Revenue Service (IRS) Tuesday, October 26, 2010. public is invited to make oral comments Treasury. FOR FURTHER INFORMATION CONTACT: or submit written statements for consideration. Due to limited ACTION: Notice of meeting. Ellen Smiley at 1–888–912–1227 or 414–231–2360. conference lines, notification of intent SUMMARY: to participate must be made with Donna An open meeting of the SUPPLEMENTARY INFORMATION: Notice is Powers. For more information, please Taxpayer Advocacy Panel Small hereby given pursuant to Section Business/Self Employed Project contact Ms. Powers at 1–888–912–1227 10(a)(2) of the Federal Advisory or 954–423–7977, or write TAP Office, Committee will be conducted. The Committee Act, 5 U.S.C. App. (1988) Taxpayer Advocacy Panel is soliciting 1000 South Pine Island Road, Suite 340, that an open meeting of the Taxpayer Plantation, FL 33324, or post comments public comments, ideas, and Advocacy Panel Taxpayer Assistance suggestions on improving customer to the Web site: http:// Center Committee will be held Tuesday, www.improveirs.org. service at the Internal Revenue Service. October 26, 2010, at 1 p.m. Central Time DATES: The meeting will be held The agenda will include various IRS via telephone conference. The public is issues. Thursday, October 28, 2010. invited to make oral comments or FOR FURTHER INFORMATION CONTACT: submit written statements for Dated: September 1, 2010. Janice Spinks at 1–888–912–1227 or consideration. Due to limited Shawn F. Collins, 206–220–6098. conference lines, notification of intent Director, Taxpayer Advocacy Panel. SUPPLEMENTARY INFORMATION: Notice is to participate must be made with Ellen [FR Doc. 2010–22566 Filed 9–9–10; 8:45 am] hereby given pursuant to Section Smiley. For more information please BILLING CODE 4830–01–P

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DEPARTMENT OF THE TREASURY conducted. The Taxpayer Advocacy Advocacy Panel Volunteer Income Tax Panel is soliciting public comments, Issue Committee will be held Tuesday, Internal Revenue Service ideas, and suggestions on improving October 12, 2010, at 2 p.m. Eastern Time customer service at the Internal Revenue via telephone conference. The public is Open Meeting of the Area 4 Taxpayer Service. invited to make oral comments or Advocacy Panel (Including the States DATES: The meeting will be held submit written statements for of Illinois, Indiana, Kentucky, Michigan, Wednesday, October 20, 2010. consideration. Due to limited Ohio, Tennessee, and Wisconsin) FOR FURTHER INFORMATION CONTACT: conference lines, notification of intent AGENCY: Internal Revenue Service (IRS) Janice Spinks at 1–888–912–1227 or to participate must be made with Donna Treasury. 206–220–6098. Powers. For more information, please contact Ms. Powers at 1–888–912–1227 ACTION: Notice of meeting. SUPPLEMENTARY INFORMATION: Notice is hereby given pursuant to Section or 954–423–7977, or write TAP Office, SUMMARY: An open meeting of the Area 10(a)(2) of the Federal Advisory 1000 South Pine Island Road, Suite 340, 4 Taxpayer Advocacy Panel will be Committee Act, 5 U.S.C. App. (1988) Plantation, FL 33324, or contact us at conducted. The Taxpayer Advocacy that a meeting of the Area 7 Taxpayer the Web site: http://www.improveirs.org. Panel is soliciting public comments, Advocacy Panel will be held The agenda will include various IRS ideas, and suggestions on improving Wednesday, October 20, 2010, at 2 p.m. Issues. customer service at the Internal Revenue Pacific Time via telephone conference. Dated: September 1, 2010. Service. The public is invited to make oral Shawn F. Collins, DATES: The meeting will be held comments or submit written statements Director, Taxpayer Advocacy Panel. Tuesday, October 19, 2010. for consideration. Due to limited [FR Doc. 2010–22579 Filed 9–9–10; 8:45 am] FOR FURTHER INFORMATION CONTACT: conference lines, notification of intent BILLING CODE 4830–01–P Ellen Smiley at 1–888–912–1227 or to participate must be made with Janice 414–231–2360. Spinks. For more information please SUPPLEMENTARY INFORMATION: Notice is contact Ms. Spinks at 1–888–912–1227 DEPARTMENT OF THE TREASURY hereby given pursuant to Section or 206–220–6098, or write TAP Office, 10(a)(2) of the Federal Advisory 915 2nd Avenue, MS W–406, Seattle, Internal Revenue Service WA 98174 or post comments to the Web Committee Act, 5 U.S.C. App. (1988) Open Meeting of the Taxpayer that a meeting of the Area 4 Taxpayer site: http://www.improveirs.org. The agenda will include various IRS Advocacy Panel Earned Income Tax Advocacy Panel will be held Tuesday, Credit Project Committee October 19, 2010, at 1 p.m. Central Time issues. via telephone conference. The public is Dated: September 1, 2010. AGENCY: Internal Revenue Service (IRS) invited to make oral comments or Shawn F. Collins, Treasury. submit written statements for Director, Taxpayer Advocacy Panel. ACTION: Notice of meeting. consideration. Due to limited [FR Doc. 2010–22558 Filed 9–9–10; 8:45 am] SUMMARY: conference lines, notification of intent BILLING CODE 4830–01–P An open meeting of the to participate must be made with Ellen Taxpayer Advocacy Panel Earned Smiley. For more information please Income Tax Credit Project Committee contact Ms. Smiley at 1–888–912–1227 DEPARTMENT OF THE TREASURY will be conducted. The Taxpayer or 414–231–2360, or write TAP Office Advocacy Panel is soliciting public Stop 1006MIL, 211 West Wisconsin Internal Revenue Service comments, ideas and suggestions on Avenue, Milwaukee, WI 53203–2221, or improving customer service at the post comments to the Web site: http:// Open Meeting of the Taxpayer Internal Revenue Service. www.improveirs.org. Advocacy Panel Volunteer Income Tax DATES: The meeting will be Wednesday, The agenda will include various IRS Assistance Issue Committee October 27, 2010. issues. AGENCY: Internal Revenue Service (IRS) FOR FURTHER INFORMATION CONTACT: Dated: September 1, 2010. Treasury. Marianne Ayala at 1–888–912–1227 or Shawn F. Collins, ACTION: Notice of meeting. 954–423–7978. Director, Taxpayer Advocacy Panel. SUPPLEMENTARY INFORMATION: Notice is SUMMARY: An open meeting of the [FR Doc. 2010–22565 Filed 9–9–10; 8:45 am] hereby given pursuant to Section Taxpayer Advocacy Panel Volunteer BILLING CODE 4830–01–P 10(a)(2) of the Federal Advisory Income Tax Issue Committee will be Committee Act, 5 U.S.C. App. (1988) conducted. The Taxpayer Advocacy that an open meeting of the Taxpayer DEPARTMENT OF THE TREASURY Panel is soliciting public comment, Advocacy Panel Earned Income Tax ideas, and suggestions on improving Credit Project Committee will be held Internal Revenue Service customer service at the Internal Revenue Wednesday, October 27, 2010, at Service. 1:00 p.m. Eastern Time via telephone Open Meeting of the Area 7 Taxpayer DATES: The meeting will be held conference. The public is invited to Advocacy Panel (Including the States Tuesday, October 12, 2010. make oral comments or submit written of Alaska, California, Hawaii, and FOR FURTHER INFORMATION CONTACT: statements for consideration. Due to Nevada) Donna Powers at 1–888–912–1227 or limited conference lines, notification of AGENCY: Internal Revenue Service (IRS) 954–423–7977. intent to participate must be made with Treasury. SUPPLEMENTARY INFORMATION: Notice is Marianne Ayala. For more information, ACTION: Notice of meeting. hereby given pursuant to Section please contact Ms. Ayala at 1–888–912– 10(a)(2) of the Federal Advisory 1227 or 954–423–7978, or write TAP SUMMARY: An open meeting of the Area Committee Act, 5 U.S.C. App. (1988) Office, 1000 South Pine Island Road, 7 Taxpayer Advocacy Panel will be that a meeting of the Taxpayer Suite 340, Plantation, FL 33324, or

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contact us at the Web site: http:// held Tuesday, October 26, 2010, at 3 conducted. The Taxpayer Advocacy www.improveirs.org. p.m. Eastern Time via telephone Panel is soliciting public comments, The agenda will include various IRS conference. The public is invited to ideas, and suggestions on improving issues. make oral comments or submit written customer service at the Internal Revenue Dated: September 1, 2010. statements for consideration. Due to Service. limited conference lines, notification of Shawn F. Collins, DATES: The meeting will be held intent to participate must be made with Director, Taxpayer Advocacy Panel. Wednesday, October 20, 2010. Susan Gilbert. For more information [FR Doc. 2010–22577 Filed 9–9–10; 8:45 am] please contact Ms. Gilbert at 1–888– FOR FURTHER INFORMATION CONTACT: BILLING CODE 4830–01–P 912–1227 or (515) 564–6638 or write: Marianne Ayala at 1–888–912–1227 or TAP Office, 210 Walnut Street, Stop 954–423–7978 DEPARTMENT OF THE TREASURY 5115, Des Moines, IA 50309 or contact SUPPLEMENTARY INFORMATION: Notice is us at the Web site: http:// hereby given pursuant to section Internal Revenue Service www.improveirs.org. 10(a)(2) of the Federal Advisory The agenda will include various IRS Committee Act, 5 U.S.C. App. (1988) Open Meeting of the Taxpayer issues. Advocacy Panel Joint Committee that an open meeting of the Area 2 Dated: September 1, 2010. Taxpayer Advocacy Panel will be held AGENCY: Internal Revenue Service (IRS) Shawn F. Collins, Wednesday, October 20, 2010, at 2:30 Treasury. Director, Taxpayer Advocacy Panel. p.m. Eastern Time via telephone ACTION: Notice of meeting. [FR Doc. 2010–22573 Filed 9–9–10; 8:45 am] conference. The public is invited to BILLING CODE 4830–01–P make oral comments or submit written SUMMARY: An open meeting of the statements for consideration. Due to Taxpayer Advocacy Panel Joint limited conference lines, notification of Committee will be conducted. The DEPARTMENT OF THE TREASURY intent to participate must be made with Taxpayer Advocacy Panel is soliciting Marianne Ayala. For more information public comment, ideas, and suggestions Internal Revenue Service please contact Mrs. Ayala at 1–888– on improving customer service at the 912–1227 or 954–423–7978, or write Internal Revenue Service. Open Meeting of the Area 2 Taxpayer TAP Office, 1000 South Pine Island DATES: The meeting will be held Advocacy Panel (Including the States Road, Suite 340, Plantation, FL 33324, Tuesday, October 26, 2010. of Delaware, North Carolina, South or post comments to the Web site: FOR FURTHER INFORMATION CONTACT: Carolina, New Jersey, Maryland, http://www.improveirs.org. Susan Gilbert at 1–888–912–1227 or Pennsylvania, Virginia, West Virginia and the District of Columbia) The agenda will include various IRS (515) 564–6638. issues. SUPPLEMENTARY INFORMATION: Notice is AGENCY: Internal Revenue Service (IRS), Dated: September 1, 2010. hereby given pursuant to Section Treasury. Shawn F. Collins, 10(a)(2) of the Federal Advisory ACTION: Notice of meeting. Committee Act, 5 U.S.C. App. (1988) Director, Taxpayer Advocacy Panel. that an open meeting of the Taxpayer SUMMARY: An open meeting of the Area [FR Doc. 2010–22568 Filed 9–9–10; 8:45 am] Advocacy Panel Joint Committee will be 2 Taxpayer Advocacy Panel will be BILLING CODE 4830–01–P

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Part II

Commodity Futures Trading Commission 17 CFR Parts 1, 3, 4, et al. Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries; Final Rule

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COMMODITY FUTURES TRADING 1155 21st Street, NW., Washington, DC engage in retail forex transactions, as COMMISSION 20581. Telephone number (202) 418– called for under the CRA. Other parts of 5450; facsimile number: 202–418–5547; the Commission’s regulations required 17 CFR Parts 1, 3, 4, 5, 10, 140, 145, and electronic mail: their own adaptations in order to extend 147, 160, and 166 [email protected]. Peter Sanchez, customer protection, privacy and RIN 3038–AC61 Special Counsel, Division of Clearing procedural requirements to retail forex and Intermediary Oversight, 1155 21st transactions. Regulation of Off-Exchange Retail Street, NW., Washington, DC 20581. The Commission also noted in its Foreign Exchange Transactions and Telephone number (202) 418–5450; Proposing Release that in addition to the Intermediaries facsimile number: 202–418–5547; and regulations expressly called for by the electronic mail: [email protected]. CRA, it was proposing certain AGENCY: Commodity Futures Trading SUPPLEMENTARY INFORMATION: additional requirements prompted both Commission. by the essential differences between on- I. Background ACTION: Final rules. exchange transactions and retail forex On January 20, 2010, the Commission transactions, and by the history of SUMMARY: The Commodity Futures published in the Federal Register fraudulent practices in the retail forex Trading Commission (‘‘Commission’’ or proposed new regulations and market.6 The proposed regulatory ‘‘CFTC’’) is adopting a comprehensive amendments to existing regulations in changes were discussed, section by regulatory scheme to implement the response to the CRA (the ‘‘Proposing section.7 provisions of the Dodd-Frank Wall Release’’).3 The Proposing Release set Street Reform and Consumer Protection Following the publication of the forth in detail the historical background Proposing Release, the Wall Street Act of 2010 (‘‘Wall Street Reform Act’’) 1 of the regulation of retail forex Reform Act was enacted which, in and the CFTC Reauthorization Act of transactions, and the events, legislative relevant part, requires that specified 2008 (‘‘CRA’’) 2 with respect to off- and otherwise, that led up to the Federal regulatory agencies, including exchange transactions in foreign enactment of the CRA.4 The the CFTC, promulgate rules regarding currency with members of the retail Commission explained that its proposed retail forex transactions. Consistent with public (i.e., ‘‘retail forex transactions’’). regulations were drawn up with the aim the CRA, the Wall Street Reform Act The new regulations and amendments of applying the same principles that directs that such rules prescribe to existing regulations published today have guided the regulation of on- appropriate requirements with respect establish requirements for, among other exchange instruments, while taking into to disclosure, recordkeeping, capital and things, registration, disclosure, account the real differences between the margin, reporting, business conduct, recordkeeping, financial reporting, trading of futures contracts on and such other standards or minimum capital, and other operational designated contract markets (‘‘DCMs’’) requirements as the Federal regulatory standards. that are cleared through Commission- agencies determine to be necessary.8 DATES: Effective Date: October 18, 2010. registered derivatives clearing Thus, pursuant to the broad authority FOR FURTHER INFORMATION CONTACT: For organizations (‘‘DCOs’’) on the one hand, granted by the Wall Street Reform Act information regarding financial and and off-exchange transactions between and the CRA, the Commission is related reporting requirements, contact: forex firms and retail customers on the implementing requirements for, among 5 Thomas Smith, Chief Accountant and other hand. other things: Registration, disclosure, Deputy Director, Division of Clearing The proposed rule changes were of recordkeeping, financial reporting, and Intermediary Oversight, 1155 21st two general sorts. The first group minimum capital, and other operational Street, NW., Washington, DC 20581. included amendments to existing standards, based on existing CFTC Telephone number: 202–418–5495; regulations to accommodate regulation regulations for commodity interest facsimile number: 202–418–5547; and of retail forex transactions and the new transactions and commodity interest electronic mail: [email protected]. registration categories created under the intermediaries, and on existing National Jennifer Bauer, Special Counsel, CRA. The second group comprised a Futures Association (‘‘NFA’’) rules with Division of Clearing and Intermediary new part 5 of the Commission’s respect to retail forex transactions Oversight, Division of Clearing and regulations, encompassing, to the extent offered by NFA’s members. With certain Intermediary Oversight, 1155 21st practicable, the regulations pertaining exceptions, the Commission is adopting Street, NW., Washington, DC 20581. specifically to persons engaging in retail the rule changes delineated in the Telephone number: 202–418–5472; forex transactions. For example, many Proposing Release as proposed. of the operational or registration facsimile number: 202–418–5547; and Except for certain otherwise-regulated requirements in part 1 or part 3, electronic mail: [email protected]. financial intermediaries excluded by the respectively, of the Commission’s For all other information contact: CRA from the Commission’s regulations referring to futures William Penner, Deputy Director, jurisdiction, persons offering to be or commission merchants (‘‘FCMs’’) would, Division of Clearing and Intermediary acting as counterparties to retail forex as a result of the CRA, now apply also Oversight, 1155 21st Street, NW., transactions, but not primarily or to retail foreign exchange dealers Washington, DC 20581. Telephone substantially engaged in the exchange- (‘‘RFEDs’’). Some of the disclosure, number: 202–418–5450; facsimile traded futures business, are required to reporting and recordkeeping number: 202–418–5547; and electronic register with the CFTC as RFEDs. requirements in part 4 had to be mail: [email protected]. Christopher Registered FCMs that are ‘‘primarily or modified to apply to operators of pooled Cummings, Special Counsel, Division of substantially’’ (as defined in the new investment vehicles and advisors that Clearing and Intermediary Oversight, regulations) engaged in the activities set forth in the definition in the Commodity 1 Dodd-Frank Wall Street Reform and Consumer 3 Regulation of Off-Exchange Retail Foreign Protection Act, Public Law 111–203 (2010). Exchange Transactions and Intermediaries, 75 FR 2 Food, Conservation, and Energy Act of 2008, 3282 (Jan. 20, 2010). 6 See 75 FR 3282, 3286. Public Law 110–246, 122 Stat. 1651, 2189–2204 4 See 75 FR 3282, 3283–3285. 7 See 75 FR 3282, 3286–3293. (2008). 5 See 75 FR 3282, 3285. 8 See Wall Street Reform Act, Sec. 742.

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Exchange Act (the ‘‘Act’’) of an FCM 9 are introduces the forex transactions. Other commenters noted that by permitted to engage in retail forex (‘‘Guaranteed IB Proposal’’) increasing the security deposit level, transactions without also registering as • Proposed Regulation 5.18(j), which retail forex customers are exposed to RFEDs. Also, the $20 million minimum would require all retail forex greater levels of market and credit risk. net capital standard established in the counterparties to calculate, on a Many of these commenters believe that CRA for registering as an RFED or quarterly basis, the percentage of non- the amplification that is provided by offering retail forex transactions as an discretionary accounts that were increased leverage is necessary for FCM is incorporated in the new profitable, to include the results of this clients to earn a profit from their regulations. calculation for the preceding four positions. Still other commenters urged The new regulations also require quarters in required disclosures to that NFA’s current levels be retained certain entities other than RFEDs and customers, and to maintain and make and asserted that the Commission had FCMs that intermediate retail forex available upon request records reflecting already approved these levels by transactions to register with the such calculations for five years. allowing NFA’s proposed rule regarding Commission as introducing brokers (‘‘Disclosure Proposal’’) leverage to become effective. (‘‘IBs’’), commodity trading advisors • Proposed Regulation 5.7, which Finally, one commenter encouraged (‘‘CTAs’’), commodity pool operators would establish a minimum capital the Commission to (1) recognize the (‘‘CPOs’’) or associated persons (‘‘APs’’) requirement for FCMs and RFEDs different market risks and volatility of such entities, as appropriate, and to (‘‘Capital Proposal’’) posed by different currencies, (2) adopt be subject to the Act and regulations The comments regarding these proposed requirements reflective of those applicable to that registrant category. rules and the Commission’s response differences just as contract markets do Finally, pursuant to the authority are discussed immediately below. The in establishing their margin levels, and conferred by the CRA,10 and to address Commission’s response to comments (3) endorse or adopt some mechanism to cases where the Commission’s concerning other aspects of the allow for periodic review and jurisdiction has been challenged, the proposed rules follows later. adjustment of the requirements if Commission is adopting the proposed Given the volume of comments necessary. regulatory provisions applicable to received, the Commission cannot The Commission’s proposed leverage certain leveraged, off-exchange retail respond to each and every comment or restriction was conservative and was forex transactions commonly known as objection. However, the Commission proposed in an effort to provide ‘‘Zelener contracts.’’ 11 has carefully reviewed and considered maximum customer protection. The Commission does not, however, believe II. The Comments on the Proposing each letter and, in the sections that follow, has endeavored to address both it was arbitrary or contrary to previously Release 13 the primary themes running throughout approved NFA rules. Moreover, the The Commission received in excess of multiple letters and significant points Commission does not believe that most 9,100 comments 12 from a range of raised by individual commenters. retail foreign exchange customers select commenters, including individuals who Security Deposit Proposal. In general a counterparty based solely on the trade forex, intermediaries, registered terms, proposed Regulation 5.9 would maximum allowable leverage, otherwise FCMs currently serving as have required FCMs and RFEDs these investors would have already counterparties in retail forex engaging in retail forex transactions to migrated to foreign markets, some of transactions, trade associations or collect from each retail forex customer which have no limitation on leverage. coalitions of industry participants, one a minimum security deposit equal to 10 Nevertheless, after considering the committee of a county lawyers’ percent of the notional value of each concerns expressed and arguments association, a registered futures retail forex transaction. This proposal is made in the comments, the Commission association, and numerous law firms often referred to in the comment letters has determined to adopt a revised representing institutional clients. Many as a 10% or 10:1 leverage requirement security deposit requirement for FCMs commenters offered specific (i.e., for every $10 of notional value, $1 engaging in retail forex transactions and recommendations for clarification or is required as a security deposit). for RFEDs. modification of particular rules; other The Commission received a In developing the revised Regulation commenters objected generally to significant number of comment letters 5.9, the Commission once again particular proposed rules. Overall, the regarding the Security Deposit Proposal bulk of the comments concerned four of 13 As noted above, several commenters with a substantial majority of the maintained that the proposed Regulation 5.9 was the proposed rules: commenters objecting to the proposed • inconsistent with security deposit levels set by NFA Proposed Regulation 5.9, which level of 10%. Many of the letters and approved by the Commission. In February would impose a 10 to 1 leverage submitted with regard to this issue 2009, NFA proposed and the Commission approved limitation on retail forex transactions. appeared to be submitted by individual amendments to Section 12 of NFA’s Financial (‘‘Security Deposit Proposal’’ or Requirements. (See Letter from Thomas W. Sexton traders, were identical or nearly to David A. Stawick, dated February 23, 2009, ‘‘Leverage Proposal’’) identical, and objected generally to the regarding Forex Security Deposits—Proposed • Proposed Regulation 5.18(h), which proposal. Within the large group of Amendments to NFA Financial Requirements would require each IB that solicits or Section 12 and Interpretive Notice Regarding Forex comments by such traders, whether in Transactions, available on NFA’s website at accepts off-exchange retail forex orders ‘‘form’’ letter objections or otherwise, the nfa.futures.org.) NFA’s amendments left in place to enter into a guarantee agreement with most common objections were that the requirements of a 1% security deposit for major the FCM or RFED to which the IB leverage proposal would drive business currencies and a 4% deposit for all other currencies, but eliminated an exemption from these off-shore, would lead to the loss of jobs requirements for well-capitalized firms. As NFA 9 7 U.S.C. 1a(20) (2006). in the U.S., was unnecessarily noted in its proposed amendments, exempted firms 10 See 7 U.S.C. 2(c)(2)(C)(iv). restrictive and would inhibit small had offered leverage of 200:1, 400:1 and even 700:1. 11 See 75 FR 3282, 3284–3285. traders’ ability to trade profitably, or NFA’s February 2009 amendments effectively 12 The Comment letters referred to in this release that the percentage required as a reduced the amount of leverage available to retail are available through the Commission’s Web site: forex customers. The Commission approved the http://www.cftc.gov/LawRegulation/ security deposit was arbitrary, amendments, in accordance with the standards set PublicComments/10-001.html. capricious and anti-competitive. in Section 17(j) of the Act.

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reviewed futures exchange margin commenters thought that there was too deposited, and customer funds levels, NFA’s current security deposit much subjectivity in determining withdrawn. The regulation as adopted requirements, and comparable ‘‘winners’’ and ‘‘losers’’ and that, provides further guidance in response to requirements found in other therefore, the resulting disclosure would commenters’ concerns. The final rule jurisdictions. Final Regulation 5.9 not be helpful for customers. Other clarifies that a retail forex account will permits the registered futures commenters stated that by requiring be considered either ‘‘profitable’’ or ‘‘not association (‘‘RFA’’) of which the FCM retail forex firms to disclose the profitable,’’ with ‘‘not profitable’’ or RFED is a member to determine percentage of profitable accounts including accounts that break-even. specific security deposit levels within quarterly, the Commission would be The Commission is also clarifying the parameters set forth by the Commission unfairly singling out retail forex dealers, required time periods for which the in the regulation.14 The Commission has as this information is not required on required calculations in Regulation provided minimum security deposit the futures side or for broker-dealers. 5.5(e)(1) and 5.5(e)(2) must be made and amounts of 2 percent of the notional As noted in the Proposing Release, records maintained and made available. value for major currency pairs and 5 there are significant differences between Regulation 5.5(e)(1) requires that percent of the notional value for all trading futures contracts on an exchange information regarding profitable and not other retail forex transactions. The and entering into off-exchange profitable accounts for the four most Commission will periodically review transactions between forex firms and recent quarters be included in the parameters it has set in light of retail customers.15 The Commission disclosure documents; Regulation market conditions and adjust them as believes that as a result of the inherent 5.5(e)(2) requires that similar quarterly necessary. Similarly, each RFA (i.e., conflicts embedded in the operations of information be maintained for five years NFA) will be required to designate the retail over-the-counter forex and provided to requesting customers or which currencies are ‘‘major currencies,’’ industry, such disclosure is necessary. potential customers. As to the 5.5(e)(1) and must review, no less frequently To illustrate potential conflicts of information, once these regulations are than annually, major currency interests in the off-exchange retail forex effective, FCMs and RFEDs must designations and security deposit industry, the Commission in its provide the required information for the requirements, and must adjust the Proposing Release pointed out that the past four quarters. FCMs and RFEDs designations and requirements as retail forex counterparty: (i) Is the also must update this information going necessary in light of changes in the counterparty to the customer, which forward on a quarterly basis and volatility of currencies and other sets up a ‘‘zero-sum game’’ between the disclose the most current four quarters economic and market factors. It is the customer and the retail forex dealer; in disclosure documents provided to Commission’s view that revised (ii) provides quotes to their customers, potential customers. Regulation 5.9 will provide a which may not be the best quote at the Regulation 5.5(e)(2) requires an RFED mechanism for setting security deposit time and may not even be a competitive or FCM to provide to a customer or levels that is both anchored in, and quote; and (iii) enters into a principal- potential customer the same account adaptable to, market conditions. to-principal transaction with the non- information as set out in Regulation Disclosure of Profitable vs. Non- discretionary retail forex accountholder. 5.5(e)(1) for the most recent five-year Profitable Accounts. As proposed, At each stage of the transaction, the period during which the RFED or FCM Regulation 5.5(e) required that the risk retail forex counterparty has an inherent maintained non-discretionary retail disclosure statement provided to every conflict with its non-discretionary retail forex customer accounts, but only at the retail forex customer include disclosure forex accountholders. By contrast, in request of the customer or potential of the number of non-discretionary exchange-traded futures markets, customer. The Commission intends that accounts maintained by the FCM or accountholders do not encounter the this requirement to keep and make RFED that were profitable and those that same level of conflicts that retail forex available five years worth of profitable were not, during the four most recent customers face, and, therefore, a and non-profitable account information calendar quarters. Commenters called requirement to disclose the percentage be prospective; following the adoption the provision anti-competitive and of non-discretionary retail accounts that of these rules, FCMs and RFEDs are doubted that measurement of profitable were profitable and not profitable is required to keep and maintain such data accounts could be done in a way that appropriate in retail forex markets, going forward on a quarterly basis until would permit comparison. Proposed while it may not be elsewhere. As a such time as they have amassed five Regulation 5.18(i) required that each result of the industry structure and years worth of information, at which retail forex counterparty prepare and operational conflicts, the Commission point they will have to keep and make maintain on a quarterly basis a believes that this disclosure is necessary available the information for the five calculation of the percentage of non- to protect the non-discretionary retail most recent years. Furthermore, prior to discretionary retail forex accounts open forex accountholder. amassing five years of performance for any period of time during the quarter So while the Commission continues information, an FCM or RFED is that earned a profit, and the percentage to believe in the value and effectiveness obligated to provide, upon request by a of such accounts that experienced a of such disclosures, it is adopting customer or prospective customer, the loss. Regulation 5.5(e) and Regulation 5.18(i) historical quarterly performance Some commenters asserted that the with certain amendments, in order to information for as many quarters as the Commission did not provide adequate address concerns regarding the FCM or RFED has available. guidance or a standard methodology for implementation of the rule. As In addition, to provide clarity calculating ‘‘winners’’ and ‘‘losers.’’ proposed, the calculation for regarding the type of accounts that must Commenters stated that the proposal determining whether a retail forex be used in making the calculation of was ambiguous and that the reported account was profitable or not during a profitable and unprofitable accounts, percentages may not be comparable quarter would be net of fees, FCMs and RFEDS must use those retail across the industry. In addition, commissions, any other expenses, forex accounts, as defined in Regulation trading results, customer funds 5.1(i), that are non-discretionary 14 NFA is currently the only futures association accounts; Provided, that the retail forex registered with the Commission. 15 See 75 FR 3282, 3285. account is not a proprietary account, as

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defined in Regulation 5.18(i)(3). The for RFEDs (as set forth in the CRA), and currency options, for securities broker- Commission believes that excluding to the extent that the FCM’s or RFED’s dealers). proprietary accounts will help minimize total retail forex obligation to its Requirement To Appoint a Chief the possibility of skewed results customers exceeds $10 million, the Compliance Officer. Proposed stemming from differing methods of regulation requires an additional five Regulation 5.18(j) calls for each retail calculation. The Commission is also percent of that excess. Several forex counterparty (defined to include a requiring that the data be calculated on comments urged the Commission to retail foreign exchange dealer, an FCM a calendar year basis for all revise proposed Regulation 5.7 to or an affiliated person of an FCM) to counterparties. include an exemption from the designate a Chief Compliance Officer. In Guarantee Requirement for IBs Who additional net capital requirement when proposing this requirement, the Introduce Retail Forex Business. The the FCM or RFED uses ‘‘straight-through Commission sought to promote Commission proposed in Regulation 16 processing.’’ Referring to the costs customer protection by focusing 5.18(h) to require that any person within imposed by additional capital responsibility for an entity’s regulatory the definition of an IB under Regulation requirements, the commenters argued compliance. This requirement was 5.1(f)(1) (or applicant for registration as that such costs, in addition to the limits criticized on the basis that potential such, or successor to the business of imposed by several of the other personal liability for a Chief Compliance such) enter into a guarantee agreement proposed regulatory requirements, Office would discourage individuals with an FCM or an RFED. The IB would would cause much of the retail forex from assuming that position, and be permitted to enter such an agreement business to be transferred to offshore because no comparable requirement with only one FCM or RFED. The jurisdictions without (or with exists for firms engaging in on-exchange rationale behind this requirement was to substantially reduced) regulatory transactions. make FCMs and RFEDs exercise care protections.17 with regard to entities with which they The Commission considered but did The Commission continues to believe do business by making them jointly and not adopt NFA’s straight-through that, given the history of fraudulent and severally liable for all obligations of the processing exemption in its proposal, improper behavior in the retail forex IB under the Act and Commission specifically because the proposed business, requiring a Chief Compliance Regulations with respect to the additional capital requirement was Officer is a reasonable way to ensure solicitation of retail forex transactions. intended to provide a capital that retail forex counterparties observe This would, in turn, discourage them requirement that directly relates to the the highest professional standards and from associating with IBs without regard size of a firm’s liability to retail forex take their compliance obligations to the sales practices employed by those customers. Some firms offering retail seriously. Accordingly, this requirement IBs. forex transactions have liabilities to is retained in final Regulation 5.18. Commenters called the banning of their retail customers exceeding $10 Prohibition of Guarantees Against independent IBs in the retail forex million. Straight-through processing, Customer Loss. Proposed Regulation business harsh and said it could lead to although mitigating market exposure for 5.16 would prohibit, among other less customer choice and poorer service. a firm, does not reduce in any way the things, the making of guarantees against Others said that requiring a guarantee total liability to retail forex customers loss to retail foreign exchange customers agreement was anticompetitive and who are direct counterparties to the firm by FCMs, RFEDs and IBs. One currently unnecessary, as most enforcement and therefore exposed to the credit risk registered FCM commented that firms activity concerns unregistered industry of such firm. Therefore, the Commission should be allowed to guarantee that participants, and that guarantee is adopting the capital provisions in clients will not lose more than their agreements have been a substitute for Section 5.7 as originally proposed. account balance because technology minimum capital for as long as the IB Separately, a comment letter was allows for automatic liquidation of registration category has existed. received significantly after the comment positions if the account balance falls After considering the comments, the period was closed objecting to the net below margin requirements. Commission has determined to permit capital charges applicable to retail IBs who register in order to transact foreign currency options set forth in The Commission notes that not all retail forex business (like IBs who proposed Regulation 5.7(b)(2)(v)(B). The retail forex counterparties have register to transact futures and Commission has determined to adopt comparable capabilities to deal with commodity options business), to choose that provision as proposed, and to events such as extremely volatile between entering into a guarantee clarify that for both FCMs and RFEDs markets. Moreover, proposed regulation agreement with an FCM or RFED, and unlisted retail forex options are subject 5.16 is based on Commission Regulation maintaining the existing IB minimum to the existing net capital charges that 1.56, which prohibits FCMs and IBs net capital requirement. Accordingly, are applicable to an FCM for any other engaged in futures and commodity IBs, whether they register to do retail unlisted foreign currency option that is option transactions from making similar forex business, futures business, or both, entered into with any eligible contract guarantees. At the time the Commission must comply with the provisions in the participant (which treatment is also proposed Regulation 1.56, it specifically Commission’s regulations that apply to consistent with the treatment of all noted that the use of limited-risk and IBs; Provided, that any IB that operates unlisted options, including foreign guarantee-against-loss agreements had pursuant to a guarantee agreement ‘‘often been associated with patterns of meeting the requirements of Regulation 16 NFA’s Financial Requirement Section 11 allegedly unlawful conduct by FCMs or 1.10(j) need not meet the minimum net currently contains such an exemption from an other registrants or with the financial additional capital requirement for member firms instability of such persons.’’ 18 The capital requirements set forth in using straight-through-processing for all customer Regulations 1.10, 1.12 and 1.17. transactions. Commission does not view these dual Net Capital Requirements for FCMs 17 This argument is diminished by the recent concerns—rooted in consumer and RFEDs. As proposed, Regulation 5.7 enactment of the Wall Street Reform Act, which protection and the financial stability of implements the $20 million minimum clearly indicates the intent of Congress that retail firms—as any less compelling today and forex transactions in the United States either be net capital requirement for FCMs comprehensively regulated or be prohibited engaging in retail forex transactions and outright. See Wall Street Reform Act, Sec. 742. 18 See 46 Fed. Reg. 62841 (Dec. 29, 1981).

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has determined to issue the regulation executed on-exchange typically involve forex counterparties establish and as proposed. the purchase of one futures delivery enforce internal rules, procedures and Specific Authorization for Trades. month against the sale of another controls to ‘‘[f]airly and objectively Two commenters expressed a concern futures delivery month of the same establish settlement prices for retail regarding proposed Regulation 5.17, commodity, or the purchase of one forex transactions’’ and to maintain which requires RFEDs, FCMs, IBs, and delivery month of one commodity records reflecting ‘‘any method or their APs to have specific authorization against the sale of that same delivery algorithm used to determine the bid or by the customer before effecting a retail month of a different commodity. asked price for any retail forex forex transaction. The concerns centered Because retail forex contracts are not transaction or the prices at which the on the use of automated systems that listed by delivery month, spread trades customer orders are executed * * *.’’ generate orders based on the trader’s of this sort are not possible in retail The Commission believes that this specifications. According to the forex accounts, and open long and short should provide adequate incentive for commenters, both IBs and forex contracts in the same currency pair are firms to deal fairly and objectively with counterparties may run such software truly offsetting. Accordingly, the their customers with regard to re- on their servers for traders. Commission has determined to adopt quoting. Neither commenter provided a great Regulation 1.46 as proposed. Finally, as to the suggested disclosure, deal of detail regarding the mechanics of Re-quoting. Two comments were as proposed, Regulation 5.5 would such automated trading programs, and received regarding Regulation 5.18(f), require FCMs, RFEDs and IBs engaged the Commission cannot offer its view of which would, among other things, in retail forex transactions to distribute any particular program. However, the prohibit retail forex counterparties from to retail forex customers a written Commission believes that if such providing a customer a new bid (or disclosure statement containing, among programs are nothing more than asked) price that is higher (or lower) other things, the following statement: automated order entry platforms, and all than a previous price without providing Your ability to close your transactions or relevant trading parameters are set and a new asked (or bid) price that is higher offset positions is limited to what your dealer controlled by the customer—including, (or lower) as well. One commenter will offer to you, as there is no other market for example, the designation of the maintained that the proposed rule for these transactions. Your dealer may offer currency pair to be traded, the amount would not take into account that in the any prices it wishes, and it may offer prices of currency to be bought or sold, the forex market, spreads can increase derived from outside sources or not in its price at which orders should be placed, dramatically, which might cause the discretion. Your dealer may establish its and the amount of money to be prices by offering spreads from third party new bid price to be higher and the new prices, but it is under no obligation to do so committed to trading—then trades ask price to be lower. or to continue to do so. Your dealer may offer generated by such programs would While a fast-moving market may affect different prices to different customers at any originate from the customer and no the spread, the Commission’s proposed point in time on its own terms. The terms of additional authorization would be rule is intended to apply to those your account agreement alone govern the required. However, Commission staff situations where a customer is quoted obligations your dealer has to you to offer will monitor the use of such programs. one bid/asked price, and rather than fill prices and offer offset or liquidating Any features that would appear to the order, the FCM or RFED provides a transactions in your account and make any constitute discretion, strategy or advice second quote. In this situation, the payments to you. The prices offered by your dealer may or may not reflect prices available on the behalf of the sponsoring entity Commission believes that if the forex elsewhere at any exchange, interbank, or would require a different analysis and, dealer re-quotes the price, then at a other market for foreign currency. in addition to potentially triggering minimum, the spread should remain the application of Regulation 5.17, may same. While the proposed disclosure have additional registration A second commenter suggested that language does not require a statement implications. the Commission clarify that all ‘‘re- regarding how re-quoted prices are Requirement To Close Out Offsetting quote’’ practices are required to be handled, it does inform the customer Positions. One commenter objected to objective and evenhanded and that a that it is within the discretion of the the Commission’s proposed amendment counterparty that re-quotes a price must forex dealer to set prices (provided they to Regulation 1.46, which would require do so regardless of the direction the otherwise comply with the requirements RFEDs and FCMs engaging in off- market moves. Further, the commenter of Regulation 5.18). For this reason, and exchange retail forex transactions to suggested that the Commission require those cited above, the Commission has close out offsetting long and short counterparties to disclose to customers determined to issue Regulation 5.18(f) positions in a retail forex customer’s how orders that reach the platform at a as proposed. account, regardless of whether a price no longer available are handled. CFTC Authority To Regulate Zelener customer instructs otherwise. Citing the The Commission believes the intent of Contracts. One commenter, a law firm, prevalence of spread trades in futures proposed Regulation 5.18 is clear. It argued that the CRA did not grant the trading, the commenter maintained that requires that, when re-quoting prices, Commission the authority to regulate, there is no economic distinction forex counterparties are obligated to do other than for fraud, FCMs that are between commodity futures and forex so in a symmetrical fashion, so that the primarily or substantially engaged in transactions with respect to offsetting re-quoted prices do not represent an trading futures contracts on registered long and short positions. increase in the spread from the initially exchanges to the extent they also offer The Commission continues to believe quoted prices, regardless of the off-exchange Zelener, or ‘‘futures look- 19 that maintaining open long and short direction the market moves. As to the alike’’ forex, contracts. To the extent positions in a retail forex customer’s objectiveness of the re-quote, the legislative history suggests that similarly account removes the opportunity for the Commission believes that the situated RFEDs and FCMs should be customer to profit on the transaction, requirement that both bid and asked subject to the same regulations, the increases the fees paid by the customer, prices be re-quoted symmetrically will 19 See 7 U.S.C. 2(c)(2)(C)(ii) and 2(c)(2)(C)(iii) and invites abuse. Nothing submitted by encourage objectivity. Moreover, regarding the scope of the Commission’s authority any commenter has demonstrated proposed Regulations 5.18(b)(3) and to write rules with regard to leveraged or margined otherwise. Moreover, spread trades 5.18(b)(iv) require, respectively, that foreign currency contracts offered to non-ECPs.

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commenter maintains that this language regulated FCM activity. Accordingly, regulation of on-exchange instruments. is restricted to requirements relating to the Commission sees no deficiencies in However, the Commission also noted the financial soundness of the forex its authority to fully regulate FCMs that there are essential differences dealer and nothing else. engaged in ‘‘look-alike’’ forex between the trading futures contracts on The CRA contains several provisions contracts.26 designated contract markets that are that touch on the scope of the Definition of Retail Forex cleared through designated clearing Commission’s jurisdiction over retail Transactions. One commenter pointed organizations, on the one hand, and off- off-exchange foreign currency contracts, out that the definition of ‘‘retail forex exchange transactions between forex whether futures or look-alike, leveraged transactions’’ found in proposed firms and retail customers, on the contracts. Retail off-exchange forex Regulation 5.1(m) refers to ‘‘any account, other.28 futures and options transactions are agreement, contract or transaction’’ described in Section 2(c)(2)(B) or Given the principal-to-principal subject to numerous provisions of the nature of retail forex transactions and Act including sections 4(b), 4b, 4c(b), 2(c)(2)(C) of the Act and notes that the use of the word ‘‘account’’ in this context the inherent conflicts of interest in the 4o, 6(c) and 6(d), 6c, 6d, 8(a), 13(a), relationship between the retail customer 13(b), if they are offered or entered into is confusing. and the dealer/counterparty, the lack of by an FCM, an RFED, or an affiliate of Broad language in Section 2(c)(2)(B)(i) transparency in the pricing and an FCM that is not one of the otherwise of the Act provides the Commission execution of such transactions, and the regulated entities specified in the Act.20 with jurisdiction over ‘‘an agreement, volume of fraud the Commission has The same provisions apply to look-alike contract or transaction in foreign seen arising from such transactions, the forex transactions.21 The CRA clearly currency’’ that is a contract of sale of a Commission has determined to gives the Commission full rulemaking commodity for future delivery (or an promulgate some regulations that are authority over the agreements, contracts option on such a contract) or an option unique to, and tailored to, retail forex or transactions in retail forex where (other than one traded on a securities transactions. By way of example, the ‘‘reasonably necessary to effectuate any exchange). Elsewhere in Section 2(c), Commission’s proposed regulations of the provisions or to accomplish any the statute states that certain of its included requirements that forex of the purposes of [the] Act.’’ 22 On the provisions apply to ‘‘agreements, other hand, however, while the CRA contracts or transactions * * * and registrants maintain records of customer explicitly grants the Commission accounts or pooled investment vehicles complaints; that counterparties disclose, ’’ 27 rulemaking authority over off-exchange ***. In order to accurately reflect with the Risk Disclosure Statement, the retail futures and options transactions the full scope of authority granted it percentage of profitable where such transactions are offered or under the Act, the Commission nondiscretionary forex customer ‘‘ ’’ entered into by FCMs, their affiliates or included the word accounts within accounts; and that forex counterparties the definition of ‘‘retail forex RFEDs,23 its rulemaking authority with designate a chief compliance officer to transactions.’’ The Commission does not regard to look-alike transactions does be responsible for development and view this as in any way inconsistent not explicitly include FCMs. Thus, the implementation of customer protection with language in Section 2(c), as commenter concludes that language in policies and procedures. To the extent amended by the CRA, and has Sections 2(c)(2)(C)(ii) and 2(c)(2)(C)(iii) the final rules published today do not determined to adopt the regulation as limits the Commission’s authority in track precisely with rules applicable to proposed. this area where FCMs are concerned. on-exchange futures trading, the Anticompetitiveness. In addition to Commission believes that the The Commission disagrees. Section similar comments specifically 8a(5) of the Act gives the Commission differences reflect meaningful referencing proposed Regulation 5.9 differences in the market structure of the broadest possible authority to ‘‘make (security deposits) and 5.18(h) and promulgate such rules and retail forex transactions and that the (guaranteed IBs)—which are addressed rules issued today are no more regulations as, in the judgment of the above—the Commission received Commission, are reasonably necessary restrictive or burdensome than numerous comments arguing that necessary to address these differences. to effectuate any of the provisions or to various other sections of the proposed accomplish any of the purposes of this rules were ‘‘anticompetitive’’ insofar as Scope of Commission’s Authority and 24 Act[.]’’ Under this authority, the there is no comparable requirement Application of Other Rules. Several Commission has promulgated rules relative to those engaged in futures commenters lodged criticisms or made covering the full scope of FCM activities transactions on designated contract observations that go to the scope of the generally. Furthermore, the recent Wall markets. As the Commission pointed Commission’s authority, as provided in Street Reform and Consumer Protection out in its Proposing Release, it has, the Act and CRA, or otherwise. For Act of 2010 specifically defines FCMs as whenever possible, drawn upon the example, several commenters any ‘‘individual, association, principles that have guided it in the maintained that the Commission should partnership, corporation, or trust * * * require segregation of customer funds by that * * * is * * * acting as a 26 The Commission also disagrees with the counterparties in order to provide some counterparty in any agreement, contract argument that CRA Conference Report language is protection in the event of a counterparty or transaction described in Section inapposite. The Conference Report states that ‘‘[t]o insolvency. The Commission’s 25 the extent their risk profiles are similar, the 2(c)(2)(C)(i)’’ of the Act, making it managers intend for FCMs and RFEDs to be segregation requirements with regard to clear that the offering of ‘‘look-alike’’ regulated substantially equivalently in terms of futures flow from Section 4d of the transactions falls within the scope of their off-exchange retail foreign currency business. Act 29 which, generally speaking, The managers do not intend for the Commission to provide either FCMs or RFEDs with a more requires that customer property for 20 See 7 U.S.C. 2(c)(2)(B)(iii). favorable regulatory environment over the other or trading commodity contracts be kept 21 See 7 U.S.C. 2(c)(2)(C)(ii)(I). to create two significantly different regulatory apart, or segregated, from the FCM’s 22 See 7 U.S.C. 2(c)(2)(B)(iv)(III); 2(c)(2)(B)(v); regimes for similar business models—to the extent own funds. However, as noted in the 2(c)(2)(C)(ii)(III); 2(c)(2)(C)(iii)(III). the financial risks posed by such operations are 23 See 7 U.S.C. 2(c)(2)(B)(v). similar.’’ See H.R. Rep. No. 110–627 at 980 (Conf. 24 See 7 U.S.C. 12a(5) (2006). Rep.) (emphasis added). 28 75 FR 3282, 3285–86. 25 See Wall Street Reform Act, Sec. 721(a)(13). 27 See, for example, 7 U.S.C. 2(c)(2)(B)(iii). 29 7 U.S.C. 6(c) (2006).

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Commission’s proposing release,30 a requirement to register under the Act.37 believe that there are regulatory segregated funds regime cannot be (A CPO need not register with the alternatives to those being proposed replicated in the context of off-exchange Commission if the gross capital which would be consistent with the retail forex trading. Unlike segregation contributions for all pools under its statutory mandate to provide protection of customer funds deposited for futures management do not exceed $400,000 to the public against irresponsible or trading, under the relevant provisions of and there are not more than fifteen fraudulent business practices. In the the Bankruptcy Code,31 such amounts participants in any one of those Proposing Release, the Commission held in connection with retail forex pools.38) proposed that RFEDs not be considered trading would not receive any Thus, with respect to FCMs and to be ‘‘small entities’’ for essentially the preferential treatment to unsecured registered CPOs, the Commission same reasons that FCMs have previously creditors in bankruptcy. believes that these final rules will not been determined not to be small Similarly, some commenters took have a significant economic impact on entities.42 As with FCMs, a requirement issue with the definitions of certain a substantial number of small entities. to maintain a specified level of adjusted intermediaries and the capital CTAs: The Commission has net capital would be imposed upon requirements, found in the Proposing previously decided to evaluate, within RFEDs to ensure that they maintain Release. Here again, the Commission is the context of a particular rule proposal, sufficient capital resources to guarantee bound by statutory language that defines whether all or some CTAs should be their financial accountability and to the scope of its authority.32 While the considered to be small entities, and if promote responsible and reliable Commission appreciates the concerns so, to then analyze the economic impact business operations. Moreover, the expressed by these commenters and the on them of any such rule.39 CTAs Commission has sought to fashion its time they have taken to express them, it wishing to advise retail forex customers proposed regulatory program for RFEDs can do no more than its statutory may include both currently registered in a manner which is responsive to the authority permits. CTAs and previously unregistered function, purposes, and size of the III. Related Matters persons who now will be required to entity being regulated consistent with register. As to the first group, there the objective of the RFA. In particular, A. Regulatory Flexibility Act should be no significant new economic the minimum capital requirement FCMs and CPOs: The Regulatory impact. As to the second group, required by the CRA effectuates the Flexibility Act (‘‘RFA’’) 33 requires that registration will require the submission Congressional purpose that RFEDs agencies, in proposing rules, consider of application forms, fingerprinting of maintain sufficient reserve of capital to the impact of those rules on small principals, and payment of registration remain economically viable. For the businesses.34 The Commission has fees. To the extent that CTAs can be reasons stated above, the Commission already established certain definitions considered to be small entities, the will not define RFEDs as small entities of ‘‘small entities’’ to be used in Commission does not consider either for RFA purposes. evaluating the impact of its rules on the proposed registration fee or the B. Paperwork Reduction Act such small entities in accordance with proposed fingerprinting requirement for the RFA.35 In that statement, the newly registered CTAs to have Under the Paperwork Reduction Act of 1995 (‘‘PRA’’) 43 an agency may not Commission concluded that neither significant economic impact.40 FCMs nor registered CPOs should be IBs: In 1983, the Commission conduct or sponsor, and a person is not considered to be small entities for proposed that for purposes of the RFA required to respond to, a collection of purposes of the RFA. With respect to and future rulemakings, it would not information unless it displays a FCMs, the Commission’s determination consider introducing brokers to be currently valid control number. The was based in part upon their obligation ‘‘small entities’’ for essentially the same Commission’s final rules regarding retail to meet the capital requirement reasons that FCMs had previously been forex transactions result in information collection requirements within the established by the Commission and the determined not to be small entities.41 meaning of the PRA. The Commission purposes of protecting financial This was based, in part, on the fact that submitted the proposing release along integrity.36 IBs, like FCMs, are required to maintain with supporting documentation to the As for CPOs, the Commission a specified level of adjusted net capital. Office of Management and Budget determined that registered CPOs are not In the Proposing Release, retail forex IBs (‘‘OMB’’) for review in accordance with small entities based upon its existing would not have been subject to a capital 44 U.S.C. 3507(d) and 5 CFR 1320.11. regulatory standard for exempting requirement; rather, they would have The Commission requested that OMB certain small CPOs from the had to operate pursuant to a guarantee approve, and with respect to the agreement. Under the final rules, retail 30 collections required under the new part 75 FR 3281, 3287 and 3290 (Jan. 20, 2010). forex IBs will be treated no differently 31 5 of the Commission’s regulations, 11 U.S.C. 761, et seq. than futures IBs. Accordingly, and in 32 See, for example, Section 2(c)(2)(B)(iv)(I) of the assign a new control number for, the keeping with past Commission Act, 7 U.S.C. 2(c)(2)(B)(iv)(I), which provides the collections of information required by determinations, the Commission Commission with the authority to register and the proposing release. The information promulgate rules regarding specifically defined believes that the final rules with respect collection burdens created by the persons or entities. See also Section 2(c)(2)(B)(ii) of to IBs will not have a significant impact the Act which explicitly provides for a $20 million Commission’s proposed rules, which on a substantial number of small minimum capital requirement. were discussed in detail in the 33 entities. 5 U.S.C. 601, et seq. proposing release, are identical to the 34 By its terms, the RFA does not apply to RFEDs: RFEDs are a new category of ‘‘individuals.’’ See 48 FR 14933, n. 115 (April 6, registrant. The Commission does not collective information collection 1983). Because associated persons must be burdens of the final rules. individuals, (see Commission Regulation 1.3(aa) The Commission invited the public 37 Id. at 18619–20. and proposed Regulations 5.1(c), (d)(2), (e)(2), (g)(2) and other Federal agencies to comment and (i)(2)), the RFA does not apply to APs and no 38 17 CFR 4.13(a)(2) (2009). analysis of the economic impact of this rule 39 47 FR 18618, 18620. on any aspect of the information proposal on such persons is required. 40 48 FR 35248, 35276 (August 3, 1983) 35 47 FR 18618 (April 30, 1982). 41 48 FR 14933, 14955 (Apr. 6, 1983). See also 47 42 Id. 36 Id. at 18619. FR 18618, 18619. 43 44 U.S.C. 3501, et seq.

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collection requirements discussed the registration of several categories of believes that the amendments are above. The Commission received no market participants and require beneficial in that they will provide comment on its burden estimates or on adherence to operational standards that needed protections for members of the any other aspect of the information have not previously applied. The public engaging in these transactions. collection requirements contained in its benefits that inhere in the imposition of The amendments will also bring much proposing release. The affected these requirements to a sector of the off- needed oversight to the forex collections are as follows: exchange market that has been largely counterparties and intermediaries that • Existing Collection 3038–0024 (part unregulated to this point, and which is interact with the public. 1 of the Commission’s regulations); geared towards the retail public, are After considering these factors, the • Existing Collection 3038–0023 (part manifest. Commission has determined to adopt 3 of the Commission’s regulations); 2. Efficiency and competition. In its the proposed rule changes. The • Existing Collection 3038–0005 (part Conference Report, Congress indicated Commission did not receive any 4 of the Commission’s regulations); that the Commission should avoid • comments relative to its analysis of the Existing Collection 3038–0055 (part creating two different regulatory regimes cost-benefit provision. 160 of the Commission’s regulations); for similar business models with respect and to FCMs or RFEDs engaging in off- List of Subjects • New Collection 3038–0062 (part 5 exchange retail forex transactions.45 17 CFR Part 1 of the Commission’s regulations). Accordingly, the Commission has endeavored to ensure that these entities Definitions, Minimum financial and C. Cost-Benefit Analysis reporting requirements. Recordkeeping 44 be treated in comparable fashion Section 15(a) of the Act requires the relative to one another. Moreover, the requirements, Prohibited transactions in Commission to consider the costs and Commission has endeavored, wherever commodity options, Miscellaneous. benefits of its action before issuing new possible, to propose regulations in part 17 CFR Part 3 regulations under the Act. By its terms, 5 that are analogous to regulations section 15(a) does not require the imposed upon intermediaries engaged Definitions, Customer protection, Commission to quantify the costs and in on-exchange transactions. Licensing, Registration. benefits of a new regulation or to Accordingly, the Commission believes 17 CFR Part 4 determine whether the benefits of the that it has provided an even handed Advertising, Brokers, Commodity regulation outweigh its costs. Rather, regulatory scheme that will be familiar futures, Commodity pool operators, section 15(a) simply requires the to industry participants. Commission to ‘‘consider the costs and 3. Financial integrity of futures Commodity trading advisors, Consumer benefits’’ of its action. markets and price discovery. The protection, Exemption from registration, Section 15(a) further specifies that amendments concern retail, off- Reporting and recordkeeping costs and benefits shall be evaluated in exchange markets. These markets serve requirements. light of five broad areas of market and primarily as a vehicle for members of 17 CFR Part 5 public concern, enumerated below. the retail public to engage in speculative Accordingly, the Commission could, in transactions. Accordingly, the Bulk transfers, Commodity pool its discretion, give greater weight to any Commission does not perceive a operators, Commodity trading advisors, one of the five enumerated areas and significant intersection between the Consumer protection, Customer’s could, in its discretion, determine that, operations of these markets and the money, securities and property, notwithstanding its costs, a particular financial integrity or price discovery Definitions, Foreign exchange, rule was necessary or appropriate to functions of the markets generally. Minimum financial and reporting protect the public interest or to 4. Sound risk management practices. requirements, Prohibited transactions in effectuate any of the provisions or to The amendments include requirements retail foreign exchange, Recordkeeping accomplish any of the purposes of the regarding capital, financial reporting, requirements, Retail foreign exchange Act. risk assessment recordkeeping, and risk dealers, Risk assessment, Special calls, As discussed in more detail above, assessment reporting that are Trading practices. these amendments are intended to comparable to those required of entities 17 CFR Part 10 create a comprehensive scheme to engaged in on-exchange trading. The implement the requirements of the CRA, Commission believes that the benefits of Adjudicatory proceedings, Rules of and to put in place requirements these risk management requirements— practice. including registration, disclosure, which strive to ensure the financial 17 CFR Part 140 recordkeeping, financial reporting, soundness of firms—have been borne minimum capital and other operational out on the exchange-traded side and Authority delgations (Government standards. This is to be achieved will be of significant benefit with regard agencies, Conflict of interests, through both amendments to existing to its oversight of retail forex Organization and functions regulations and the creation of a new, counterparties. (Government agencies). free-standing part to the Commission’s 5. Other public interest 17 CFR Part 145 regulations. The Commission is considerations. The retail, off-exchange considering the costs and benefits of the forex market has been largely Confidential business information, amendments in light of the specific unregulated until now. The Commission Freedom of information. provisions of section 15(a) as follows: 17 CFR Part 147 1. Protection of market participants 45 As noted in the Conference Report that and the public. The amendments should accompanied the CRA, ‘‘To the extent their risk Sunshine Act. enhance considerably the protection of profiles are similar, the managers intend for FCMs 17 CFR Part 160 market participants and the public and RFEDs to be regulated substantially equivalently in terms of their off-exchange retail because they require, for the first time, foreign currency business.’’ H.R. Rep. No. 110–627, Consumer financial information, at 980 (2008) (Conf. Rep.). The Conference Report Definitions, Nonpublic personal 44 7 U.S.C. 19(a). is available via the Internet on the CFTC’s Web site. information, Privacy.

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17 CFR Part 166 commission merchant, a pool part or § 5.6(b) of this chapter, as Arbitration, Authorization to trade, participant or a client of a commodity applicable; or (ii) There is filed against the futures Customer protection, Definitions, trading advisor, an electronic signature commission merchant or retail foreign Dispute settlement, Litigation, executed by the customer, participant or exchange dealer an adjudicatory Reparations. client will be sufficient, if the futures commission merchant, retail foreign proceeding brought by or before the ■ For the reasons presented above, the exchange dealer, introducing broker, Commission pursuant to the provisions Commission hereby amends Chapter I of commodity pool operator or commodity of sections 6(c), 6(d), 6c, 6d, 8a or 9 of Title 17 of the Code of Federal trading advisor elects generally to the Act or §§ 3.55, 3.56 or 3.60 of this Regulations as follows: accept electronic signatures; Provided, chapter. however, That the electronic signature (3) A retail foreign exchange dealer PART 1—GENERAL REGULATIONS must comply with applicable Federal may enter into a guarantee agreement UNDER THE COMMODITY EXCHANGE laws and other Commission rules; And, only with an introducing broker as ACT Provided further, That the futures defined in § 5.1(f)(1) of this chapter. A ■ 1. The authority citation for part 1 commission merchant, retail foreign retail foreign exchange dealer may not continues to read as follows: exchange dealer, introducing broker, enter into a guarantee agreement with commodity pool operator or commodity an introducing broker as defined in Authority: 7 U.S.C. 1a, 2, 2a, 4, 4a, 6, 6a, trading advisor must adopt and utilize § 1.3(mm) of this part. 6b, 6c, 6d, 6e, 6f, 6h, 6i, 6j, 6k, 6l, 6m, 6n, (4) A guarantee agreement filed in 6o, 6p, 7, 7a, 7b, 8, 9, 12, 12c, 13a, 13a–1, reasonable safeguards regarding the use 16, 16a, 19, 21, 23 and 24. of electronic signatures, including at a connection with an application for minimum safeguards employed to initial registration as an introducing § 1.1 [Removed and Reserved] prevent alteration of the electronic broker in accordance with the ■ 2. Section 1.1 is removed and record with which the electronic provisions of § 3.10(a) of this chapter reserved. signature is associated, after such record shall become effective upon the granting of registration or, if appropriate, a ■ has been electronically signed. 3. Section 1.3 is amended by revising temporary license, to the introducing paragraphs (nn) and (yy) to read as ■ 5. Section 1.10 is amended by revising paragraph (j) to read as follows: broker. A guarantee agreement filed follows: other than in connection with an § 1.3 Definitions. § 1.10 Financial reports of futures application for initial registration as an commission merchants and introducing * * * * * introducing broker shall become brokers. effective as of the date agreed to by the (nn) Guarantee agreement. This term * * * * * means an agreement of guaranty in the parties. (j) Requirements for guarantee (5)(i) If the registration of the form set forth in part B or C of Form 1– agreement. (1) A guarantee agreement introducing broker is suspended, FR, executed by a registered futures filed pursuant to this section must be revoked, or withdrawn in accordance commission merchant or retail foreign signed in a manner sufficient to be a with the provisions of this chapter, the exchange dealer, as appropriate, and by binding guarantee under local law by an guarantee agreement shall expire as of an introducing broker or applicant for appropriate person on behalf of the the date of such suspension, revocation registration as an introducing broker on futures commission merchant or retail or withdrawal. behalf of an introducing broker or foreign exchange dealer and the (ii) If the registration of the futures applicant for registration as an introducing broker, and each signature commission merchant or retail foreign introducing broker in satisfaction of the must be accompanied by evidence that exchange dealer is suspended or alternative adjusted net capital the signatory is authorized to enter the revoked, the guarantee agreement shall requirement set forth in § 1.17(a)(1)(iii). agreement on behalf of the futures expire 30 days after such suspension or * * * * * commission merchant, retail foreign revocation, or at such earlier time as (yy) Commodity interest. This term exchange dealer, or introducing broker may be approved by the Commission, means: and is such an appropriate person. For the introducing broker, and the (1) Any contract for the purchase or purposes of this paragraph (j), an introducing broker’s designated self- sale of a commodity for future delivery; appropriate person shall be the regulatory organization. (2) Any contract, agreement or proprietor, if the firm is a sole (6) A guarantee agreement may be transaction subject to Commission proprietorship; a general partner, if the terminated at any time during the term regulation under section 4c or 19 of the firm is a partnership; and either the thereof: Act; and chief executive officer or the chief (i) By mutual written consent of the (3) Any contract, agreement or financial officer, if the firm is a parties, signed by an appropriate person transaction subject to Commission corporation; and, if the firm is a limited on behalf of each party, with prompt jurisdiction under section 2(c)(2) of the liability company or limited liability written notice thereof, signed by an Act. partnership, either the chief executive appropriate person on behalf of each ■ 4. Section 1.4 is revised to read as officer, the chief financial officer, the party, to the Commission and to the follows: manager, the managing member, or designated self-regulatory organizations those members vested with the of the futures commission merchant or § 1.4 Use of electronic signatures. management authority for the limited retail foreign exchange dealer and the For purposes of complying with any liability company or limited liability introducing broker; provision in the Commodity Exchange partnership. (ii) For good cause shown, by either Act or the rules or regulations in this (2) No futures commission merchant party giving written notice of its Chapter I that requires a document to be or retail foreign exchange dealer may intention to terminate the agreement, signed by a customer of a futures enter into a guarantee agreement if: signed by an appropriate person, to the commission merchant or introducing (i) It knows or should have known other party to the agreement, to the broker, a retail forex customer of a retail that its adjusted net capital is less than Commission, and to the designated self- foreign exchange dealer or futures the amount set forth in § 1.12(b) of this regulatory organizations of the futures

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commission merchant or retail foreign as the Commission or the designated may not resume doing business as an exchange dealer and the introducing self-regulatory organization may allow introducing broker unless and until it broker; or for good cause shown, the introducing files a new agreement or either: (iii) By either party giving written broker files with its designated self- (1) A Form 1–FR–IB certified by an notice of its intention to terminate the regulatory organization either a new independent public accountant in agreement, signed by an appropriate guarantee agreement effective as of the accordance with § 1.16 as of a date not person, at least 30 days prior to the day following the date of termination of more than 45 days prior to the date on proposed termination date, to the other the existing agreement, or, in the case of which the report is filed; or party to the agreement, to the a guarantee agreement that is due to (2) A Form 1–FR–IB as of a date not Commission, and to the designated self- expire in accordance with the more than 17 business days prior to the regulatory organizations of the futures provisions of paragraph (j)(4)(ii) of this date on which the report is filed and a commission merchant or retail foreign section, a new guarantee agreement Form 1–FR–IB certified by an exchange dealer and the introducing effective on or before such expiration, or independent public accountant in broker. either: accordance with § 1.16 as of a date not (7) The termination of a guarantee (1) A Form 1–FR–IB certified by an more than one year prior to the date on agreement by a futures commission independent public accountant in which the report is filed: Provided, merchant, retail foreign exchange dealer accordance with § 1.16 as of a date not however, that an introducing broker as or an introducing broker, or the more than 45 days prior to the date on defined in § 5.1(f)(1) of this chapter that expiration of such an agreement, shall which the report is filed; or is party to a guarantee agreement that not relieve any party from any liability (2) A Form 1–FR–IB as of a date not has been terminated must cease doing or obligation arising from acts or more than 17 business days prior to the business as an introducing broker from omissions which occurred during the date on which the report is filed and a and after the effective date of such term of the agreement. Form 1–FR–IB certified by an termination, and may not resume doing (8) An introducing broker may not independent public accountant in business as an introducing broker as simultaneously be a party to more than accordance with § 1.16 as of a date not defined in § 5.1(f)(1) of this chapter one guarantee agreement: Provided, more than one year prior to the date on unless and until it files a new guarantee however, That the provisions of this which the report is filed: Provided, agreement. paragraph (j)(8) shall not be deemed to however, that an introducing broker as (B) Each person filing a Form 1–FR– preclude an introducing broker from defined in § 5.1(f)(1) of this chapter that IB in accordance with this section must entering into a guarantee agreement is party to a guarantee agreement that include with the financial report a with another futures commission has been terminated or that has expired statement describing the source of his merchant or retail foreign exchange must cease doing business as an current assets and representing that his dealer if the introducing broker, futures introducing broker on or before the capital has been contributed for the commission merchant or retail foreign effective date of such termination or purpose of operating his business and exchange dealer which is a party to the expiration unless, on or before 10 days will continue to be used for such existing agreement has provided notice prior to the effective date of such purpose. of termination of the existing agreement termination or expiration or such other * * * * * in accordance with the provisions of period of time as the Commission or the ■ 6. Section 1.35 is amended by revising paragraph (j)(6) of this section, and the designated self-regulatory organization paragraphs (a), (a–1) and (b) to read as new guarantee agreement does not may allow for good cause shown, the follows: become effective until the day following introducing broker files with its the date of termination of the existing designated self-regulatory organization a § 1.35 Records of cash commodity, agreement: And, provided further, That new guarantee agreement effective on or futures, and option transactions. the provisions of this paragraph (j)(8) before the termination or expiration date (a) Futures commission merchants, shall not be deemed to preclude an of the terminating or expiring guarantee retail foreign exchange dealers, introducing broker from entering into a agreement. introducing brokers, and members of guarantee agreement with another (B) Each person filing a Form 1–FR– contract markets. Each futures futures commission merchant or retail IB in accordance with this section must commission merchant, retail foreign foreign exchange dealer if the futures include with the financial report a exchange dealer, introducing broker, commission merchant or retail foreign statement describing the source of his and member of a contract market shall exchange dealer which is a party to the current assets and representing that his keep full, complete, and systematic existing agreement ceases to remain capital has been contributed for the records, together with all pertinent data registered and the existing agreement purpose of operating his business and and memoranda, of all transactions would therefore expire in accordance will continue to be used for such relating to its business of dealing in with the provisions of paragraph purpose. commodity futures, retail forex (j)(6)(ii) of this section. (ii)(A) Notwithstanding the provisions transactions, commodity options, and (9)(i)(A) An introducing broker that is of paragraph (j)(9)(i) of this section or of cash commodities (including a party to a guarantee agreement that § 1.17(a), an introducing broker that is a currencies). Each futures commission has been terminated in accordance with party to a guarantee agreement that has merchant, retail foreign exchange the provisions of paragraph (j)(6) of this been terminated in accordance with the dealer, introducing broker, and member section, or that is due to expire in provisions of paragraph (j)(6)(ii) of this of a contract market shall retain the accordance with the provisions of section shall not be deemed to be in required records, data, and memoranda paragraph (j)(5)(ii) of this section, must violation of the minimum adjusted net in accordance with the requirements of cease doing business as an introducing capital requirement of § 1.17(a)(1)(iii) or § 1.31, and produce them for inspection broker on or before the effective date of (a)(2) for 30 days following such and furnish true and correct information such termination or expiration unless, termination. Such an introducing broker and reports as to the contents or the on or before 10 days prior to the must cease doing business as an meaning thereof, when and as requested effective date of such termination or introducing broker on or after the by an authorized representative of the expiration or such other period of time effective date of such termination, and Commission or the United States

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Department of Justice. Included among form of a written record shall, rules which have been submitted to the such records shall be all orders (filled, immediately upon receipt of such order, Commission pursuant to section unfilled, or canceled), trading cards, prepare a written record of the order or 5a(a)(12)(A) of the Act and Commission signature cards, street books, journals, obtain from the member who placed the Regulation 1.41, which provide for an ledgers, canceled checks, copies of order a written record of the order, in exemption where: confirmations, copies of statements of non-erasable ink including the account (A) A contract market member places purchase and sale, and all other records, identification and order number and with another member of such contract data and memoranda, which have been shall record thereon, by time-stamp or market an order that is part of a spread prepared in the course of its business of other timing device, the date and time, transaction; dealing in commodity futures, retail to the nearest minute, the order is (B) The member placing the order forex transactions, commodity options, received; or personally executes one or more legs of and cash commodities. Among such (B) When a contract market member the spread; and records each member of a contract present on the floor places an order, (C) The member receiving and market must retain and produce for which is not in the form of a written executing such order immediately upon inspection are all documents on which record, for his own account or an execution of the order records the time trade information is originally recorded, account over which he has control, with of execution to the nearest minute on whether or not such documents must be another member of such contract market his trading card or other record prepared pursuant to the rules or for execution: maintained in accordance with the regulations of either the Commission or (1) The member placing such order requirements of paragraph (d) of this the contract market. For purposes of this immediately upon placement of the section. section, such documents are referred to order shall record the order and time of (ii) Each contract market shall, as part as ‘‘original source documents.’’ placement to the nearest minute on a of its trade practice surveillance (a–1) Futures commission merchants, sequentially-numbered trading card program, conduct surveillance for retail foreign exchange dealers, maintained in accordance with the compliance with the recordkeeping and introducing brokers, and members of requirements of paragraph (d) of this other requirements under paragraphs contract markets: Recording of section; (a–1) (2) and (3) of this section, and for customers’ and option customers’ (2) The member receiving and trading abuses related to the execution orders. (1) Each futures commission executing such order immediately upon of orders for members present on the merchant, each retail foreign exchange execution of the order shall record the floor of the contract market. dealer and each introducing broker time of execution to the nearest minute (4) Each member of a contract market receiving a customer’s, retail forex on a trading card or other record reporting the execution from the floor of customer’s or option customer’s order, maintained pursuant to the the contract market of a customer’s or as applicable, shall immediately upon requirements of paragraph (d) of this option customer’s order or the order of receipt thereof prepare a written record section; and another member of the contract market of the order including the account (3) The member receiving and received in accordance with paragraphs identification, except as provided in executing the order shall return such (a–1)(2)(i) or (a–1)(2)(ii)(A) of this paragraph (a–1)(5) of this section, and trading card or other record to the section, shall record on a written record order number, and shall record thereon, member placing the order. The member of the order, including the account by timestamp or other timing device, the placing the order then must submit identification, except as provided in date and time, to the nearest minute, the together both of the trading cards or paragraph (a–1)(5) of this section, and order is received, and in addition, for other records documenting such trade to order number, by timestamp or other option customers’ orders, the time, to contract market personnel or the timing device, the date and time to the the nearest minute, the order is clearing member, in accordance with nearest minute such report of execution transmitted for execution. contract market rules adopted pursuant is made. Each member of a contract (2)(i) Each member of a contract to paragraph (j)(1) of this section. market shall submit the written records market who on the floor of such contract (iii) Each contract market may adopt of customer orders or orders from other market receives a customer’s or option rules, which must be submitted to the contract market members to contract customer’s order which is not in the Commission pursuant to section market personnel or to the clearing form of a written record including the 5a(a)(12)(A) of the Act and Commission member responsible for the collection of account identification, order number, Regulation 1.41, that provide alternative orders prepared pursuant to this and the date and time, to the nearest requirements to those contained in paragraph as required by contract minute, the order was transmitted or paragraph (a–1)(2)(ii) of this section. market rules adopted in accordance received on the floor of such contract Such rules shall, at a minimum, require with paragraph (j)(1) of this section. The market, shall immediately upon receipt that the contemporaneous written execution price and other information thereof prepare a written record of the records: reported on the order tickets must be order in nonerasable ink, including the (A) Contain the terms of the order; written in nonerasable ink. account identification, except as (B) Include reliable timing data for the (5) Post-execution allocation of provided in paragraph (a–1)(5) of this initiation and execution of the order bunched orders. Specific customer section or appendix C to this part, and which would permit complete and account identifiers for accounts order number and shall record thereon, effective reconstruction of the order included in bunched orders need not be by timestamp or other timing device, the placement and execution; and recorded at time of order placement or date and time, to the nearest minute, the (C) Be submitted to contract market upon report of execution if the order is received. personnel or clearing members in requirements of paragraphs (a–1)(5)(i)– (ii) Except as provided in paragraph accordance with contract market rules (iv) of this section are met. (a–1)(3) of this section: adopted pursuant to paragraph (j)(1) of (i) Eligible account managers. The (A) Each contract market member who this section. person placing and directing the on the floor of such contract market (3)(i) The requirements of paragraph allocation of an order eligible for post- receives an order from another member (a–1)(2)(ii) of this section will not apply execution allocation must have been present on the floor which is not in the if a contract market maintains in effect granted written investment discretion

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with regard to participating customer and self-regulatory authorities and by futures commission merchant, each accounts. The following persons shall outside auditors. retail foreign exchange dealer, and each qualify as eligible account managers: (iv) Records. (A) Eligible account clearing member of a contract market (A) A commodity trading advisor managers shall keep and must make and, for purposes of paragraph (b)(3) of registered with the Commission available upon request of any this section, each introducing broker, pursuant to the Act or excluded or representative of the Commission, the shall, as a minimum requirement, exempt from registration under the Act United States Department of Justice, or prepare regularly and promptly, and or the Commission’s rules, except for other appropriate regulatory agency, the keep systematically and in permanent entities exempt under § 4.14(a)(3) or information specified in paragraph form, the following: § 4.14(a)(6) of this chapter; (a–1)(5)(ii) of this section. (1) A financial ledger record which (B) An investment adviser registered (B) Eligible account managers shall will show separately for each customer with the Securities and Exchange keep and must make available upon or retail forex customer or option Commission pursuant to the Investment request of any representative of the customer all charges against and credits Advisers Act of 1940 or with a state Commission, the United States to such customer’s or retail forex pursuant to applicable state law or Department of Justice, or other customer’s or option customer’s excluded or exempt from registration appropriate regulatory agency, records account, including but not limited to under such Act or applicable state law sufficient to demonstrate that all customer or retail forex customer funds or rule; allocations meet the standards of deposited, withdrawn, or transferred, (C) A bank, insurance company, trust paragraph (a–1)(5)(iii) of this section and charges or credits resulting from company, or savings and loan and to permit the reconstruction of the losses or gains on closed transactions; association subject to federal or state handling of the order from the time of (2) A record of transactions which regulation; or placement by the account manager to will show separately for each account (D) A foreign adviser that exercises the allocation to individual accounts. (including proprietary accounts): discretionary trading authority solely (C) Futures commission merchants (i) All commodity futures transactions over the accounts of non-U.S. persons, that execute orders or that carry executed for such account, including as defined in § 4.7(a)(1)(iv) of this accounts eligible for post-execution the date, price, quantity, market, chapter. allocation, and members of contract commodity and future; (ii) Information. Eligible account markets that execute such orders, must (ii) All retail forex transactions managers shall make the following maintain records that, as applicable, executed for such account, including information available to customers upon identify each order subject to post- the date, price, quantity, and currency; request: execution allocation and the accounts to and (iii) All commodity option (A) The general nature of the which contracts executed for such order transactions executed for such account, allocation methodology the account are allocated. including the date, whether the manager will use; (D) In addition to any other remedies that may be available under the Act or transaction involved a put or call, (B) Whether accounts in which the expiration date, quantity, underlying account manager may have any interest otherwise, if the Commission has reason to believe that an account manager has contract for future delivery or may be included with customer underlying physical, strike price, and accounts in bunched orders eligible for failed to provide information requested pursuant to paragraph (a–1)(5)(iv)(A) or details of the purchase price of the post-execution allocation; and option, including premium, mark-up, (C) Summary or composite data (a–1)(5)(iv)(B) of this section, the Commission may inform in writing any commission and fees; and sufficient for that customer to compare (3) A record or journal which will designated contract market or its results with those of other separately show for each business day derivatives transaction execution comparable customers and, if complete details of: applicable, any account in which the facility and that designated contract (i) All commodity futures transactions account manager has an interest. market or derivatives transaction executed on that day, including the (iii) Allocation. Orders eligible for execution facility shall prohibit the date, price, quantity, market, post-execution allocation must be account manager from submitting orders commodity, future and the person for allocated by an eligible account manager for execution except for liquidation of whom such transaction was made; in accordance with the following: open positions and no futures (ii) All retail forex transactions (A) Allocations must be made as soon commission merchants shall accept executed on that day for such account, as practicable after the entire transaction orders for execution on any designated including the date, price, quantity, is executed, but in any event account contract market or derivatives currency and the person for whom such managers must provide allocation transaction execution facility from the transaction was made; and information to futures commission account manager except for liquidation (iii) All commodity option merchants no later than a time of open positions. transactions executed on that day, sufficiently before the end of the day the (E) Any account manager that believes including the date, whether the order is executed to ensure that clearing he or she is or may be adversely affected transaction involved a put or call, the records identify the ultimate customer or aggrieved by action taken by the expiration date, quantity, underlying for each trade. Commission under paragraph contract for future delivery, or (B) Allocations must be fair and (a–1)(5)(iv)(D) of this section shall have underlying physical, strike price, details equitable. No account or group of the opportunity for a prompt hearing in of the purchase price of the option, accounts may receive consistently accordance with the provisions of including premium, mark-up, favorable or unfavorable treatment. § 21.03(g) of this chapter. commission and fees and the person for (C) The allocation methodology must * * * * * whom the transaction was made; and be sufficiently objective and specific to (b) Futures commission merchants, (iv) In the case of an introducing permit independent verification of the retail foreign exchange dealers, broker, the record or journal required by fairness of the allocations using that introducing brokers, and clearing this paragraph (b)(3) shall also include methodology by appropriate regulatory members of contract markets. Each the futures commission merchant or

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retail foreign exchange dealer carrying clearing organization that it was purchases or sales which are for the account for which each commodity informed that such securities or omnibus accounts, or where the futures, retail forex and commodity property belong to customers or option customer or account controller has option transaction was executed on that customers of the futures commission instructed otherwise, any futures day. Provided, however, that where merchant making the deposit. Such commission merchant who, on or reproductions on microfilm, microfiche acknowledgment shall be retained as subject to the rules of a designated or optical disk are substituted for hard provided in § 1.31. contract market or registered derivatives copy in accordance with the provisions * * * * * transaction execution facility: of § 1.31(b) of this part, the requirements ■ 8. Section 1.37 is amended by revising (i) Purchases any commodity for of paragraphs (b)(1) and (b)(2) of this paragraph (a)(1) to read as follows: future delivery for the account of any section will be considered met if the customer when the account of such person required to keep such records is § 1.37 Customer’s or option customer’s customer at the time of such purchase ready at all times to provide, and name, address, and occupation recorded; has a short position in the same future immediately provides in the same city record of guarantor or controller of of the same commodity on the same as that in which such person’s account. market; commodity retail forex or commodity (a)(1) Each futures commission (ii) Sells any commodity for future option books and records are merchant, retail foreign exchange delivery for the account of any customer maintained, at the expense of such dealer, introducing broker, and member when the account of such customer at person, reproduced copies which show of a contract market shall keep a record the time of such sale has a long position the records as specified in paragraphs in permanent form which shall show for in the same future of the same (b)(1) and (b)(2) of this section, on each commodity futures, retail forex or commodity on the same market; request of any representatives of the option account carried or introduced by (iii) Purchases a put or call option for Commission or the U.S. Department of it the true name and address of the the account of any option customer Justice. person for whom such account is when the account of such option * * * * * carried or introduced and the principal customer at the time of such purchase ■ 7. Section 1.36 is amended by revising occupation or business of such person has a short put or call option position paragraph (a) to read as follows: as well as the name of any other person with the same underlying futures guaranteeing such account or exercising contract or same underlying physical, § 1.36 Record of securities and property any trading control with respect to such strike price, expiration date and contract received from customers and option account. For each such commodity market as that purchased; or customers. option account, the records kept by such (iv) Sells a put or call option for the (a) Each futures commission merchant futures commission merchant, account of any option customer when and each retail foreign exchange dealer introducing broker, and member of a the account of such option customer at shall maintain, as provided in § 1.31, a contract market must also show the the time of such sale has a long put or record of all securities and property name of the person who has solicited call option position with the same received from customers, retail forex and is responsible for each option underlying futures contract or same customers or option customers in lieu of customer’s account or assign account underlying physical, strike price, money to margin, purchase, guarantee, numbers in such a manner to identify expiration date and contract market as or secure the commodity, retail forex or that person. that sold—shall on the same day apply commodity option transactions of such * * * * * such purchase or sale against such customers, retail forex customers or ■ previously held short or long futures or option customers. Such record shall 9. Section 1.40 is revised to read as follows: option position, as the case may be, and show separately for each customer, shall, for futures transactions, promptly retail forex customer or option § 1.40 Crop, market information letters, furnish such customer a statement customer: A description of the securities reports; copies required. showing the financial result of the or property received; the name and Each futures commission merchant, transactions involved and, if applicable, address of such customer, retail forex each retail foreign exchange dealer, each that the account was introduced to the customer or option customer; the dates introducing broker and each member of futures commission merchant by an when the securities or property were a contract market shall, upon request, introducing broker and the names of the received; the identity of the depositories furnish or cause to be furnished to the futures commission merchant and or other places where such securities or Commission a true copy of any letter, introducing broker. property are segregated or held; the circular, telegram, or report published (2) Any futures commission merchant dates of deposits and withdrawals from or given general circulation by such or retail foreign exchange dealer who: such depositories; and the dates of futures commission merchant, retail (i) Engages in a retail forex transaction return of such securities or property to foreign exchange dealer, introducing involving the purchase of any currency such customer, retail forex customer or broker or member which concerns crop for the account of any retail forex option customer, or other disposition or market information or conditions that customer when the account of such thereof, together with the facts and affect or tend to affect the price of any retail forex customer at the time of such circumstances of such other disposition. commodity or exchange rate, and the purchase has an open retail forex In the event any futures commission true source of or authority for the transaction for the sale of the same merchant deposits with the clearing information contained therein. currency; organization of a contract market, ■ 10. Section 1.46 is amended by (ii) Engages in a retail forex directly or with a bank or trust company revising paragraphs (a) and (b) to read transaction involving the sale of any acting as custodian for such clearing as follows: currency for the account of any retail organization, securities and/or property forex customer when the account of which belong to a particular customer or § 1.46 Application and closing out of such retail forex customer at the time of option customer, such futures offsetting long and short positions. such sale has an open retail forex commission merchant shall obtain (a) Application of purchases and transaction for the purchase of the same written acknowledgment from such sales. (1) Except with respect to currency;

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(iii) Purchases a put or call option employee, or agent of the futures definition of adjusted net capital must involving foreign currency for the commission merchant or retail foreign be the same as that prescribed in account of any option customer when exchange dealer. With respect to every § 1.17(c) for futures commission the account of such option customer at such offsetting transaction that, in merchants and introducing brokers, and the time of such purchase has a short accordance with such specific § 5.7(b)(2) of this chapter for futures put or call option position with the instructions, is not applied to the oldest commission merchants offering or same underlying currency, strike price, portion of the previously held position, engaging in retail forex transactions and and expiration date as that purchased; the futures commission merchant or for retail foreign exchange dealers: or retail foreign exchange dealer shall Provided, however, A designated self- (iv) Sells a put or call option clearly show on the statement issued to regulatory organization may permit its involving foreign currency for the the customer, retail forex customer or member registrants which are registered account of any option customer when option customer in connection with the with the Securities and Exchange the account of such option customer at transaction, that because of the specific Commission as securities brokers or the time of such sale has a long put or instructions given by or on behalf of the dealers to file (in accordance with call option position with the same customer, retail forex customer or § 1.10(h)) a copy of their Financial and underlying currency, strike price, and option customer the transaction was not Operational Combined Uniform Single expiration date as that sold—shall applied in the usual manner, i.e., against Report under the Securities Exchange immediately apply such purchase or the oldest portion of the previously held Act of 1934, Part II, Part IIA, or Part II sale against such previously held position. However, no such showing CSE, in lieu of Form 1–FR: And, opposite transaction, and shall promptly need be made if the futures commission provided further, A designated self- furnish such retail forex customer a merchant or retail foreign exchange regulatory organization may permit its statement showing the financial result dealer has received such specific member introducing brokers to file a of the transactions involved and, if instructions in writing from the Form 1–FR–IB in lieu of a Form 1–FR– applicable, that the account was customer, retail forex customer or FCM. introduced to the futures commission option customer for whom such account * * * * * merchant or retail foreign exchange is carried. (c) Any two or more self-regulatory dealer by an introducing broker and the * * * * * organizations may file with the names of the futures commission ■ 11. Section 1.52 is amended by: Commission a plan for delegating to a merchant or retail foreign exchange ■ a. Revising paragraphs (a), and (c) designated self-regulatory organization, dealer, and the introducing broker. introductory text, (c)(1), and (c)(2); for any registered futures commission (b) Close-out against oldest open ■ b. Revising paragraphs (g)(3) and position. In all instances wherein the merchant, any registered retail foreign (g)(4); and exchange dealer, or any registered short or long futures, retail forex ■ c. Revising paragraphs (h), (j), and (k) introducing broker which is a member transaction or option position in such to read as follows: customer’s, retail forex customer’s or of more than one such self-regulatory option customer’s account immediately § 1.52 Self-regulatory organization organization, the responsibility of: prior to such offsetting purchase or sale adoption and surveillance of minimum (1) Monitoring and auditing for is greater than the quantity purchased or financial requirements. compliance with the minimum financial sold, the futures commission merchant (a) Each self-regulatory organization and related reporting requirements or retail foreign exchange dealer shall must adopt, and submit for Commission adopted by such self-regulatory apply such offsetting purchase or sale to approval, rules prescribing minimum organizations in accordance with the oldest portion of the previously held financial and related reporting paragraph (a) of this section; and short or long position: Provided, That requirements for all its members who (2) Receiving the financial reports upon specific instructions from the are registered futures commission necessitated by such minimum financial customer or option customer the merchants or registered retail foreign and related reporting requirements. offsetting transaction shall be applied as exchange dealers. Each self-regulatory * * * * * specified by the customer or option organization other than a contract (g) * * * customer without regard to the date of market must adopt, and submit for (3) Reduces multiple monitoring and acquisition of the previously held Commission approval, rules prescribing auditing for compliance with the position; and Provided, further, that a minimum financial and related minimum financial rules of the self- futures commission merchant or retail reporting requirements for all its regulatory organizations submitting the foreign exchange dealer, if permitted by members who are registered introducing plan for any futures commission the rules of a registered futures brokers. Each contract market which merchant, retail foreign exchange association, may offset, at the elects to have a category of membership dealer, or introducing broker which is a customer’s request, retail forex for introducing brokers must adopt, and member of more than one self-regulatory transactions of the same size, even if the submit for Commission approval, rules organization; customer holds other transactions of a prescribing minimum financial and (4) Reduces multiple reporting of the different size, but in each case must related reporting requirements for all its financial information necessitated by offset the transaction against the oldest members who are registered introducing such minimum financial and related transaction of the same size. Such brokers. Each self-regulatory reporting requirements by any futures instructions may also be accepted from organization shall submit for commission merchant, retail foreign any person who, by power of attorney Commission approval any modification exchange dealer, or introducing broker or otherwise, actually directs trading in or other amendments to such rules. which is a member of more than one the customer’s, retail forex customer’s or Such requirements must be the same as, self-regulatory organization; option customer’s account unless the or more stringent than, those contained * * * * * person directing the trading is the in §§ 1.10 and 1.17, for futures (h) After the Commission has futures commission merchant or retail commission merchants and introducing approved a plan or part of one under foreign exchange dealer (including any brokers, and § 5.7 of this chapter for § 1.52(g), a self-regulatory organization partner thereof), or is an officer, retail foreign exchange dealers. The relieved of responsibility must notify

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each of its members which is subject to regulation, or order of the Commission, registration. Such person will be such a plan: each futures commission merchant, prohibited from engaging in activities (1) Of the limited nature of its retail foreign exchange dealer, floor requiring registration under the Act or responsibility for such a member’s broker, floor trader, associated person, from representing himself to be a compliance with its minimum financial commodity trading advisor, commodity registrant under the Act or the and related reporting requirements; and pool operator, introducing broker, and representative or agent of any registrant (2) Of the identity of the designated leverage transaction merchant must during the pendency of any suspension self-regulatory organization which has register as such under the Act. of such registration. been delegated responsibility for such a Registration in one capacity under the (2) A person registered as an member. Act shall not include registration in any introducing broker who was a party to * * * * * other capacity: Provided, however, That a guarantee agreement with a futures (j) Whenever a registered futures a registered floor broker need not also commission merchant or retail foreign commission merchant, a registered retail register as a floor trader in order to exchange dealer in accordance with foreign exchange dealer, or a registered engage in activity as a floor trader. § 1.10(j) of this chapter will have its introducing broker holding membership * * * * * registration cease thirty days after the in a self-regulatory organization ceases ■ 15. Section 3.10 is amended by: termination of such guarantee to be a member in good standing of that ■ a. Revising the heading; agreement unless the procedures set self-regulatory organization, such self- ■ b. Revising paragraph (a)(1); forth in § 1.10(j)(8) of this chapter are regulatory organization must, on the ■ c. Revising paragraph (b); and followed. same day that event takes place, give ■ d. Revising paragraph (d) to read as * * * * * telegraphic notice of that event to the follows: (d) On a date to be established by the principal office of the Commission in § 3.10 Registration of futures commission National Futures Association, and in Washington, DC, and send a copy of that merchants, retail foreign exchange dealers, accordance with procedures established notification to such futures commission introducing brokers, commodity trading by the National Futures Association, merchant, retail foreign exchange advisors, commodity pool operators and each registrant as a futures commission dealer, or such introducing broker. leverage transaction merchants. merchant, retail foreign exchange (k) Nothing in this section shall (a) Application for registration. (1)(i) dealer, introducing broker, commodity preclude the Commission from Except as provided in paragraph (a)(3) trading advisor, commodity pool examining any futures commission of this section, application for operator or leverage transaction merchant, retail foreign exchange registration as a futures commission merchant shall, on an annual basis, dealer, or introducing broker for merchant, retail foreign exchange review and update registration compliance with the minimum financial dealers, introducing broker, commodity information maintained with the and related reporting requirements to trading advisor, commodity pool National Futures Association. The which such futures commission operator or leverage transaction failure to complete the review and merchant, retail foreign exchange merchant must be on Form 7–R, update within thirty days following the dealer, or introducing broker is subject. completed and filed with the National date established by the National Futures * * * * * Futures Association in accordance with Association shall be deemed to be a the instructions thereto. request for withdrawal from registration, PART 3—REGISTRATION (ii) Applicants for registration as a which shall be processed in accordance futures commission merchant, retail with the provisions of § 3.33(f). ■ 12. The authority citation for part 3 foreign exchange dealer or introducing * * * * * continues to read as follows: broker must accompany their Form 7–R ■ 16. Section 3.12 is amended by Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, with a Form 1–FR–FCM or Form 1–FR– ■ a. Revising the heading; 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 8, 9, 9a, IB, respectively, in accordance with the ■ b. Revising paragraph (a); 12, 12a, 13b, 13c, 16a, 18, 19, 21 and 23. provisions of § 1.10 of this chapter: ■ c. Revising paragraph (f)(1)(iii)(E); ■ ■ Provided, however, That an applicant d. Revising paragraph (f)(4); 13. Section 3.1 is amended by revising ■ paragraph (c) to read as follows: for registration as a futures commission e. Revising paragraph (h)(1)(i) and merchant or introducing broker which is paragraph (h)(1)(iii); and § 3.1 Definitions. registered with the Securities and ■ f. Removing paragraph (j). The * * * * * Exchange Commission as a securities revisions read as follows: broker or dealer may accompany its (c) Sponsor. Sponsor means the § 3.12 Registration of associated persons futures commission merchant, retail Form 7–R with a copy of its Financial of futures commission merchants, retail foreign exchange dealer, introducing and Operational Combined Uniform foreign exchange dealers, introducing broker, commodity trading advisor, Single Report under the Securities brokers, commodity trading advisors, commodity pool operator or leverage Exchange Act of 1934, Part II or Part II commodity pool operators and leverage transaction merchant which makes the A, in accordance with the provisions of transaction merchants. certification required by § 3.12 of this § 1.10(h) of this chapter. (a) Registration required. It shall be part for the registration of an associated * * * * * unlawful for any person to be associated person of such sponsor. (b) Duration of registration. (1) A with a futures commission merchant, * * * * * person registered as a futures retail foreign exchange dealer, ■ 14. Section 3.4 is amended by revising commission merchant, retail foreign introducing broker, commodity trading paragraph (a) to read as follows: exchange dealer, introducing broker, advisor, commodity pool operator or commodity trading advisor, commodity leverage transaction merchant as an § 3.4 Registration in one capacity not pool operator or leverage transaction associated person unless that person included in registration in any other merchant in accordance with paragraph shall have registered under the Act as an capacity. (a) of this section will continue to be so associated person of that sponsoring (a) Except as may be otherwise registered until the effective date of any futures commission merchant, retail provided in the Act or in any rule, revocation or withdrawal of such foreign exchange dealer, introducing

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broker, commodity trading advisor, supervise, and has not been found in the firm in the event that all of those commodity pool operator or leverage such a proceeding to have committed previously designated in accordance transaction merchant in accordance fraud or failed to supervise, as required with paragraph (h)(1)(iii)(C) of this with the procedures in paragraphs (c), by the Act, the rules promulgated section have been relieved of such (d), (f), or (i), of this section or is exempt thereunder or the rules of a self- authority. Subsequent changes in from such registration pursuant to regulatory organization, the person for supervisory authority shall be reported paragraph (h) of this section. whom exemption is sought and the in the same manner; or * * * * * person designated in accordance with * * * * * (f) * * * paragraphs (h)(1)(iii)(C) or (h)(1)(iii)(D) ■ 17. Section 3.21 is amended by: (1) * * * of this section are listed as principals of ■ a. Revising paragraph (b)(3); and (iii) * * * the firm, the fitness examination ■ b. Revising paragraphs (c) (E) Associated person’s supervision of conducted by the National Futures introductory text, (c)(1) through (3), and any person or persons engaged in any of Association with respect to these (c)(4)(i) to read as follows: the foregoing solicitations or persons discloses no derogatory acceptances, with respect to any information that would disqualify any § 3.21 Exemption from fingerprinting customers common to it and any other of such persons as a principal or as an requirement in certain cases. futures commission merchant, retail associated person, and the firm files * * * * * foreign exchange dealer, introducing with the National Futures Association (b) * * * broker, commodity trading advisor, corporate or partnership resolutions (3) With respect to the fingerprints of commodity pool operator, or leverage stating that: a principal. An officer, if the futures transaction merchant with which the (A) Such supervisory person is not commission merchant, retail foreign associated person is associated. authorized to: exchange dealer, commodity trading * * * * * (1) Solicit or accept customers’, retail advisor, commodity pool operator, (4) If a person is associated with a forex customers’, or leverage customers’ introducing broker, or leverage futures commission merchant, with a orders, transaction merchant with which the (2) Solicit a client’s or prospective retail foreign exchange dealer, or with principal will be affiliated is a client’s discretionary account, an introducing broker and he directs corporation, a general partner, if a (3) Solicit funds, securities or customers seeking a managed account to partnership, or the sole proprietor, if a property for a participation in a use the services of a commodity trading sole proprietorship. commodity pool, or advisor(s) approved by the futures (c) Outside directors. Any futures (4) Exercise any line supervisory commission merchant, retail foreign commission merchant, retail foreign authority over those persons so engaged; exchange dealer or introducing broker exchange dealer, introducing broker, (B) Such supervisory person has no commodity trading advisor, commodity and all such customers’ accounts authority with respect to hiring, firing or solicited or accepted by the associated pool operator or leverage transaction other personnel matters involving merchant that has a principal who is a person are carried by the futures persons engaged in activities subject to commission merchant, retail foreign director but is not also an officer or regulation under the Act; employee of the firm may, in lieu of exchange dealer or introduced by the (C) Another person (or persons) submitting a fingerprint card in introducing broker with which the designated therein, who is registered as accordance with the provisions of associated person is associated, such a an associated person(s) or who has §§ 3.10(a)(2) and 3.31(a)(2), file a person shall be deemed to be associated applied for registration as an associated ‘‘Notice Pursuant to Rule 3.21(c)’’ with solely with the futures commission person(s) and is not subject to a pending the National Futures Association. Such merchant, retail foreign exchange dealer proceeding brought by the Commission notice shall state, if true, that such or introducing broker and may not also or a self-regulatory organization alleging outside director: register as an associated person of the fraud or failure to supervise, and has not commodity trading advisor(s). (1) Is not engaged in: been found in such a proceeding to have (i) The solicitation or acceptance of * * * * * committed fraud or failed to supervise, customers’ orders or retail forex (h) * * * as required by the Act, the rules customers’ orders, (1) * * * promulgated thereunder or the rules of (ii) The solicitation of funds, (i) Registered under the Act as a a self-regulatory organization, holds and securities or property for a participation futures commission merchant, retail exercises full and final supervisory in a commodity pool, foreign exchange dealer, floor broker, or authority, including authority to hire (iii) The solicitation of a client’s or as an introducing broker; and fire personnel, over the customer prospective client’s discretionary * * * * * commodity interest related activities of account, (iii) The chief operating officer, the firm; and (iv) The solicitation or acceptance of general partner or other person in the (D) If the person (or persons) so leverage customers’ orders for leverage supervisory chain-of-command, designated in accordance with transactions; provided the futures commission paragraph (h)(1)(iii)(C) of this section (2) Does not regularly have access to merchant, retail foreign exchange ceases to have the authority referred to the keeping, handling or processing of: dealer, introducing broker, commodity therein, the firm will notify the National (i) Commodity interest transactions; trading advisor, commodity pool Futures Association within twenty days (ii) Customer funds, retail forex operator, or leverage transaction of such occurrence by means of a customer funds, leverage customer merchant engages in commodity interest subsequent resolution which resolution funds, foreign futures or foreign options related activity for customers as no more must also include the name of another secured amount, or adjusted net capital; than ten percent of its total revenue on associated person (or persons) who has or an annual basis, the firm is not subject been vested with full supervisory (3) Does not have direct supervisory to a pending proceeding brought by the authority, including authority to hire responsibility over persons engaged in Commission or a self-regulatory and fire personnel, over the customer the activities referred to in paragraphs organization alleging fraud or failure to commodity interest related activities of (c)(1) and (c)(2) of this section; and

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(4) * * * thereto, promptly correct any deficiency transaction merchant, and the reasons (i) The name of the futures or inaccuracy in Form 7–R or Form therefor. commission merchant, retail foreign 8–R which no longer renders accurate (2) Each person registered as, or exchange dealer, introducing broker, and current the information contained applying for registration as, a futures commodity trading advisor, commodity therein. Each such correction shall be commission merchant, retail foreign pool operator, leverage transaction made on Form 3–R and shall be exchange dealer, commodity trading merchant, or applicant for registration prepared and filed in accordance with advisor, commodity pool operator, in any of these capacities of which the the instructions thereto. Provided, introducing broker or leverage person is an outside director; however, that where a registrant is transaction merchant must, within * * * * * reporting a change in the form of thirty days after the termination of the 18. Section 3.30 is amended by organization from or to a sole affiliation of a principal with the revising paragraph (a) to read as follows: proprietorship, the registrant must file a registrant or applicant, file a notice Form 7–W regarding the pre-existing thereof with the National Futures § 3.30 Current address for purpose of Association. delivery of communications from the organization and a Form 7–R regarding Commission or the National Futures the newly formed organization. (3) Any notice required by paragraph Association. * * * * * (c) of this section must be filed on Form 8–T or on a Uniform Termination Notice (a) The address of each registrant, (b) Each applicant or registrant as a applicant for registration and principal, for Securities Industry Registration. floor broker, floor trader or associated (d) Each contract market or as submitted on the application for person, and each principal of a futures derivatives transaction execution registration (Form 7–R or Form 8–R) or commission merchant, retail foreign facility that has granted trading as submitted on the biographical exchange dealer, commodity trading privileges to a person who is registered, supplement (Form 8–R) shall be deemed advisor, commodity pool operator, has received a temporary license, or has to be the address for delivery to the introducing broker, or leverage applied for registration as a floor broker registrant, applicant or principal for any transaction merchant must, in or floor trader, must notify the National communications from the Commission accordance with the instructions Futures Association within sixty days or the National Futures Association, thereto, promptly correct any deficiency after such person has ceased having including any summons, complaint, or inaccuracy in the Form 8–R or trading privileges on such contract reparation claim, order, subpoena, supplemental statement thereto which market or derivatives transaction special call, request for information, renders no longer accurate and current execution facility. notice, and other written documents or the information contained in the Form correspondence, unless the registrant, 8–R or supplemental statement. Each * * * * * applicant or principal specifies another such correction must be made on Form ■ 20. Section 3.33 is amended by address for this purpose: Provided, That 3–R and must be prepared and filed in revising paragraphs (a) introductory the Commission or the National Futures accordance with the instructions text, (b) introductory text, (b)(6), and (e) Association may address any thereto. to read as follows: correspondence relating to a (c)(1) After the filing of a Form 8–R § 3.33 Withdrawal from registration. biographical supplement submitted for or a Form 3–R by or on behalf of any or on behalf of a principal to the futures (a) A futures commission merchant, person for the purpose of permitting retail foreign exchange dealer, commission merchant, retail foreign that person to be an associated person exchange dealer, commodity trading introducing broker, commodity trading of a futures commission merchant, retail advisor, commodity pool operator, advisor, commodity pool operator, foreign exchange dealer, commodity introducing broker, or leverage leverage transaction merchant, floor trading advisor, commodity pool broker or floor trader may request that transaction merchant with which the operator, introducing broker, or a principal is affiliated and may address its registration be withdrawn in leverage transaction merchant, that accordance with the requirements of any correspondence relating to the futures commission merchant, retail registration of an associated person to this section if: foreign exchange dealer, commodity * * * * * the futures commission merchant, retail trading advisor, commodity pool foreign exchange dealer, commodity (b) A request for withdrawal from operator, introducing broker or leverage registration as a futures commission trading advisor, commodity pool transaction merchant must, within operator, introducing broker, or leverage merchant, retail foreign exchange thirty days after the occurrence of either dealer, introducing broker, commodity transaction merchant with which the of the following, file a notice thereof associated person or the applicant for trading advisor, commodity pool with the National Futures Association operator, or leverage transaction registration is or will be associated as an indicating: associated person. merchant must be made on Form 7–W, (i) The failure of that person to * * * * * and a request for withdrawal from become associated with the futures ■ registration as a floor broker or floor 19. Section 3.31 is amended by commission merchant, retail foreign trader must be made on Form 8–W, revising paragraphs (a)(1), (b), (c), and exchange dealer, commodity trading completed and filed with National (d) to read as follows: advisor, commodity pool operator, Futures Association in accordance with § 3.31 Deficiencies, inaccuracies, and introducing broker, or leverage the instructions thereto. The request for changes, to be reported. transaction merchant, and the reasons withdrawal must be made by a person (a)(1) Each applicant or registrant as a therefor; or duly authorized by the registrant and futures commission merchant, retail (ii) The termination of the association must specify: foreign exchange dealer, commodity of the associated person with the futures * * * * * trading advisor, commodity pool commission merchant, retail foreign (6) If a basis for withdrawal from operator, introducing broker, or leverage exchange dealer, commodity trading registration under paragraph (a)(1) of transaction merchant shall, in advisor, commodity pool operator, this section is that the registrant has accordance with the instructions introducing broker, or leverage ceased engaging in activities requiring

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registration, then, with respect to each the request for withdrawal from (i) The futures commission merchant capacity for which the registrant has registration. or retail foreign exchange dealer has ceased such activities: * * * * * verified the information on the Forms (i) That all customer, retail forex (e) A request for withdrawal from 8–R filed pursuant to paragraph (a)(3) of customer or option customer registration as a futures commission this section which relate to education agreements, if any, have been merchant, retail foreign exchange and employment history of the terminated; dealer, introducing broker, commodity applicant’s principals (including each (ii) That all customer, retail forex trading advisor, commodity pool branch office manager) thereof during customer or option customer positions, operator, leverage transaction merchant the preceding three years; and if any, have been transferred on behalf on Form 7–W, and a request for (ii) To the best of the futures of customers or option customers or withdrawal from registration as a floor commission merchant’s or retail foreign closed; broker or floor trader on Form 8–W, exchange dealer’s knowledge, information, and belief, all of the (iii) That all customer, retail forex must be filed with the National Futures publicly available information supplied customer or option customer cash Association and a copy of such request by the applicant and its principals and balances, securities, or other property, if must be sent by the National Futures each branch office manager of the any, have been transferred on behalf of Association within three business days applicant on the Form 7–R and Forms customers, retail forex customers or of the receipt of such withdrawal 8–R, as appropriate, is accurate and option customers or returned, and that request to the Commodity Futures Trading Commission, Division of complete; and there are no obligations to customers, (5) The fingerprints of the applicant, retail forex customers or option Clearing and Intermediary Oversight, Three Lafayette Centre, 1155 21st Street, if a sole proprietor, and of each customers outstanding; principal (including each branch office (iv) In the case of a commodity pool NW., Washington, DC 20581. In addition, any floor broker or floor trader manager) thereof on fingerprint cards operator, that all interests in, and assets provided by the National Futures of, any commodity pool have been requesting withdrawal from registration must file a copy of his Form 8–W with Association for that purpose: Provided, redeemed, distributed, or transferred, on that a principal who has a current Form behalf of the participants therein, and each contract market that has granted him trading privileges. Within three 8–R on file with the National Futures that there are no obligations to such Association or the Commission is not participants outstanding; business days of any determination by the National Futures Association under required to submit a fingerprint card. (v) In the case of a leverage § 3.10(d) to treat the failure by a * * * * * transaction merchant: registrant to file an annual Form 7–R as ■ 22. Section 3.45 is amended by (A) Either that all leverage customer a request for withdrawal, the National revising paragraph (b) to read as follows: agreements, if any, and all leverage Futures Association shall send the § 3.45 Restrictions upon activities. contracts have been terminated, and that Commission notice of that * * * * * all leverage customer cash balances, determination. securities or other property, if any, have (b) An applicant for registration as an been returned, or * * * * * introducing broker who has received a ■ 21. Section 3.44 is amended by (B) Alternatively, that pursuant to temporary license may be guaranteed by revising paragraphs (a)(1) through (5) to Commission approval, the leverage a futures commission merchant or retail read as follows: contract obligations of the leverage foreign exchange dealer other than the transaction merchant have been § 3.44 Temporary licensing of applicants futures commission merchant or retail assumed by another leverage transaction for guaranteed introducing broker foreign exchange dealer which provided merchant and all leverage customer cash registration. the initial guarantee agreement described in § 3.44(a)(1) of this subpart: balances, securities or other property, if (a) * * * Provided, That, at least 10 days prior to any, have been transferred to such (1) A properly completed guarantee the effective date of the termination of leverage transaction merchant on behalf agreement (Form 1–FR part B) from a the existing guarantee agreement in of leverage customers or returned, and futures commission merchant or retail accordance with the provisions of § 1.10 that there are no obligations to leverage foreign exchange dealer which is (j)(5) of this chapter, or such other customers outstanding; eligible to enter into such an agreement period of time as the National Futures (vi) The nature and extent of any pursuant to § 1.10(j)(2) of this chapter; Association may allow for good cause pending customer, retail forex customer, (2) A Form 7–R properly completed in shown, the applicant files with the option customer, leverage customer, or accordance with the instructions National Futures Association— commodity pool participant claims thereto; (1) Written notice of such termination against the registrant, and, to the best of (3) A Form 8–R for the applicant, if and the registrant’s knowledge and belief, a sole proprietor, and each principal (2) A new guarantee agreement with the nature and extent of any anticipated (including each branch office manager) another futures commission merchant or or threatened customer, option thereof, properly completed in retail foreign exchange dealer effective customer, leverage customer, or accordance with the instructions the day following the last effective date commodity pool participant claims thereto, all of whom would be eligible of the existing guarantee agreement. against the registrant; and for a temporary license if they had ■ 23. Section 3.50 is amended by (vii) In the case of a futures applied as associated persons. revising paragraph (b)(2) to read as commission merchant or a retail foreign (4) A certification executed by a follows: exchange dealer which is a party to a person duly authorized by the futures guarantee agreement, that all such commission merchant or retail foreign § 3.50 Service. agreements have been or will be exchange dealer that has executed the * * * * * terminated in accordance with the guarantee agreement required by (b) * * * provisions of § 1.10(j) of this chapter not paragraph (a)(1) of this section, stating (2) Any futures commission merchant more than thirty days after the filing of that: or retail foreign exchange dealer which

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has entered into a guarantee agreement (B) A retail foreign exchange dealer market price per unit, and for each such in accordance with § 1.10(j) of this registered pursuant to section option position by multiplying the chapter, if the applicant or registrant is 2(c)(2)(B)(i)(II)(gg) of the Act, or a number of contracts by the size of the registered as or applying for registration principal thereof; contract, adjusted by its delta, in as an introducing broker. * * * * * contract units (taking into account any * * * * * ■ 27. Section 4.12 is amended by multiplier specified in the contract), by ■ 24. Section 3.60 is amended by revising paragraph (b)(1)(i)(C) to read as the strike price per unit, and for each revising paragraph (b)(2)(i)(B) to read as follows: such retail forex transaction, by follows: calculating the value in U.S. Dollars of § 4.12 Exemption from provisions of part such transaction, at the time the § 3.60 Procedure to deny, condition, 4. transaction was established, excluding suspend, revoke or place restrictions upon * * * * * for this purpose the value in U.S. registration pursuant to sections 8a(2), (b) * * * Dollars of offsetting long and short 8a(3) and 8a(4) of the Act. (1) * * * transactions, if any; and * * * * * (i) * * * * * * * * (b) * * * (C) Will not enter into commodity ■ 29. Section 4.14 is amended by (2)(i) * * * interest transactions for which the (B) In the case of a sponsor which is revising paragraph (a)(7) to read as aggregate initial margin and premiums, follows: a futures commission merchant, a retail and required minimum security deposit foreign exchange dealer or a leverage for retail forex transactions (as defined § 4.14 Exemption from registration as a transaction merchant, the sponsor is not in § 5.1(m) of this chapter) exceed 10 commodity trading advisor. subject to the reporting requirements of percent of the fair market value of the * * * * * § 1.12(b), § 5.6(b) or § 31.7(b) of this pool’s assets, after taking into account (a) * * * chapter, respectively; and unrealized profits and unrealized losses (7)(i) It is registered under the Act as * * * * * on any such contracts it has entered a leverage transaction merchant and the into; Provided, however, That in the person’s trading advice is solely in PART 4—COMMODITY POOL case of an option that is in-the-money at connection with its business as a OPERATORS AND COMMODITY the time of purchase, the in-the-money leverage transaction merchant; TRADING ADVISORS amount as defined in § 190.01(x) of this (ii) It is registered under the Act as a ■ 25. The authority citation for part 4 chapter may be excluded in computing retail foreign exchange dealer and the continues to read as follows: such 10 percent; and person’s trading advice is solely in * * * * * connection with its business as a retail Authority: 7 U.S.C. 1a, 2, 4, 6b, 6c, 6l, 6m, foreign exchange dealer. 6n, 6o, 12a and 23. ■ 28. Section 4.13 is amended by: ■ a. Revising paragraph (a)(3)(ii)(A): and * * * * * ■ 26. Section 4.7 is amended by: ■ b. Revising paragraph (a)(3)(ii)(B)(1) to ■ 30. Section 4.23 is amended by: ■ a. Revising paragraph (a)(1)(v)(B); and read as follows: ■ a. Revising paragraph (a)(1); ■ b. Revising paragraph (a)(2)(i) to read ■ b. Revising paragraph (a)(7); and as follows: § 4.13 Exemption from registration as a ■ c. Revising paragraph (b)(1) and (2) to commodity pool operator. § 4.7 Exemption from certain part 4 read as follows: * * * * * requirements for commodity pool operators § 4.23 Recordkeeping. with respect to offerings to qualified eligible (a) * * * persons and for commodity trading (3) * * * * * * * * advisors with respect to advising qualified (ii) * * * (a) Concerning the commodity pool: eligible persons. (A) The aggregate initial margin, (1) An itemized daily record of each * * * * * premiums, and required minimum commodity interest transaction of the (a) * * * security deposit for retail forex pool, showing the transaction date, (1) * * * transactions (as defined in § 5.1(m) of quantity, commodity interest, and, as (v) * * * this chapter) required to establish such applicable, price or premium, delivery (B) Has had on deposit with a futures positions, determined at the time the month or expiration date, whether a put commission merchant, for its own most recent position was established, or a call, strike price, underlying account at any time during the six- will not exceed 5 percent of the contract for future delivery or month period preceding either the date liquidation value of the pool’s portfolio, underlying physical, the futures of sale to that person of a pool after taking into account unrealized commission merchant and/or retail participation in the exempt pool or the profits and unrealized losses on any foreign exchange dealer carrying the date that the person opens an exempt such positions it has entered into; account and the introducing broker, if account with the commodity trading Provided, That in the case of an option any, whether the commodity interest advisor, at least $200,000 in exchange- that is in-the-money at the time of was purchased, sold (including, in the specified initial margin and option purchase, the in-the-money amount as case of a retail forex transaction, offset), premiums, together with required defined in § 190.01(x) of this chapter exercised, expired (including, in the minimum security deposit for retail may be excluded in computing such 5 case of a retail forex transaction, forex transactions (as defined in § 5.1(m) percent; or whether it was rolled forward), and the of this chapter) for commodity interest (B) * * * gain or loss realized. transactions; or (1) The term ‘‘notional value’’ shall be * * * * * * * * * * calculated for each such futures position (7) Copies of each confirmation of a (2) * * * by multiplying the number of contracts commodity interest transaction of the (i)(A) A futures commission merchant by the size of the contract, in contract pool, each purchase and sale statement registered pursuant to section 4d of the units (taking into account any multiplier and each monthly statement for the pool Act, or a principal thereof; specified in the contract), by the current received from a futures commission

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merchant or retail foreign exchange RISK DISCLOSURE STATEMENT futures commission merchant and/or dealer. retail foreign exchange dealer. YOU SHOULD CAREFULLY * * * * * CONSIDER WHETHER YOUR * * * * * (b) Concerning the commodity pool FINANCIAL CONDITION PERMITS (g) Principal risk factors. A discussion operator: (1) An itemized daily record of YOU TO PARTICIPATE IN A of the principal risk factors of each commodity interest transaction of COMMODITY POOL. IN SO DOING, participation in the offered pool. This the commodity pool operator and each YOU SHOULD BE AWARE THAT discussion must include, without principal thereof, showing the COMMODITY INTEREST TRADING limitation, risks relating to volatility, transaction date, quantity, commodity CAN QUICKLY LEAD TO LARGE leverage, liquidity, counterparty interest, and, as applicable, price or LOSSES AS WELL AS GAINS. SUCH creditworthiness, as applicable to the premium, delivery month or expiration TRADING LOSSES CAN SHARPLY types of trading programs to be date, whether a put or a call, strike REDUCE THE NET ASSET VALUE OF followed, trading structures to be price, underlying contract for future THE POOL AND CONSEQUENTLY THE employed and investment activity delivery or underlying physical, the VALUE OF YOUR INTEREST IN THE (including retail forex transactions) futures commission merchant or retail POOL. IN ADDITION, RESTRICTIONS expected to be engaged in by the offered foreign exchange dealer carrying the ON REDEMPTIONS MAY AFFECT pool. account and the introducing broker, if YOUR ABILITY TO WITHDRAW YOUR (h) * * * (2) A description of the trading and any whether the commodity interest PARTICIPATION IN THE POOL. * * * investment programs and policies that was purchased, sold, exercised, or * * * * * expired, and the gain or loss realized. will be followed by the offered pool, (4) If the pool may engage in retail including the method chosen by the (2) Each confirmation of a commodity Forex transactions, the Risk Disclosure interest transaction, each purchase and pool operator concerning how futures Statement must further state: commission merchants and/or retail sale statement and each monthly YOU SHOULD ALSO BE AWARE statement furnished by a futures foreign exchange dealers carrying the THAT THIS COMMODITY POOL MAY pool’s accounts shall treat offsetting commission merchant or retail foreign ENGAGE IN OFF-EXCHANGE FOREIGN exchange dealer to: positions pursuant to § 1.46 of this CURRENCY TRADING. SUCH chapter, if the method is other than to (i) The commodity pool operator TRADING IS NOT CONDUCTED IN close out all offsetting positions or to relating to a personal account of the THE INTERBANK MARKET. THE close out offsetting positions on other pool operator; and FUNDS THAT THE POOL USES FOR than a first-in, first-out basis, and any (ii) Each principal of the pool operator OFF-EXCHANGE FOREIGN CURRENCY material restrictions or limitations on relating to a personal account of such TRADING WILL NOT RECEIVE THE trading required by the pool’s principal. SAME PROTECTIONS AS FUNDS organizational documents or otherwise. * * * * * USED TO MARGIN OR GUARANTEE This description must include, if ■ 31. Section 4.24 is amended by: EXCHANGE-TRADED FUTURES AND applicable, an explanation of the OPTION CONTRACTS. IF THE POOL ■ a. Revising paragraph (b)(1) systems used to select commodity DEPOSITS SUCH FUNDS WITH A introductory text and the first three trading advisors, investee pools and COUNTERPARTY AND THAT sentences of the Risk Disclosure types of investment activity to which COUNTERPARTY BECOMES Statement in paragraph (b)(1); pool assets will be committed; INSOLVENT, THE POOL’S CLAIM FOR ■ b. Adding paragraph (b)(4); * * * * * AMOUNTS DEPOSITED OR PROFITS (4) * * * ■ c. Revising paragraph (e)(6); EARNED ON TRANSACTIONS WITH ■ (iii) If assets deposited by the pool as d. Revising paragraph (g); THE COUNTERPARTY MAY NOT BE margin or as security deposit generate ■ e. Revising paragraphs (h)(2) and TREATED AS A COMMODITY income, to whom that income will be (h)(4)(iii); CUSTOMER CLAIM FOR PURPOSES paid. ■ f. Revising paragraph (i)(2)(ii); OF SUBCHAPTER IV OF CHAPTER 7 (i) * * * ■ g. Redesignating paragraph (i)(2)(xii) OF THE BANKRUPTCY CODE AND (2) * * * as paragraph (i)(2)(xiii) and adding new THE REGULATIONS THEREUNDER. (ii) Brokerage fees and commissions, paragraph (i)(2)(xii); THE POOL MAY BE A GENERAL including interest income paid to ■ g. Revising paragraphs (j)(1)(vi) and CREDITOR AND ITS CLAIM MAY BE futures commission merchants, and any (j)(3); and PAID, ALONG WITH THE CLAIMS OF fees incurred to maintain an open ■ h. Revising paragraphs (l)(1)(iii), (l)(2) OTHER GENERAL CREDITORS, FROM position in retail forex transactions; introductory text and (l)(2)(i). ANY MONIES STILL AVAILABLE * * * * * AFTER PRIORITY CLAIMS ARE PAID. The addition and revisions read as (xii) Any costs or fees included in the EVEN POOL FUNDS THAT THE follows: spread between bid and asked prices for COUNTERPARTY KEEPS SEPARATE retail forex transactions; and § 4.24 General disclosures required. FROM ITS OWN FUNDS MAY NOT BE * * * * * * * * * * SAFE FROM THE CLAIMS OF (j) * * * (b) Risk Disclosure Statement. (1) The PRIORITY AND OTHER GENERAL (1) * * * following Risk Disclosure Statement CREDITORS. (vi) Any other person providing must be prominently displayed * * * * * services to the pool or soliciting immediately following any disclosures (e) * * * participants for the pool, or acting as a required to appear on the cover page of (6) If known, the futures commission counterparty to the pool’s retail forex the Disclosure Document as provided by merchant and/or retail foreign exchange transactions (as defined in § 5.1(m) of the Commission, by any applicable dealer through which the pool will this chapter). federal or state securities laws and execute its trades, and, if applicable, the * * * * * regulations or by any applicable laws of introducing broker through which the (3) Included in the description of such non-United States jurisdictions. pool will introduce its trades to the conflicts must be any arrangement

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whereby a person may benefit, directly securities or other property in the ■ f. Revising paragraphs (k)(1)(ii), or indirectly, from the maintenance of trading advisor’s name (or extend credit (k)(1)(iii), (k)(2) introductory text, and the pool’s account with the futures in lieu thereof) to purchase, margin, (k)(2)(i) to read as follows: commission merchant and/or retail guarantee or secure any commodity § 4.34 General disclosures required. foreign exchange dealer, or from the interest of the client; Provided, however, introduction of the pool’s account to a That this section shall not apply to a * * * * * futures commission merchant and/or future commission merchant that is (b) Risk Disclosure Statement. (1) The retail foreign exchange dealer by an registered as such under the Act or to a following Risk Disclosure Statement introducing broker (such as payment for leverage transaction merchant that is must be prominently displayed order flow or soft dollar arrangements) registered as a commodity trading immediately following any disclosures or from an investment of pool assets in advisor under the Act or to a retail required to appear on the cover page of investee pools or funds or other foreign exchange dealer that is the Disclosure Document as provided by investments. registered as such under the Act. the Commission, by any applicable federal or state securities laws and * * * * * ■ 34. Section 4.33 is amended by: regulations or by any applicable laws of (l) * * * ■ non-United States jurisdictions: (1) * * * a. Revising paragraph (a)(6); and ■ b. Revising paragraphs (b)(1) and (2) to (iii) The pool’s futures commission RISK DISCLOSURE STATEMENT merchants and/or retail foreign read as follows: THE RISK OF LOSS IN TRADING exchange dealers and its introducing § 4.33 Recordkeeping. brokers, if any. COMMODITY INTERESTS CAN BE * * * * * (2) With respect to a futures SUBSTANTIAL. YOU SHOULD commission merchant and/or retail (a) * * * THEREFORE CAREFULLY CONSIDER foreign exchange dealer or an (6) Copies of each confirmation of a WHETHER SUCH TRADING IS introducing broker, an action will be commodity interest transaction, each SUITABLE FOR YOU IN LIGHT OF considered material if: purchase and sale statement and each YOUR FINANCIAL CONDITION. IN (i) The action would be required to be monthly statement received from a CONSIDERING WHETHER TO TRADE disclosed in the notes to the futures futures commission merchant or a retail OR TO AUTHORIZE SOMEONE ELSE commission merchant’s, retail foreign foreign exchange dealer. TO TRADE FOR YOU, YOU SHOULD exchange dealer’s or introducing * * * * * BE AWARE OF THE FOLLOWING: broker’s financial statements prepared (b) * * * IF YOU PURCHASE A COMMODITY pursuant to generally accepted (1) An itemized daily record of each OPTION YOU MAY SUSTAIN A accounting principles; commodity interest transaction of the TOTAL LOSS OF THE PREMIUM AND OF ALL TRANSACTION COSTS. * * * * * commodity trading advisor, showing the transaction date, quantity, commodity IF YOU PURCHASE OR SELL A ■ 32. Section 4.25 is amended by interest, and, as applicable, price or COMMODITY FUTURES CONTRACT revising paragraph (c)(3)(ii) to read as premium, delivery month or expiration OR SELL A COMMODITY OPTION OR follows: date, whether a put or a call, strike ENGAGE IN OFF-EXCHANGE FOREIGN § 4.25 Performance disclosures. price, underlying contract for future CURRENCY TRADING YOU MAY SUSTAIN A TOTAL LOSS OF THE * * * * * delivery or underlying physical, the futures commission merchant and/or INITIAL MARGIN FUNDS OR (c) * * * SECURITY DEPOSIT AND ANY (3) * * * retail foreign exchange dealer carrying (ii) If a major commodity trading the account and the introducing broker, ADDITIONAL FUNDS THAT YOU advisor has not previously traded if any, whether the commodity interest DEPOSIT WITH YOUR BROKER TO accounts, the pool operator must was purchased, sold (including, in the ESTABLISH OR MAINTAIN YOUR prominently display the following case of a retail forex transaction, offset), POSITION. IF THE MARKET MOVES statement: exercised, expired (including, in the AGAINST YOUR POSITION, YOU MAY (name of the major commodity trading case of a retail forex transaction, BE CALLED UPON BY YOUR BROKER advisor), A COMMODITY TRADING whether it was rolled forward), and the TO DEPOSIT A SUBSTANTIAL ADVISOR THAT HAS gain or loss realized. AMOUNT OF ADDITIONAL MARGIN DISCRETIONARY TRADING (2) Each confirmation of a commodity FUNDS, ON SHORT NOTICE, IN AUTHORITY OVER (percentage of the interest transaction, each purchase and ORDER TO MAINTAIN YOUR pool’s funds available for commodity sale statement and each monthly POSITION. IF YOU DO NOT PROVIDE interest trading allocated to that trading statement furnished by a futures THE REQUESTED FUNDS WITHIN THE advisor) PERCENT OF THE POOL’S commission merchant or retail foreign PRESCRIBED TIME, YOUR POSITION COMMODITY INTEREST TRADING exchange dealer to: MAY BE LIQUIDATED AT A LOSS, HAS NOT PREVIOUSLY DIRECTED (i) The commodity trading advisor AND YOU WILL BE LIABLE FOR ANY ANY ACCOUNTS. relating to a personal account of the RESULTING DEFICIT IN YOUR trading advisor; and ACCOUNT. * * * * * UNDER CERTAIN MARKET (ii) Each principal of the trading CONDITIONS, YOU MAY FIND IT Subpart C—Commodity Trading advisor relating to a personal account of DIFFICULT OR IMPOSSIBLE TO Advisors such principal. LIQUIDATE A POSITION. THIS CAN * * * * * ■ 33. Section 4.30 is revised to read as OCCUR, FOR EXAMPLE, WHEN THE follows: ■ 35. Section 4.34 is amended by: MARKET MAKES A ‘‘LIMIT MOVE.’’ ■ a. Revising paragraph (b); THE PLACEMENT OF CONTINGENT § 4.30 Prohibited activities. ■ b. Revising paragraph (e)(2); ORDERS BY YOU OR YOUR TRADING No commodity trading advisor may ■ c. Revising paragraphs (g) and (h); ADVISOR, SUCH AS A ‘‘STOP-LOSS’’ solicit, accept or receive from an ■ d. Revising paragraph (i)(2); OR ‘‘STOP-LIMIT’’ ORDER, WILL NOT existing or prospective client funds, ■ e. Revising paragraphs (j)(1) and (j)(3); NECESSARILY LIMIT YOUR LOSSES

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TO THE INTENDED AMOUNTS, SINCE INQUIRE ABOUT ANY RULES CLIENT FOR TRADING COMMODITY MARKET CONDITIONS MAY MAKE IT RELEVANT TO YOUR PARTICULAR INTERESTS. YOU MUST PLACE ALL IMPOSSIBLE TO EXECUTE SUCH CONTEMPLATED TRANSACTIONS FUNDS FOR TRADING IN THIS ORDERS. AND ASK THE FIRM WITH WHICH TRADING PROGRAM DIRECTLY WITH A ‘‘SPREAD’’ POSITION MAY NOT YOU INTEND TO TRADE FOR A FUTURES COMMISSION BE LESS RISKY THAN A SIMPLE DETAILS ABOUT THE TYPES OF MERCHANT OR RETAIL FOREIGN ‘‘LONG’’ OR ‘‘SHORT’’ POSITION. REDRESS AVAILABLE IN BOTH YOUR EXCHANGE DEALER, AS THE HIGH DEGREE OF LEVERAGE LOCAL AND OTHER RELEVANT APPLICABLE. THAT IS OFTEN OBTAINABLE IN JURISDICTIONS. * * * * * COMMODITY INTEREST TRADING (ii) If the commodity trading advisor (e) * * * CAN WORK AGAINST YOU AS WELL may engage in retail forex transactions (2) The futures commission merchant AS FOR YOU. THE USE OF LEVERAGE pursuant to the offered trading program, and/or retail foreign exchange dealer CAN LEAD TO LARGE LOSSES AS the Risk Disclosure Statement must with which the commodity trading WELL AS GAINS. further state the following: advisor will require the client to IN SOME CASES, MANAGED YOU SHOULD ALSO BE AWARE maintain its account or, if the client is COMMODITY ACCOUNTS ARE THAT THIS COMMODITY TRADING free to choose the futures commission SUBJECT TO SUBSTANTIAL ADVISOR MAY ENGAGE IN OFF- merchant or retail foreign exchange CHARGES FOR MANAGEMENT AND EXCHANGE FOREIGN CURRENCY dealer with which it will maintain its ADVISORY FEES. IT MAY BE TRADING. SUCH TRADING IS NOT account, the trading advisor must make NECESSARY FOR THOSE ACCOUNTS CONDUCTED IN THE INTERBANK a statement to that effect; and THAT ARE SUBJECT TO THESE MARKET. THE FUNDS DEPOSITED CHARGES TO MAKE SUBSTANTIAL WITH A COUNTERPARTY FOR SUCH * * * * * TRADING PROFITS TO AVOID TRANSACTIONS WILL NOT RECEIVE (g) Principal risk factors. A discussion DEPLETION OR EXHAUSTION OF THE SAME PROTECTIONS AS FUNDS of the principal risk factors of this THEIR ASSETS. THIS DISCLOSURE USED TO MARGIN OR GUARANTEE trading program. This discussion must DOCUMENT CONTAINS, AT PAGE EXCHANGE-TRADED FUTURES AND include, without limitation, risks due to (insert page number), A COMPLETE OPTION CONTRACTS. IF THE volatility, leverage, liquidity, and DESCRIPTION OF EACH FEE TO BE COUNTERPARTY BECOMES counterparty creditworthiness, as CHARGED TO YOUR ACCOUNT BY INSOLVENT AND YOU HAVE A applicable to the trading program and THE COMMODITY TRADING CLAIM FOR AMOUNTS DEPOSITED the types of transactions and investment ADVISOR. OR PROFITS EARNED ON activity expected to be engaged in THIS BRIEF STATEMENT CANNOT TRANSACTIONS WITH THE pursuant to such program (including DISCLOSE ALL THE RISKS AND COUNTERPARTY, YOUR CLAIM MAY retail forex transactions, if any). OTHER SIGNIFICANT ASPECTS OF NOT BE TREATED AS A COMMODITY (h) Trading program. A description of THE COMMODITY INTEREST CUSTOMER CLAIM FOR PURPOSES the trading program, which must MARKETS. YOU SHOULD THEREFORE OF SUBCHAPTER IV OF CHAPTER 7 include the method chosen by the CAREFULLY STUDY THIS OF THE BANKRUPTCY CODE AND commodity trading advisor concerning DISCLOSURE DOCUMENT AND REGULATIONS THEREUNDER. YOU how futures commission merchants COMMODITY INTEREST TRADING MAY BE A GENERAL CREDITOR AND and/or retail foreign exchange dealers BEFORE YOU TRADE, INCLUDING YOUR CLAIM MAY BE PAID, ALONG carrying accounts it manages shall treat THE DESCRIPTION OF THE WITH THE CLAIMS OF OTHER offsetting positions pursuant to § 1.46 of PRINCIPAL RISK FACTORS OF THIS GENERAL CREDITORS, FROM ANY this chapter, if the method is other than INVESTMENT, AT PAGE (insert page MONIES STILL AVAILABLE AFTER to close out all offsetting positions or to number). PRIORITY CLAIMS ARE PAID. EVEN close out offsetting positions on other (2)(i) If the commodity trading advisor FUNDS THAT THE COUNTERPARTY than a first-in, first-out basis, and the may trade foreign futures or options KEEPS SEPARATE FROM ITS OWN types of commodity interests and other contracts pursuant to the offered trading FUNDS MAY NOT BE SAFE FROM interests the commodity trading advisor program, the Risk Disclosure Statement THE CLAIMS OF PRIORITY AND intends to trade, with a description of must further state the following: OTHER GENERAL CREDITORS. any restrictions or limitations on such YOU SHOULD ALSO BE AWARE FURTHER, YOU SHOULD trading established by the trading THAT THIS COMMODITY TRADING CAREFULLY REVIEW THE advisor or otherwise. ADVISOR MAY ENGAGE IN TRADING INFORMATION CONTAINED IN THE (i) * * * FOREIGN FUTURES OR OPTIONS RISK DISCLOSURE STATEMENT OF (2) Where any fee is determined by CONTRACTS. TRANSACTIONS ON THE FUTURES COMMISSION reference to a base amount including, MARKETS LOCATED OUTSIDE THE MERCHANT OR RETAIL FOREIGN but not limited to, ‘‘net assets,’’ ‘‘gross UNITED STATES, INCLUDING EXCHANGE DEALER THAT YOU profits,’’ ‘‘net profits,’’ ‘‘net gains,’’ ‘‘pips’’ MARKETS FORMALLY LINKED TO A SELECT TO CARRY YOUR ACCOUNT. or ‘‘bid-asked spread,’’ the trading UNITED STATES MARKET MAY BE (3) If the commodity trading advisor advisor must explain how such base SUBJECT TO REGULATIONS WHICH is not also a registered futures amount will be calculated. Where any OFFER DIFFERENT OR DIMINISHED commission merchant or a registered fee is based on the difference between PROTECTION. FURTHER, UNITED retail foreign exchange dealer, the bid and asked prices on retail forex STATES REGULATORY AUTHORITIES trading advisor must make the transactions (as defined in § 5.1(m) of MAY BE UNABLE TO COMPEL THE additional following statement in the this chapter), the trading advisor must ENFORCEMENT OF THE RULES OF Risk Disclosure Statement, to be explain how such fee will be calculated; REGULATORY AUTHORITIES OR included as the last paragraph thereof: * * * * * MARKETS IN NON-UNITED STATES THIS COMMODITY TRADING (j) Conflicts of interest. (1) A full JURISDICTIONS WHERE YOUR ADVISOR IS PROHIBITED BY LAW description of any actual or potential TRANSACTIONS MAY BE EFFECTED. FROM ACCEPTING FUNDS IN THE conflicts of interest regarding any aspect BEFORE YOU TRADE YOU SHOULD TRADING ADVISOR’S NAME FROM A of the trading program on the part of:

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(i) The commodity trading advisor; merchants offering or engaging in retail (2) Associated person of a commodity (ii) Any futures commission merchant forex transactions. pool operator, for purposes of this part, and/or retail foreign exchange dealer 5.7 Minimum financial requirements for means any natural person associated with which the client will be required retail foreign exchange dealers and with a commodity pool operator as futures commission merchants offering to maintain its commodity interest or engaging in retail forex transactions. defined in paragraph (d)(1) of this account; 5.8 Aggregate retail forex assets. section as a partner, officer, employee, (iii) Any introducing broker through 5.9 Security deposits for retail forex consultant or agent (or any natural which the client will be required to transactions. person occupying a similar status or introduce its account to a futures 5.10 Risk assessment recordkeeping performing similar functions), in any commission merchant and/or retail requirements for retail foreign exchange capacity which involves: foreign exchange dealer; and dealers. (i) The solicitation of funds, (iv) Any principal of the foregoing. 5.11 Risk assessment reporting securities, or property for a participation requirements for retail foreign exchange * * * * * dealers. in a pooled investment vehicle; or (3) Included in the description of any 5.12 Financial reports of retail foreign (ii) The supervision of any person or such conflict must be any arrangement exchange dealers. persons so engaged; whereby the trading advisor or any 5.13 Reporting to customers of retail foreign (e)(1) Commodity trading advisor, for principal thereof may benefit, directly exchange dealers and futures purposes of this part, means any person or indirectly, from the maintenance of commission merchants; monthly and who exercises discretionary trading the client’s commodity interest account confirmation statements. authority or obtains written 5.14 Records to be kept by retail foreign with a futures commission merchant exchange dealers and futures authorization to exercise discretionary and/or retail foreign exchange dealer, or commission merchants. trading authority over any account for or the introduction of such account 5.15 Unlawful representations. on behalf of any person that is not an through an introducing broker (such as 5.16 Prohibition of guarantees against loss. eligible contract participant as defined payment for order flow or soft dollar 5.17 Authorization to trade. in section 1a(12) of the Act, in arrangements). 5.18 Trading and operational standards. connection with retail forex (k) * * * 5.19 Pending legal proceedings. transactions; (1) * * * 5.20 Special calls for account and (2) Associated person of a commodity (ii) Any futures commission merchant transaction information. 5.21 Supervision. trading advisor, for purposes of this or retail foreign exchange dealer with 5.22 Registered futures association part, means any natural person which the client will be required to membership. associated with a commodity trading maintain its commodity interest 5.23 Notice of bulk transfers and bulk advisor as defined in paragraph (e)(1) of account; and liquidations. this section as a partner, officer, (iii) Any introducing broker through 5.24 Applicability of other parts of this employee, consultant or agent (or any which the client will be required to chapter. natural person occupying a similar introduce its account to the futures 5.25 Applicability of the Act. status or performing similar functions), commission merchant and/or retail Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, in any capacity which involves: foreign exchange dealer. 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 8, 9, 9a, (i) The solicitation of a client’s or (2) With respect to a futures 12, 12a, 13b, 13c, 16a, 18, 19, 21, 23. prospective client’s discretionary commission merchant, retail foreign § 5.1 Definitions. account; or exchange dealer or introducing broker, (ii) The supervision of any person or (a) Affiliated person of a futures an action will be considered material if: persons so engaged; commission merchant means a person (i) The action would be required to be (f)(1) Introducing broker, for purposes described in section disclosed in the notes to the futures of this part, means any person who 2(c)(2)(B)(i)(II)(cc)(BB) of the Act; commission merchant’s, retail foreign solicits or accepts orders from a exchange dealer’s or introducing (b) Aggregate retail forex assets means an amount of liquid assets held in customer that is not an eligible contract broker’s financial statements prepared participant as defined in section 1a(12) pursuant to generally accepted accordance with § 5.8 of this part; (c) Associated person of an affiliated of the Act, in connection with retail accounting principles; person of a futures commission forex transactions; * * * * * merchant means any natural person (2) Associated person of an ■ 36. Part 5 is added to read as follows: associated with an affiliated person of a introducing broker, for purposes of this futures commission merchant as a part, means any natural person PART 5—OFF-EXCHANGE FOREIGN partner, officer or employee (or any associated with an introducing broker as CURRENCY TRANSACTIONS natural person occupying a similar defined in paragraph (g)(1) of this status or performing similar functions), section as a partner, officer, employee, Sec. or agent (or any natural person 5.1 Definitions. in any capacity which involves: 5.2 Prohibited transactions. (1) The solicitation or acceptance of occupying a similar status or performing 5.3 Registration of persons engaged in retail retail forex customers’ orders (other similar functions), in any capacity forex transactions. than in a clerical capacity); or which involves: 5.4 Applicability of part 4 of this chapter to (2) The supervision of any person or (i) The solicitation or acceptance of commodity pool operators and persons so engaged; retail forex customers’ orders (other commodity trading advisors. (d)(1) Commodity pool operator, for than in a clerical capacity); or 5.5 Distribution of ‘‘Risk Disclosure purposes of this part, means any person (ii) The supervision of any person or Statement’’ by retail foreign exchange who operates or solicits funds, persons so engaged; dealers. futures commission merchants and introducing brokers regarding retail securities, or property for a pooled (g) Primarily or substantially means, forex transactions. investment vehicle that is not an eligible when used to describe the extent of a 5.6 Maintenance of minimum financial contract participant as defined in futures commission merchant’s requirements by retail foreign exchange section 1a(12) of the Act, and that engagement in the activities described dealers and futures commission engages in retail forex transactions; in section 1a(20) of the Act, that:

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(1) Such activities account for more (l) Retail forex obligation means the to the registration provisions under the than fifty percent of the futures net credit balance at a retail foreign Act and to part 3 of this chapter: commission merchant’s gross revenues, exchange dealer or futures commission (1)(i) Any affiliated person of a futures computed in accordance with generally merchant that would be obtained by commission merchant, as defined in accepted accounting principles, on an combining all money, securities and § 5.1(a) of this part, which affiliated annual basis; property deposited by a retail forex person: (2) The futures commission merchant customer into a retail forex account or (A) Solicits or accepts orders from any receives gross revenues, computed in accounts, adjusted for the realized and person that is not an eligible contract accordance with generally accepted unrealized net profit or loss, if any, participant in connection with any retail accounting principles, from such accruing on the open trades, contracts or forex transaction; or activities in excess of $500,000 in any transactions in the retail forex account (B) Accepts money, securities, or twelve month period; or or accounts, without including any property (or extends credit in lieu (3) The futures commission merchant retail forex customers’ accounts that thereof) in connection with such is a clearing member of a registered contain negative net liquidating solicitation or acceptance of orders in derivatives clearing organization. balances. order to engage in any retail forex (h)(1) Retail foreign exchange dealer (m) Retail forex transaction means transaction, is required to register as a means any person that is, or that offers any account, agreement, contract or retail foreign exchange dealer; and to be, the counterparty to a retail forex transaction described in section (ii) Any associated person of an transaction, except for a person 2(c)(2)(B) or 2(c)(2)(C) of the Act. A affiliated person of a futures described in sub-paragraph (aa), (bb), retail forex transaction does not include commission merchant, as defined in (cc)(AA), (dd), (ee) or (ff) of section an account, agreement, contract or § 5.1(c) of this part, is required to 2(c)(2)(B)(i)(II) of the Act; transaction in foreign currency that is a register as an associated person of an (2) Associated person of a retail contract of sale of a commodity for affiliated person of a futures foreign exchange dealer means any future delivery (or an option thereon) commission merchant. natural person associated with a retail that is executed, traded on or otherwise (2)(i) Any commodity pool operator, foreign exchange dealer as defined in subject to the rules of a contract market as defined in § 5.1(d)(1) of this part, is paragraph (i)(1) of this section as a designated pursuant to section 5(a) of required to register as a commodity pool partner, officer or employee (or any the Act or a derivatives transaction operator; execution facility registered pursuant to (ii) Any associated person of a natural person occupying a similar section 5a(c) of the Act. commodity pool operator, as defined in status or performing similar functions), § 5.1(d)(2) of this part, is required to in any capacity which involves: § 5.2 Prohibited transactions. register as an associated person of a (i) The solicitation or acceptance of (a) Scope. The provisions of this commodity pool operator; retail forex customers’ orders (other section shall be applicable to any retail (3)(i) Any commodity trading advisor, than in a clerical capacity); or forex transaction. as defined in § 5.1(e)(1) of this part, is (ii) The supervision of any person or (b) Fraudulent conduct prohibited. It required to register as a commodity persons so engaged; shall be unlawful for any person, by use trading advisor; (i) Retail forex account means the of the mails or by any means or (ii) Any associated person of a account of a person who is not an instrumentality of interstate commerce, commodity trading advisor, as defined eligible contract participant as defined directly or indirectly, in or in in § 5.1(e)(2) of this part, is required to in section 1a(12) of the Act, established connection with any retail forex register as an associated person of a with a retail foreign exchange dealer or transaction: commodity trading advisor; a futures commission merchant, in (1) To cheat or defraud or attempt to (4)(i) Any person registered as a which account retail forex transactions cheat or defraud any person; futures commission merchant: (including options on contracts for the (2) Willfully to make or cause to be (A) That is not primarily or purchase or sale of foreign currency) made to any person any false report or substantially engaged in the business with such retail foreign exchange dealer statement or cause to be entered for any activities described in section 1a(20) of or futures commission merchant as person any false record; or the Act; counterparty are undertaken, or which (3) Willfully to deceive or attempt to (B) That solicits or accepts orders deceive any person by any means account is established in order to enter from any person that is not an eligible whatsoever. into such transactions. contract participant in connection with (j) Retail forex account agreement (c) Acting as counterparty and exercising discretion prohibited. (1) No any retail forex transaction; and means the contractual agreement (C) That accepts money, securities, or person who acts as the counterparty for between a futures commission merchant property (or extends credit in lieu any retail forex transaction may do so or retail foreign exchange dealer and thereof) in connection with such for an account for which the person or any person who is not an eligible solicitation or acceptance of orders in contract participant as defined in any affiliate of the person is authorized (by contract, power of attorney or order to engage in retail forex section 1a(12) of the Act, which transactions, is required to register as a agreement contains the terms governing otherwise) to cause transactions to be effected without the client’s specific retail foreign exchange dealer; the person’s retail forex account with (ii) Any associated person of a futures authorization. such futures commission merchant or (2) For purposes of this paragraph (c), commission merchant described in retail foreign exchange dealer. an ‘‘affiliate’’ of a person means a person paragraph (a)(4)(i) of this section is (k) Retail forex customer means a controlling, controlled by or under required to register as an associated person, other than an eligible contract common control with, the first person. person of a futures commission participant as defined in section 1a(12) merchant; of the Act, acting on its own behalf and § 5.3 Registration of persons engaged in (5)(i) Any introducing broker, as trading in any account, agreement, retail forex transactions. defined in § 5.1(f)(1) of this part, is contract or transaction described in (a) Subject to paragraph (b) of this required to register as an introducing section 2(c)(2)(B) or 2(c)(2)(C) of the Act. section, each of the following is subject broker;

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(ii) Any associated person of an customer with a separate written (2) AN ELECTRONIC TRADING introducing broker, as defined in disclosure statement containing only the PLATFORM FOR RETAIL FOREIGN § 5.1(f)(2) of this part, is required to language set forth in paragraph (b) of CURRENCY TRANSACTIONS IS NOT register as an associated person of an this section and the disclosure required AN EXCHANGE. IT IS AN introducing broker; by paragraph (e) of this section; ELECTRONIC CONNECTION FOR (6)(i) Any retail foreign exchange Provided, however, that the disclosure ACCESSING YOUR DEALER. THE dealer, as defined in § 5.1(h)(1) of this statement may be attached to other TERMS OF AVAILABILITY OF SUCH A part is required to register as a retail documents as the initial page(s) of such PLATFORM ARE GOVERNED ONLY foreign exchange dealer; documents and as the only material on BY YOUR CONTRACT WITH YOUR (ii) Any associated person of a retail such page(s); and DEALER. foreign exchange dealer, as defined in (2) Receives from the retail forex Any trading platform that you may § 5.1(h)(2) of this part, is required to customer an acknowledgment signed use to enter off-exchange foreign register as an associated person of a and dated by the retail forex customer currency transactions is only connected retail foreign exchange dealer; that he received and understood the to your futures commission merchant or (b) Any person described in paragraph disclosure statement. retail foreign exchange dealer. You are (a) of this section that is already (b) The language set forth in the accessing that trading platform only to registered in the required capacity written disclosure statement required by transact with your dealer. You are not specified in paragraph (a) is not paragraph (a) of this section shall be as trading with any other entities or required under this section to register follows: customers of the dealer by accessing twice in the same capacity; Provided, such platform. The availability and however, that a person already RISK DISCLOSURE STATEMENT operation of any such platform, registered as an associated person of one OFF-EXCHANGE FOREIGN including the consequences of the class of registrant may also be required CURRENCY TRANSACTIONS unavailability of the trading platform for to register as an associated person of INVOLVE THE LEVERAGED TRADING any reason, is governed only by the another class of registrant in order to OF CONTRACTS DENOMINATED IN terms of your account agreement with comply with this section. FOREIGN CURRENCY CONDUCTED the dealer. (3) YOUR DEPOSITS WITH THE § 5.4 Applicability of part 4 of this chapter WITH A FUTURES COMMISSION to commodity pool operators and MERCHANT OR A RETAIL FOREIGN DEALER HAVE NO REGULATORY commodity trading advisors. EXCHANGE DEALER AS YOUR PROTECTIONS. All of your rights associated with your Part 4 of this chapter applies to any COUNTERPARTY. BECAUSE OF THE LEVERAGE AND THE OTHER RISKS retail forex trading, including the person required pursuant to the manner and denomination of any provisions of this part 5 to register as a DISCLOSED HERE, YOU CAN RAPIDLY LOSE ALL OF THE FUNDS YOU payments made to you, are governed by commodity pool operator or as a the contract terms established in your commodity trading advisor. Failure by DEPOSIT FOR SUCH TRADING AND YOU MAY LOSE MORE THAN YOU account agreement with the futures any such person to comply with the commission merchant or retail foreign requirements of part 4 will constitute a DEPOSIT. YOU SHOULD BE AWARE OF AND exchange dealer. Funds deposited by violation of this section and the relevant you with a futures commission section of part 4. CAREFULLY CONSIDER THE FOLLOWING POINTS BEFORE merchant or retail foreign exchange § 5.5 Distribution of ‘‘Risk Disclosure DETERMINING WHETHER SUCH dealer for trading off-exchange foreign Statement’’ by retail foreign exchange TRADING IS APPROPRIATE FOR YOU. currency transactions are not subject to dealers, futures commission merchants and (1) TRADING IS NOT ON A the customer funds protections introducing brokers regarding retail forex REGULATED MARKET OR provided to customers trading on a transactions. EXCHANGE—YOUR DEALER IS YOUR contract market that is designated by the (a) Except as provided in § 5.23 of this TRADING PARTNER WHICH IS A Commodity Futures Trading part, no retail foreign exchange dealer, DIRECT CONFLICT OF INTEREST. Commission. Your dealer may futures commission merchant, or in the BEFORE YOU ENGAGE IN ANY commingle your funds with its own case of an introduced account no RETAIL FOREIGN EXCHANGE operating funds or use them for other introducing broker, may open an TRADING, YOU SHOULD CONFIRM purposes. In the event your dealer account that will engage in retail forex THE REGISTRATION STATUS OF becomes bankrupt, any funds the dealer transactions for a retail forex customer, YOUR COUNTERPARTY. is holding for you in addition to any unless the retail foreign exchange The off-exchange foreign currency amounts owed to you resulting from dealer, futures commission merchant or trading you are entering into is not trading, whether or not any assets are introducing broker first: conducted on an interbank market, nor maintained in separate deposit accounts (1)(i) In the case of a retail foreign is it conducted on a futures exchange by the dealer, may be treated as an exchange dealer or a person required to subject to regulation as a designated unsecured creditor’s claim. register as an introducing broker solely contract market by the Commodity (4) YOU ARE LIMITED TO YOUR by reason of this part, furnishes the Futures Trading Commission. The DEALER TO OFFSET OR LIQUIDATE retail forex customer with a separate foreign currency trades you transact are ANY TRADING POSITIONS SINCE THE written disclosure statement containing trades with the futures commission TRANSACTIONS ARE NOT MADE ON only the language set forth in paragraph merchant or retail foreign exchange AN EXCHANGE OR MARKET, AND (b) of this section and the disclosure dealer as your counterparty. WHEN YOUR DEALER MAY SET ITS OWN required by paragraph (e) of this section; YOU SELL, THE DEALER IS THE PRICES. (ii) In the case of a futures BUYER. WHEN YOU BUY, THE Your ability to close your transactions commission merchant or a person DEALER IS THE SELLER. As a result, or offset positions is limited to what required to register as an introducing when you lose money trading, your your dealer will offer to you, as there is broker because it engages in the dealer is making money on such trades, no other market for these transactions. activities described in § 1.3(mm) of this in addition to any fees, commissions, or Your dealer may offer any prices it chapter, furnishes the retail forex spreads the dealer may charge. wishes, and it may offer prices derived

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from outside sources or not in its (c) The acknowledgment required by merchant that will offer or engage in discretion. Your dealer may establish its paragraph (a) of this section must be retail forex transactions and each person prices by offering spreads from third retained by the retail foreign exchange registered as a retail foreign exchange party prices, but it is under no dealer, futures commission merchant or dealer or who files an application for obligation to do so or to continue to do introducing broker in accordance with registration as a retail foreign exchange so. Your dealer may offer different § 1.31 of this chapter. dealer, who knows or should have prices to different customers at any (d) This section does not relieve a known that its adjusted net capital at point in time on its own terms. The retail foreign exchange dealer, futures any time is less than the minimum terms of your account agreement alone commission merchant or introducing required by § 5.7 of this part or by the govern the obligations your dealer has to broker from any other disclosure capital rule of a registered futures you to offer prices and offer offset or obligation it may have under applicable association of which it is a member, liquidating transactions in your account law. must: and make any payments to you. The (e)(1) Immediately following the (1) Give telephonic notice, to be prices offered by your dealer may or language set forth in paragraph (b) of confirmed in writing by facsimile may not reflect prices available this section, the statement required by notice, that the applicant’s or elsewhere at any exchange, interbank, or paragraph (a) of this section shall registrant’s adjusted net capital is less other market for foreign currency. include, for each of the most recent four than that required by § 5.7 of this part. (5) PAID SOLICITORS MAY HAVE calendar quarters during which the The notice must be given immediately UNDISCLOSED CONFLICTS counterparty maintained retail forex after the applicant or registrant knows The futures commission merchant or customer accounts: or should know that its adjusted net retail foreign exchange dealer may (i) The total number of non capital is less than that required by any compensate introducing brokers for discretionary retail forex customer of the aforesaid rules to which the introducing your account in ways which accounts maintained by the retail applicant or registrant is subject; and are not disclosed to you. Such paid foreign exchange dealer or futures (2) Provide together with such notice solicitors are not required to have, and commission merchant; documentation in such form as may not have, any special expertise in (ii) The percentage of such accounts necessary to adequately reflect the trading, and may have conflicts of that were profitable during the quarter; applicant’s or registrant’s capital interest based on the method by which and condition as of any date such person’s they are compensated. Solicitors (iii) The percentage of such accounts adjusted net capital is less than the working on behalf of futures that were not profitable during the minimum required. The applicant or commission merchants and retail quarter. registrant must provide similar foreign exchange dealers are required to (2) Identification of retail forex documentation for other days as the register. You should confirm that they customer accounts for the purpose of Commission may request. are, in fact registered. You should this disclosure and the calculation in (b) Each applicant or registrant, who thoroughly investigate the manner in determining whether each such account knows or should have known that its which all such solicitors are was profitable or not profitable must be adjusted net capital at any time is less compensated and be very cautious in made in accordance with § 5.18(i) of this than the greatest of: granting any person or entity authority part. Such statement of profitable trades (1) $22,000,000; (2) 110 percent of the amount to trade on your behalf. You should shall include the following legend: required by § 5.7(a)(1)(i)(B) of this part; always consider obtaining dated written PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF or confirmation of any information you are (3) 110 percent of the amount of FUTURE RESULTS. Each retail foreign relying on from your dealer or a solicitor adjusted net capital required by a exchange dealer or futures commission in making any trading or account registered futures association of which merchant shall provide, upon request, to decisions. the futures commission merchant or FINALLY, YOU SHOULD any retail forex customer or prospective retail foreign exchange dealer is a THOROUGHLY INVESTIGATE ANY retail forex customer the total number of member, must file written notice to that STATEMENTS BY ANY DEALERS OR non discretionary retail forex accounts effect within 24 hours of such event. maintained by such foreign exchange SALES REPRESENTATIVES WHICH (c) If an applicant or registrant at any dealer or futures commission merchant, MINIMIZE THE IMPORTANCE OF, OR time fails to make or keep current the the percentage of such accounts that CONTRADICT, ANY OF THE TERMS books and records required by these were profitable and the percentage of OF THIS RISK DISCLOSURE. SUCH regulations, such applicant or registrant such accounts that were not profitable, STATEMENTS MAY INDICATE must, on the same day such event calculated in accordance with § 5.18(i) POTENTIAL SALES FRAUD. occurs, provide facsimile notice of such of this part, for each calendar quarter THIS BRIEF STATEMENT CANNOT, fact, specifying the books and records during the most recent five year period OF COURSE, DISCLOSE ALL THE which have not been made or which are during which such retail foreign RISKS AND OTHER ASPECTS OF not current, and within 48 hours after exchange dealer or futures commission TRADING OFF-EXCHANGE FOREIGN giving such notice file a written report merchant maintained non discretionary CURRENCY TRANSACTIONS WITH A stating what steps have been and are retail forex customer accounts. FUTURES COMMISSION MERCHANT being taken to correct the situation. OR RETAIL FOREIGN EXCHANGE (d) Whenever any applicant or DEALER. § 5.6 Maintenance of minimum financial requirements by retail foreign exchange registrant discovers or is notified by an I hereby acknowledge that I have dealers and futures commission merchants independent public accountant, received and understood this risk offering or engaging in retail forex pursuant to § 1.16(e)(2) of this chapter, disclosure statement. transactions. of the existence of any material lllllllllllllllllllll (a) Each futures commission merchant inadequacy, as specified in § 1.16(d)(2) Date offering or engaging in retail forex of this chapter, such applicant or lllllllllllllllllllll transactions or who files an application registrant must give facsimile notice of Signature of Customer for registration as a futures commission such material inadequacy within 24

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hours, and within 48 hours after giving such transaction within two business exchange dealer pursuant to this section such notice file a written report stating days from the date of the transaction. may be submitted to the Commission in what steps have been and are being (3) Upon receipt of such notice from electronic form using a form of user taken to correct the material a futures commission merchant offering authentication assigned in accordance inadequacy. or engaging in retail forex transactions with procedures established by or (e) Whenever any self-regulatory or a retail foreign exchange dealer, the approved by the Commission, and organization learns that a member Director of the Division of Clearing and otherwise in accordance with registrant has failed to file a notice or Intermediary Oversight or the Director’s instructions issued by or approved by written report as required by § 5.6 of designee may require that the futures the Commission, if the futures this part, that self-regulatory commission merchant offering or commission merchant, retail foreign organization must immediately report engaging in retail forex transactions or exchange dealer or a designated self- this failure by telephone, confirmed in retail foreign exchange dealer provide or regulatory organization has provided the writing immediately by facsimile notice, cause a Material Affiliated Person (as Commission with the means necessary as provided in paragraph (h) of this that term is defined in § 5.10(a)(2) of to read and to process the information section. this part) to provide, within three contained in such report. Any such (f) A retail foreign exchange dealer or business days from the date of the electronic submission must clearly a futures commission merchant offering request or such shorter period as the indicate the registrant or applicant on or engaging in retail forex transactions Director or designee may specify, such whose behalf such filing is made and shall provide written notice of a other information as the Director or the use of such user authentication in substantial reduction in capital as designee determines to be necessary submitting such filing will constitute compared to that last reported in a based upon market conditions, reports and become a substitute for the manual financial report filed with the provided by the retail foreign exchange signature of the authorized signer. Commission pursuant to § 5.12 of this dealer or futures commission merchant part. This notice shall be provided as offering or engaging in retail forex § 5.7 Minimum financial requirements for follows: transactions, or other available retail foreign exchange dealers and futures (1) If any event or series of events, information. commission merchants offering or including any withdrawal, advance, (g) Whenever a person registered as a engaging in retail forex transactions. loan or loss cause, on a net basis, a futures commission merchant offering (a)(1)(i) Each futures commission reduction in net capital of 20 percent or or engaging in retail forex transactions merchant offering or engaging in retail more, notice must be provided within or a retail foreign exchange dealer forex transactions and each retail two business days of the event or series knows or should know that the total foreign exchange dealer must maintain of events causing the reduction; and amount of its retail forex obligation adjusted net capital equal to or in excess (2) If the equity capital of the retail exceeds the amount of the aggregate of the greatest of: foreign exchange dealer or futures retail forex assets the registrant (A) $20,000,000; commission merchant offering or maintains in accordance with the (B) $20,000,000 plus five percent of engaging in retail forex transactions or provisions of § 5.8 of this chapter, the the futures commission merchant’s or the equity capital of a subsidiary or registrant must report such deficiency retail foreign exchange dealer’s total affiliate of the retail foreign exchange immediately by telephone notice, retail forex obligation in excess of dealer or futures commission merchant confirmed immediately in writing by $10,000,000; offering or engaging in retail forex facsimile notice. (C) any amount required under § 1.17 transactions consolidated pursuant to (h) Every notice and written report of this chapter, as applicable; or § 1.17(f) of this chapter would be required to be given or filed with the (D) the amount of adjusted net capital withdrawn by action of a stockholder or Commission by this section by an required by a registered futures a partner or a limited liability company applicant must be filed with the association of which the futures member or by redemption or repurchase regional office of the Commission with commission merchant or retail foreign of shares of stock by any of the jurisdiction over the state in which the exchange dealer is a member. consolidated entities or through the applicant’s principal place of business (ii) Section 1.17 of this chapter shall payment of dividends or any similar is located, and with the National apply to retail foreign exchange dealers distribution, or an unsecured advance or Futures Association. Every notice and as if such retail foreign exchange dealers loan would be made to a stockholder, written report required to be given or were futures commission merchants, or partner, sole proprietor, limited liability filed with the Commission by this as applicable, applicants or registrants, company member, employee or affiliate, section by a registrant or self-regulatory as stated in § 1.17 for the purpose of such that the withdrawal, advance or organization must be filed with the determining the adjusted net capital loan would cause, on a net basis, a regional office of the Commission with under this section. For the purpose of reduction in excess adjusted net capital jurisdiction over the state in which the applying this section, ‘‘applicant’’ or of 30 percent or more, notice must be registrant’s principal place of business ‘‘registrant’’ shall include retail foreign provided at least two business days is located, and with the registrant’s exchange dealers and futures prior to the withdrawal, advance or loan designated self-regulatory organization. commission merchants offering or that would cause the reduction: In addition, every notice and written engaging in retail forex transactions and Provided, however, That the provisions report required to be given by this applicants therefore. of paragraphs (f)(1) and (f)(2) of this section must also be filed with the Chief (2) No person applying for registration section do not apply to any retail foreign Accountant of the Division of Clearing as a retail foreign exchange dealer or a exchange transaction in the ordinary and Intermediary Oversight at the futures commission merchant that will course of business between a retail Commission’s principal office in engage in retail forex transactions shall foreign exchange dealer and any affiliate Washington, DC. be so registered unless such person where the retail foreign exchange dealer (i) In lieu of filing paper copies with affirmatively demonstrates to the makes payment to or on behalf of such the Commission, all filings or other satisfaction of a registered futures affiliate for such transaction and then notices prepared by a futures association that it complies with the receives payment from such affiliate for commission merchant or retail foreign financial requirements of this section.

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(3) Each registrant must be in adjusted daily by referencing to current positions in all other foreign currencies, compliance with this section at all times market prices or rates of exchange. Provided, however, That there shall be and must be able to demonstrate such (ii) Current assets must exclude any no capital deductions for retail forex compliance to the satisfaction of the retail forex account which liquidates to transactions covered (as defined in Commission or the registrant’s a deficit or contains a debit ledger § 1.17(j) of this chapter) by the applicant designated self-regulatory organization. balance only and is not secured in or registrant by open futures contracts to (4) A registrant who is not in accordance with § 1.17(c)(3). the extent such futures contracts are not compliance with this section, or is (iii) Current assets must exclude any otherwise designated as cover for any unable to demonstrate such compliance unsecured receivable accrued from any other net capital purposes. For purposes as required by paragraph (a)(3) of this over-the-counter transaction in foreign of this paragraph (b)(2)(v)(A), such retail section, shall, as directed by and under currency, options on foreign currency or forex transactions shall be treated as if the supervision of the Commission or options on contracts for the purchase or they were inventory and cover were the registrant’s designated self- sale of foreign currency, or arising from therefore applicable. A retail foreign regulatory organization, either liquidate the deposit of collateral or exchange dealer or futures commission or transfer all retail forex accounts compensating balances with respect to merchant may not use an affiliate (including the novation of retail forex such transactions, unless such (unless approved by the firm’s contracts) and refund or transfer all unsecured receivable is from a person designated self-regulatory organization) funds associated with such retail forex who is an eligible contract participant or any person that is considered accounts and immediately cease offering that also is: unregulated under the rules of the firm’s or engaging in retail forex transactions (A) A bank or trust company regulated designated self-regulatory organization until such time as the firm is able to by a United States banking regulator; to cover its currency positions for demonstrate to the Commission or the (B) A broker-dealer registered with the purposes of this section. registrant’s designated self-regulatory Securities and Exchange Commission (B) In computing adjusted net capital, organization such compliance: and a member of the Financial Industry the capital deductions set forth in Provided, however, That if such Regulatory Authority; § 1.17(c)(5)(vi) of this chapter shall registrant immediately demonstrates to (C) A futures commission merchant apply to all retail forex transactions that the satisfaction of the Commission or registered with the Commission and a are options. (C) For the purpose of applying the registrant’s designated self- member of the National Futures capital deductions on open proprietary regulatory organization the ability to Association; (D) A retail foreign exchange dealer futures positions under § 1.17(c)(5)(x) of achieve compliance, the Commission or registered with the Commission and a this chapter, net or individual positions the registrant’s designated self- member of the National Futures in retail forex transactions shall not regulatory organization may in its Association; constitute cover under § 1.17(j) for the discretion allow such registrant up to a (E) An entity regulated as a foreign purpose of applying such charges. maximum of 10 business days, or such equivalent of any of the persons listed (c) An applicant or registrant must additional time as determined by the in paragraphs (b)(2)(iii)(A) through (D) prepare, and keep current, ledgers or Commission, in which to achieve of this section, if such person is other similar records which show or compliance without having to liquidate regulated in a money center country as summarize, with appropriate references positions or transfer accounts and cease defined in § 1.49 of this chapter and to supporting documents, each doing business as required above. recognized by the futures commission transaction affecting the applicant’s or Nothing in this paragraph (a)(4) shall be merchant’s or retail foreign exchange registrant’s asset, liability, income, construed as preventing the dealer’s designated self-regulatory expense and capital accounts, and in Commission or the registrant’s organization as a foreign equivalent; which (except as otherwise permitted in designated self-regulatory organization (F) Any other entity approved by the writing by the Commission) all the from taking action against a registrant futures commission merchant’s or retail applicant’s or registrant’s asset, liability for non-compliance with any of the foreign exchange dealer’s designated and capital accounts are classified into provisions of this section. self-regulatory organization. the account classification subdivisions (b) For the purposes of this section: (iv) The value attributed to any retail specified on Form 1–FR–FCM. Each (1) Where the applicant or registrant forex transaction that is an option shall applicant or registrant shall prepare and has an asset or liability which is defined be the difference between the option’s keep current such records. in Securities Exchange Act Rule 15c3– exercise value or striking value and the (d) An applicant or registrant must 1 (§ 240.15c3–1 of this title) the market value of the underlying. In the make and keep as a record in inclusion or exclusion of all or part of case of a call, if the market value of the accordance with § 5.14 of this part such asset or liability for the underlying is less than the exercise formal computations of its adjusted net computation of adjusted net capital value or striking value of such call, it capital and of its minimum financial shall be in accordance with § 240.15c3– shall be given no value; and, in the case requirements pursuant to this section as 1 of this title, unless specifically stated of a put, if the market value of the of the close of business each month and otherwise in this section or in § 1.17 of underlying is more than the exercise on other such dates called for by the this chapter. value or striking value of the put, it Commission, the National Futures (2) The adjusted net capital of an shall be given no value. Association, or another self-regulatory applicant or registrant for the purpose of (v)(A) In computing adjusted net organization of which the firm is a this section shall be determined by the capital, the capital deductions set forth member. Such computations must be application of § 1.17 pursuant to in § 1.17(c)(5)(ii) of this chapter shall completed and made available for paragraph (a)(1)(ii) of this section, with apply to retail forex transactions other inspection by any representative of the the following additions: than options. The capital deductions Commission, the National Futures (i) All positions in retail forex which apply are six percent for net Association, a self-regulatory accounts and other financial positions positions in Euros, British pounds, organization of which the firm is a and instruments of the applicant or Canadian dollars, Japanese yen, or member, or the United States registrant must be marked to market and Swiss francs and 20 percent for net Department of Justice commencing the

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first month-end after the date the corresponding liability to the retail forex foreign exchange dealer registered with application for registration is filed. customers. the Commission pursuant to section 2(c)(2)(B)(i)(II)(gg) of the Act shall § 5.8 Aggregate retail forex assets. § 5.9 Security deposits for retail forex prepare, maintain and preserve the transactions. (a) Each retail foreign exchange dealer following information: and futures commission merchant (a) Each futures commission merchant (i) An organizational chart which offering or engaging in retail forex engaging, or offering to engage, in retail includes the retail foreign exchange transactions shall calculate its total forex transactions and each retail dealer and each of its affiliated persons. retail forex obligation and shall at all foreign exchange dealer must collect Included in the organizational chart times hold assets solely of the type from each retail forex customer a shall be a designation of which affiliated permissible under § 1.25 of this chapter minimum security deposit for each persons are ‘‘Material Affiliated Persons’’ equal to or in excess of the total retail retail forex transaction equal to the as that term is used in paragraph (a)(2) forex obligation at one or more applicable percentage as set by the of this section, which Material Affiliated qualifying institutions in the United registered futures association of which Persons file routine financial or risk States or money center countries as they are a member; Provided, that the exposure reports with the Securities and defined in § 1.49 of this chapter. registered futures association’s security Exchange Commission, a federal (b) For assets held in the United deposit requirement cannot be less than: banking agency, an insurance States, a qualifying institution is: (1) 2% of the notional value of the commissioner or other similar official or (1) A bank or trust company regulated retail forex transaction for major agency of a state, or a foreign regulatory by a United States banking regulator; currency pairs and 5% of the notional authority, and which Material Affiliated (2) A broker-dealer registered with the value of the retail forex transaction for Persons are dealers in financial Securities and Exchange Commission all other currency pairs; instruments with off-balance sheet risk and a member of the Financial Industry (2) For short options, 2% for major and, if a Material Affiliated Person is Regulatory Authority; or currency pairs and 5% for all other such a dealer, whether it is also an end- (3) A futures commission merchant currency pairs of the notional value of user of such instruments; registered with the Commission and a the retail forex transaction, plus the (ii) Written policies, procedures, or member of the National Futures premium received by the retail forex systems concerning the retail foreign Association. customer; or exchange dealer’s: (A) Method(s) for monitoring and (c) For assets held in a money center (3) For long options, the full premium controlling financial and operational country, a qualifying institution is: charged and received by the futures commission merchant or retail foreign risks to it resulting from the activities of (1) A bank or trust company regulated any of its affiliated persons; in a money center country, Provided exchange dealer from the retail forex customer. (B) Financing and capital adequacy, that the bank or trust company has including information regarding sources regulatory capital in excess of $1 billion; (b) Security deposits must be made in the form of cash or other financial of funding, together with a narrative (2) An entity regulated in a money instruments that comply with the discussion by management of the center country as an equivalent of a requirements specified in § 1.25 of this liquidity of the material assets of the broker-dealer or futures commission chapter. retail foreign exchange dealer, the merchant as determined by the retail (c) A futures commission merchant or structure of debt capital, and sources of foreign exchange dealer’s or futures retail foreign exchange dealer is alternative funding; commission merchant’s designated self- required to collect additional security (C) Establishing and maintaining regulatory organization, Provided that deposits from a retail forex customer, or internal controls with respect to market the entity maintains regulatory capital liquidate the retail forex customer’s risk, credit risk, and other risks created in excess of $100 million; or positions, if the amount of the retail by the retail foreign exchange dealer’s (3) A futures commission merchant forex customer’s security deposits trading activities, including systems and registered with the Commission and a maintained with the futures commission policies for supervising, monitoring, member of the National Futures merchant or retail foreign exchange reporting and reviewing trading Association. dealer are not sufficient to meet the activities in forex transactions, (d) Assets held in a money center requirements of this section. securities, futures contracts, commodity country are not eligible to meet the (d) A major currency pair security options, forward contracts and financial requirements of paragraph (a) of this deposit percentage is only applicable instruments; policies for hedging or section unless the retail foreign when both sides of a retail over-the- managing risks created by trading exchange dealer or futures commission counter foreign exchange transaction activities or supervising accounts merchant has entered into an agreement involve major currencies. carried for affiliates, including a that is acceptable to the firm’s (e) Any registered futures association description of the types of reviews designated self-regulatory organization whose members serve as counterparties conducted to monitor positions; and and that authorizes the qualifying to retail forex transaction shall designate policies relating to restrictions or institution to provide account which currencies are ‘‘major currencies’’, limitations on trading activities: information to the Commission and the and shall review, no less frequently than Provided, however, that if the retail firm’s designated self-regulatory annually, major currency designations foreign exchange dealer has no such organization. and security deposit requirements, and written policies, procedures or systems, (e) In computing its adjusted net shall adjust the designations and it must so state in writing; capital pursuant to § 5.7 of this part, a requirements as necessary. (iii) Fiscal year-end consolidated and retail foreign exchange dealer or futures consolidating balance sheets for the commission merchant may not include § 5.10 Risk assessment recordkeeping highest level Material Affiliated Person aggregate retail forex assets as current requirements for retail foreign exchange within the retail foreign exchange assets or otherwise record any property dealers. dealer’s organizational structure, which received from retail forex customers as (a) Requirement to maintain and shall include the retail foreign exchange an asset without recording a preserve information. (1) Each retail dealer and its other Material Affiliated

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Persons, prepared in accordance with customers rely on the affiliated person the Bank Holding Company Act of 1956; generally accepted accounting for operational support or services in or principles, which consolidated balance connection with the retail foreign (3) In the case of a Material Affiliated sheets shall be audited by an exchange dealer’s business; Person that is subject to the supervision independent certified public accountant (v) The level of market, credit or other of an insurance commissioner or other if an annual audit is performed in the risk present in the activities of the similar official or agency of a state, the ordinary course of business, but which affiliated person; and retail foreign exchange dealer or such otherwise may be unaudited, and which (vi) The extent to which the affiliated Material Affiliated Person maintains shall include appropriate explanatory person has the authority or the ability to and makes available for inspection by notes. The consolidating balance sheets cause a withdrawal of capital from the the Commission in accordance with the may be those prepared by the retail retail foreign exchange dealer. provisions of this section copies of the foreign exchange dealer’s highest level (3) For purposes of this section and annual statements with schedules and Material Affiliated Person as part of its § 5.11 of this part, the term Material exhibits prepared by the Material internal financial reporting process. Any Affiliated Person does not include a Affiliated Person on forms prescribed by additional information required to be natural person. the National Association of Insurance filed under § 5.11(a)(2)(iii) of this part (4) The information, reports and Commissioners or by a state insurance shall also be maintained and preserved; records required by this section shall be commissioner. and maintained and preserved, and made (c)(1) Special provisions with respect (iv) Fiscal year-end consolidated and readily available for inspection, in to Material Affiliated Persons subject to consolidating income statements and accordance with the provisions of § 1.31 the supervision of a Foreign Regulatory consolidated cash flow statements for of this chapter. Authority. A retail foreign exchange the highest level Material Affiliated (b) Special provisions with respect to dealer shall be deemed to be in Person within the retail foreign Material Affiliated Persons subject to compliance with the recordkeeping exchange dealer’s organizational the supervision of certain domestic requirements of paragraphs (a)(1)(iii) structure, which shall include the retail regulators. A retail foreign exchange and (iv) of this section with respect to foreign exchange dealer and its other dealer shall be deemed to be in a Material Affiliated Person if such Material Affiliated Persons, prepared in compliance with the recordkeeping retail foreign exchange dealer maintains accordance with generally accepted requirements of paragraphs (a)(1)(i), (iii) and makes available, or causes such accounting principles, which and (iv) of this section with respect to Material Affiliated Person to make consolidated statements shall be audited a Material Affiliated Person if: available, for inspection by the by an independent certified public (1) The Material Affiliated Person is Commission in accordance with the accountant if an annual audit is provisions of this section copies of any performed in the ordinary course of required to maintain and preserve financial or risk exposure reports filed business, but which otherwise may be information pursuant to § 240.17h–1T of by such Material Affiliated Person with unaudited, and which shall include this title, or such other risk assessment a foreign futures authority or other appropriate explanatory notes. The regulations as the Securities and foreign regulatory authority, provided consolidating statements may be those Exchange Commission may adopt, and that: prepared by the retail foreign exchange the retail foreign exchange dealer (i) The retail foreign exchange dealer dealer’s highest level Material Affiliated maintains and makes available for agrees to use its best efforts to obtain Person as part of its internal financial inspection by the Commission in from the Material Affiliated Person and reporting process. Any additional accordance with the provisions of this to cause the Material Affiliated Person information required to be filed under section copies of the records and reports to provide, directly or through its § 5.11(a)(2)(iii) shall also be maintained maintained and filed on Form 17–H (or foreign futures authority or other foreign and preserved. such other forms or reports as may be (2) The determination of whether an required) by the Material Affiliated regulatory authority, any supplemental affiliated person of a retail foreign Person with the Securities and information the Commission may exchange dealer is a Material Affiliated Exchange Commission pursuant to request and there is no statute or other Person shall involve consideration of all §§ 240.17h–1T and 240.17h–2T of this bar in the foreign jurisdiction that aspects of the activities of, and the title, or such other risk assessment would preclude the retail foreign relationship between, both entities, regulations as the Securities and exchange dealer, the Material Affiliated including without limitation, the Exchange Commission may adopt; Person, the foreign futures authority or following factors: (2) In the case of a Material Affiliated other foreign regulatory authority from (i) The legal relationship between the Person (including a foreign banking providing such information to the retail foreign exchange dealer and the organization) that is subject to Commission; or affiliated person; examination by, or the reporting (ii) The foreign futures authority or (ii) The overall financing requirements of, a Federal banking other foreign regulatory authority with requirements of the retail foreign agency, the retail foreign exchange whom the Material Affiliated Person exchange dealer and the affiliated dealer or such Material Affiliated Person files such reports has entered into an person, and the degree, if any, to which maintains and makes available for information-sharing agreement with the the retail foreign exchange dealer and inspection by the Commission in Commission which is in effect as of the the affiliated person are financially accordance with the provisions of this retail foreign exchange dealer’s fiscal dependent on each other; section copies of all reports submitted year-end and which will allow the (iii) The degree to which the retail by such Material Associated Person to Commission to obtain the type of foreign exchange dealer and the the Federal banking agency pursuant to information required herein. affiliated person directly or indirectly section 5211 of the Revised Statutes, (2) The retail foreign exchange dealer engage in over-the-counter transactions section 9 of the Federal Reserve Act, shall maintain a copy of the original with each other; section 7(a) of the Federal Deposit report and a copy translated into the (iv) The degree, if any, to which the Insurance Act, section 10(b) of the English language. For the purposes of retail foreign exchange dealer or its Home Owners’ Loan Act, or section 5 of this section, the term ‘‘Foreign Futures

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Authority’’ shall have the meaning set (a)(1)(i) and (ii) of this section independent certified public accountant forth in section 1a(10) of the Act. commencing 60 calendar days after if an annual audit is performed in the (d) Exemptions. The Commission may registration becomes effective and the ordinary course of business, but which exempt any retail foreign exchange information required by paragraphs otherwise may be unaudited, and which dealer from any provision of this section (a)(1)(iii) and (iv) of this section consolidated balance sheets shall if it finds that the exemption is not commencing 105 calendar days include appropriate explanatory notes. contrary to the public interest and the following the first fiscal year-end The consolidating balance sheets may purposes of the provisions from which occurring after registration becomes be those prepared by the retail foreign the exemption is sought. The effective. exchange dealer’s highest level Material Commission may grant the exemption Affiliated Person as part of its internal subject to such terms and conditions as § 5.11 Risk assessment reporting financial reporting process; it may find appropriate. requirements for retail foreign exchange (ii) Fiscal year-end annual (e) Location of records. A retail dealers. consolidated and consolidating income foreign exchange dealer required to (a) Reporting requirements with statements and consolidated cash flow maintain records concerning Material respect to information required to be statements for the highest level Material Affiliated Persons pursuant to this maintained by § 5.10 of this part. (1) Affiliated Person within the retail section may maintain those records Each retail foreign exchange dealer foreign exchange dealer’s organizational either at the principal office of the registered with the Commission structure, which shall include the retail Material Affiliated Person or at a records pursuant to Section 2(c)(2)(B)(i)(II)(gg) foreign exchange dealer and its other storage facility, provided that, except as of the Act shall file the following with Material Affiliated Persons, prepared in set forth in paragraph (c) of this section, the regional office of the Commission accordance with generally accepted the records are located within the with which it files periodic financial accounting principles, which boundaries of the United States and the reports within 60 calendar days after the consolidated statements shall be audited records are kept and available for effective date of such registration: by an independent certified public inspection in accordance with § 1.31 of (i) A copy of the organizational chart accountant if an annual audit is this chapter. If such records are maintained by the retail foreign performed in the ordinary course of maintained at a place other than the exchange dealer pursuant to business, but which otherwise may be retail foreign exchange dealer’s § 5.10(a)(l)(i) of this part. Where there is unaudited, and which consolidated principal place of business, the Material a material change in information statements shall include appropriate Affiliated Person or other entity provided, an updated organizational explanatory notes. The consolidating maintaining the records shall file with chart shall be filed within sixty calendar statements may be those prepared by the the Commission a written undertaking, days after the end of the fiscal quarter retail foreign exchange dealer’s highest in a form acceptable to the Commission, in which the change has occurred; and level Material Affiliated Person as part signed by a duly authorized person, to (ii) Copies of the financial, of its internal financial reporting the effect that the records will be treated operational, and risk management process; and as if the retail foreign exchange dealer policies, procedures and systems (iii) Upon receiving written notice were maintaining the records pursuant maintained by the retail foreign from any representative of the to this section and that the entity exchange dealer pursuant to Commission and within the time period maintaining the records will permit § 5.10(a)(l)(ii) of this part. If the retail specified in the written notice, such examination of such records at any time, foreign exchange dealer has no such additional information which the or from time to time during business written policies, procedures or systems, Commission determines is necessary for hours, by representatives or designees of it must file a statement so indicating. a complete understanding of a particular the Commission and promptly furnish Where there is a material change in affiliate’s financial impact on the retail the Commission representative or its information provided, such change shall foreign exchange dealer’s organizational designee true, correct, complete and be reported within sixty calendar days structure. current hard copy of all or any part of after the end of the fiscal quarter in (3) For the purposes of this section, such records. The election to maintain which the change has occurred. the term Material Affiliated Person shall records at the principal place of (2) Each retail foreign exchange dealer have the meaning used in § 5.10 of this business of the Material Affiliated registered with the Commission part. Person or at a records storage facility pursuant to section 2(c)(2)(B)(i)(II)(gg) of (4) The reports required to be filed pursuant to the provisions of this the Act shall file the following with the pursuant to paragraphs (a)(1) and (2) of paragraph shall not relieve the retail regional office with which it files this section shall be considered filed foreign exchange dealer required to periodic financial reports within 105 when received by the regional office of maintain and preserve such records calendar days after the end of each fiscal the Commission with whom the retail from any of its responsibilities under year or, if a filing is made pursuant to foreign exchange dealer files financial this section or § 5.11 of this part. a written notice issued under paragraph reports pursuant to § 5.12 of this part. (f) Confidentiality. All information (a)(2)(iii) of this section, within the time (b) Exemptions. The Commission may obtained by the Commission pursuant to period specified in the written notice: exempt any retail foreign exchange the provisions of this section from a (i) Fiscal year-end consolidated and dealer from any provision of this section retail foreign exchange dealer consolidating balance sheets for the if it finds that the exemption is not concerning a Material Affiliated Person highest level Material Affiliated Person contrary to the public interest and the shall be deemed confidential within the retail foreign exchange purposes of the provisions from which information for the purposes of section dealer’s organizational structure, which the exemption is sought. The 8 of the Act. shall include the retail foreign exchange Commission may grant the exemption (g) Implementation schedule. Each dealer and its other Material Affiliated subject to such terms and conditions as retail foreign exchange dealer who is Persons, prepared in accordance with it may find appropriate. subject to the requirements of this generally accepted accounting (c) Special provisions with respect to section shall maintain and preserve the principles, which consolidated balance Material Affiliated Persons subject to information required by paragraphs sheets shall be audited by an the supervision of certain domestic

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regulators. (1) In the case of a Material Material Affiliated Person on forms Person, the foreign futures authority or Affiliated Person that is required to prescribed by the National Association other foreign regulatory authority from maintain and preserve information of Insurance Commissioners or by a providing such information to the pursuant to § 240.17h–1T of this title, or state insurance commissioner; and Commission; or such other risk assessment regulations (ii) With respect to a Material (2) The foreign futures authority or as the Securities and Exchange Affiliated Person organized as a public other foreign regulatory authority with Commission may adopt, the retail stock company, the retail foreign whom the Material Affiliated Person foreign exchange dealer shall be deemed exchange dealer or such Material files such reports has entered into an to be in compliance with the reporting Affiliated Person maintains, in addition information sharing agreement with the requirements of paragraph (a)(2) of this to the annual statements with schedules Commission which is in effect as of the section with respect to such Material and exhibits required to be maintained retail foreign exchange dealer’s fiscal Affiliated Person if the retail foreign pursuant to § 1.14 of this chapter, copies year-end and which will allow the exchange dealer maintains and makes of the filings made by the Material Commission to obtain the type of available for inspection by the Affiliated Person pursuant to sections information required herein. The retail Commission in accordance with the 13 or 15 of the Securities Exchange Act foreign exchange dealer shall file a copy provisions of this section copies of the of 1934 and the Investment Company of the original report and a copy records and reports maintained and Act of 1940. translated into the English language. For filed on Form 17–H (or such other forms (4) No retail foreign exchange dealer the purposes of this section, the term or reports as may be required) by the shall be required to furnish to the ‘‘Foreign Futures Authority’’ shall have Material Affiliated Person with the Commission any examination report of the meaning set forth in section 1a(10) Securities and Exchange Commission any Federal banking agency or any of the Act. pursuant to §§ 240.17h–1T and supervisory recommendations or (e) Confidentiality. All information 240.17h–2T of this title, or such other analyses contained therein with respect obtained by the Commission pursuant to risk assessment regulations as the to a Material Affiliated Person that is the provisions of this section from a Securities and Exchange Commission subject to the regulation of a Federal retail foreign exchange dealer may adopt; banking agency. All information concerning a Material Associated Person (2) In the case of a Material Affiliated received by the Commission pursuant to shall be deemed confidential Person (including a foreign banking this section concerning a Material information for the purposes of section organization) that is subject to Affiliated Person that is subject to 8 of the Act. examination by, or the reporting examination by or the reporting (f) Implementation schedule. Each requirements of, a Federal banking requirements of a Federal banking retail foreign exchange dealer who is agency, the retail foreign exchange agency shall be deemed confidential for subject to the requirements of this dealer shall be deemed to be in the purposes of section 8 of the Act. section shall file the information compliance with the reporting (5) The furnishing of any information required by paragraph (a)(1) of this requirements of paragraph (a)(2) of this or documents by a retail foreign section within 60 calendar days after section with respect to such Material exchange dealer pursuant to this section registration is granted, and the Affiliated Person if the retail foreign shall not constitute an admission for information required by paragraph (a)(2) exchange dealer or such Material any purpose that a Material Affiliated of this section within 105 calendar days Affiliated Person maintains in Person is otherwise subject to the Act. after registration is granted. accordance with § 5.10 of this part (d) Special provisions with respect to copies of all reports filed by the Material Material Affiliated Persons subject to § 5.12 Financial reports of retail foreign Affiliated Person with the Federal the supervision of a Foreign Regulatory exchange dealers. banking agency pursuant to section Authority. A retail foreign exchange (a)(1) Each person who files an 5211 of the Revised Statutes, section 9 dealer shall be deemed to be in application for registration as a retail of the Federal Reserve Act, section 7(a) compliance with the reporting foreign exchange dealer with the of the Federal Deposit Insurance Act, requirements of paragraph (a)(2) of this National Futures Association shall section 10(b) of the Home Owners’ Loan section with respect to a Material submit, concurrently with the filing of Act, or section 5 of the Bank Holding Affiliated Person if such retail foreign such application, either: Company Act of 1956. exchange dealer furnishes, or causes (i) A Form 1–FR–FCM certified by an (3) In the case of a retail foreign such Material Affiliated Person to make independent public accountant as of a exchange dealer that has a Material available, in accordance with the date not more than 45 days prior to the Affiliated Person that is subject to the provisions of this section, copies of any date on which such report is filed; or supervision of an insurance financial or risk exposure reports filed (ii) A Form 1–FR–FCM as of a date commissioner or other similar official or by such Material Affiliated Person with not more than 17 business days prior to agency of a state, such retail foreign a foreign futures authority or other the date on which such report is filed exchange dealer shall be deemed to be foreign regulatory authority, provided and a Form 1–FR–FCM certified by an in compliance with the reporting that: independent public accountant as of a requirements of paragraph (a)(2) of this (1) The retail foreign exchange dealer date not more than one year prior to the section with respect to the Material agrees to use its best efforts to obtain date on which such report is filed. Affiliated Person if: from the Material Affiliated Person and (2) Each such person must include (i) With respect to a Material to cause the Material Affiliated Person with such financial report a statement Affiliated Person organized as a mutual to provide, directly or through its describing the source of his current insurance company or a non-public foreign futures authority or other foreign assets and representing that his capital stock company, the retail foreign regulatory authority, any supplemental has been contributed for the purpose of exchange dealer or such Material information the Commission may operating his business and will continue Affiliated Person maintains in request and there is no statute or other to be used for such purpose. accordance with § 5.14 of this part bar in the foreign jurisdiction that (3) The provisions of paragraph (a)(1) copies of the annual statements with would preclude the retail foreign of this section do not apply to any schedules and exhibits prepared by the exchange dealer, the Material Affiliated person succeeding to and continuing the

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business of another retail foreign the written notice. Each such Form (iv) Appropriate footnote disclosures; exchange dealer. 1–FR–FCM or such other information (v) A reconciliation, including (b)(1) Each person registered as a must be furnished within the time appropriate explanations, of the retail foreign exchange dealer must file period specified in the written notice, statement of the computation of the a Form 1–FR–FCM as of the close of and in accordance with the provisions minimum capital requirements pursuant business each month. Each Form 1–FR of paragraph (i) of this section. to § 5.7 of this part, in the certified Form must be filed no later than 17 business (e)(1) Each Form 1–FR–FCM filed 1–FR–FCM with the applicant’s or days after the date for which the report pursuant to this § 5.12 which is not registrant’s corresponding uncertified is made. required to be certified by an most recent Form 1–FR–FCM filing (2) In addition to the monthly independent public accountant must be when material differences exist or, if no financial reports required by paragraph completed in accordance with the material differences exist, a statement so (b)(1) of this section, each person instructions to the form and contain: indicating; and registered as a retail foreign exchange (i) A statement of financial condition (vi) In addition to the information dealer must file a Form 1–FR–FCM as of as of the date for which the report is expressly required, such further the close of its fiscal year, which must made; material information as may be be certified by an independent public (ii) A statement of income (loss) for necessary to make the required accountant and must be filed no later the period between the date of the most statements not misleading. than 90 days after the close of the retail recent statement of financial condition (3) The statements required by foreign exchange dealer’s fiscal year. filed with the Commission and the date paragraphs (e)(2)(i) and (ii) of this (3) A Form 1–FR–FCM required to be for which the report is made; section may be presented in accordance certified by an independent public (iii) A statement of changes in with generally accepted accounting accountant which is filed by a retail ownership equity for the period principles in the certified reports filed foreign exchange dealer must be filed in between the date of the most recent as of the close of the registrant’s fiscal paper form and may not be filed statement of financial condition filed year pursuant to paragraph (b)(2) of this electronically with the Commission. A with the Commission and the date for section or accompanying the application Form 1–FR–FCM required to be certified which the report is made; for registration pursuant to paragraph by an independent public accountant (iv) A statement of changes in (a)(1) of this section, rather than in the which is filed by an applicant for liabilities subordinated to claims of format specifically prescribed by these registration as a retail foreign exchange general creditors for the period between regulations: Provided, the statement of dealer with the National Futures the date of the most recent statement of financial condition is presented in a Association must be filed electronically financial condition filed with the format as consistent as possible with the in accordance with electronic filing Commission and the date for which the Form 1–FR–FCM and a reconciliation is procedures established by the National report is made; provided reconciling such statement of Futures Association, however a paper (v) A statement of the computation of financial condition to the statement of copy of any such filing with the original the minimum capital requirements the computation of the minimum capital manually signed certification must be pursuant to § 5.7 of this part as of the requirements pursuant to § 5.7 of this maintained by the applicant for date for which the report is made; and part. Such reconciliation must be registration as a retail foreign exchange (vi) In addition to the information certified by an independent public dealer in accordance with § 1.31. expressly required, such further accountant in accordance with § 1.16 of (c) Each Form 1–FR–FCM required by material information as may be this chapter. the provisions of paragraphs (a)(1) and necessary to make the required (4) Attached to each Form 1–FR–FCM (b)(2) of this section to be certified by statements and schedules not filed pursuant to this section must be an an independent public accountant must misleading. oath or affirmation that to the best be certified in accordance with § 1.16 of (2) Each Form 1–FR–FCM filed knowledge and belief of the individual this chapter, and must be accompanied pursuant to this § 5.12 which is required making such oath or affirmation the by the accountant’s report on material to be certified by an independent public information contained in the Form inadequacies in accordance with the accountant must be completed in 1–FR–FCM is true and correct. The provisions of § 1.16(c)(5) of this chapter. accordance with the instructions to the individual making such oath or In all other respects, the independent form and contain: affirmation must be: If the registrant or public accountant shall act in (i) A statement of financial condition applicant is a sole proprietorship, the accordance with the provisions of § 1.16 as of the date for which the report is proprietor; if a partnership, any general (except paragraph (f)) of this chapter: made; partner; if a corporation, the chief Provided, however, that the term ‘‘§ 5.7’’ (ii) Statements of income (loss), cash executive officer or chief financial shall be substituted for the term ‘‘§ 1.17,’’ flows, changes in ownership equity, and officer; and, if a limited liability and the term ‘‘retail foreign exchange changes in liabilities subordinated to company or limited liability dealer’’ shall be substituted for the term claims of general creditors, for the partnership, the chief executive officer, ‘‘futures commission merchant.’’ period between the date of the most the chief financial officer, the manager, (d) Upon receiving written notice recent certified statement of financial the managing member, or those from any representative of the condition filed with the Commission members vested with the management Commission, National Futures and the date for which the report is authority for the limited liability Association, or any self-regulatory made: Provided, That for an applicant company or limited liability organization of which the firm is a filing pursuant to paragraph (a) of this partnership. member, a retail foreign exchange dealer section the period must be the year (f) Election of fiscal year. (1) An or applicant for such registration, must, ending as of the date of the statement of applicant wishing to establish a fiscal monthly or at such times as specified, financial condition; year other than the calendar year may furnish the Commission, National (iii) A statement of the computation of do so by notifying the National Futures Futures Association, or self-regulatory the minimum capital requirements Association of its election of such fiscal organization a Form 1–FR–FCM or such pursuant to § 5.7 of this part as of the year, in writing, concurrently with the other financial information requested in date for which the report is made; filing of the Form 1–FR–FCM pursuant

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to paragraph (a)(1) of this section, but in Act and the Government in the with procedures established by or no event may such fiscal year end more Sunshine Act and parts 145 and 147 of approved by the Commission, and than one year from the date of the Form this chapter, except for the information otherwise in accordance with 1–FR–FCM filed pursuant to paragraph described in paragraph (i)(2) of this instructions issued by or approved by (a)(1) of this section. An applicant that section. the Commission, if the retail foreign does not so notify the National Futures (2) The following information in exchange dealer or a designated self- Association will be deemed to have Forms 1–FR–FCM will be publicly regulatory organization has provided the elected the calendar year as its fiscal available: Commission with the means necessary year. (i) The amount of the applicant’s or to read and to process the information (2)(i) A registrant must continue to registrant’s adjusted net capital; the contained in such report. Any such use its elected fiscal year, calendar or amount of its minimum net capital electronic submission must clearly otherwise, unless a change in such fiscal requirement under § 5.7 of this chapter; indicate the registrant or applicant on year has been approved pursuant to this the amount of its adjusted net capital in whose behalf such filing is made and paragraph (f)(2). excess of its minimum net capital the use of such user authentication in (ii) A registrant may file with its requirement; and the amount of the submitting such filing will constitute designated self-regulatory organization retail forex obligation owed to its retail and become a substitute for the manual an application to change its fiscal year, forex customers; and signature of the authorized signer. In the a copy of which the registrant must file (ii) The Statement of Financial case of a Form 1–FR filed via electronic with the Commission. The application Condition and the opinion of the transmission in accordance with shall be approved or denied in writing independent public accountant in the procedures established by or approved by the registrant’s designated self- certified annual financial reports of by the Commission, such transmission regulatory organization. The registrant retail foreign exchange dealers. must be accompanied by the user (3) All information that is exempt must file immediately with the authentication assigned to the from mandatory public disclosure under Commission a copy of any notice it authorized signer under such paragraph (h)(1) of this section will, receives from its designated self- procedures, and the use of such user however, be available for official use by regulatory organization to approve or authentication will constitute and any official or employee of the United deny the registrant’s application to become a substitute for the manual change its fiscal year. A written notice States or any State, by the National Futures Association or any other self- signature of the authorized signer for the of approval shall become effective upon purpose of making the oath or the filing by the registrant of a copy regulatory organization of which the person filing such report is a member, affirmation referred to in paragraph with the Commission, and a written (e)(4) of this section. notice of denial shall be effective as of and by any other person to whom the the date of the notice. Commission believes disclosure of such § 5.13 Reporting to customers of retail (g) In the event a retail foreign information is in the public interest. foreign exchange dealers and futures exchange dealer or applicant for Nothing in this paragraph (h) will limit commission merchants; monthly and registration as a retail foreign exchange the authority of any self-regulatory confirmation statements. dealer finds that it cannot file its Form organization to request or receive any (a) Monthly statements. Each retail 1–FR–FCM for any period within the information relative to its members’ foreign exchange dealer or futures time specified in paragraph (b)(1) or (2) financial condition. commission merchant must promptly of this section without substantial (i)(1) In the case of an applicant, all furnish in writing to each retail forex undue hardship, it may request filings or other notices provided for in customer, as of the close of the last approval for an extension of time by this section will be considered filed business day of each month or as of any filing an application for an extension of when received by the regional office of regular monthly date selected, except time with, in the case of a registrant, its the Commission with jurisdiction over for accounts in which there are neither designated self-regulatory organization, the state in which the applicant’s open positions at the end of the or, in the case of an applicant, the principal place of business is located statement period nor any changes to the National Futures Association. The and by the National Futures account balance since the prior registrant or applicant also must file a Association. In the case of a registrant, statement period, but in any event not copy of its application for an extension all filings or other notices provided for less frequently than once every three of time with the Commission. The in this section will be considered filed months, a statement which clearly application shall be approved or denied when received by the regional office of shows: in writing by the National Futures the Commission with jurisdiction over (1) For each retail forex customer: Association or designated self- the state in which the registrant’s regulatory organization, as applicable. principal place of business is located (i) The open retail forex transactions The registrant or applicant must file and by the registrant’s designated self- with prices at which acquired; immediately with the Commission a regulatory organization. Any copy that (ii) The net unrealized profits or copy of any notice it receives approving under paragraph (f)(2) or (g) of this losses in all open retail forex or denying the request for extension of section is required to be filed with the transactions marked to the market; and time. A written notice of approval shall Commission shall be filed with the (iii) Any money, securities or other become effective upon the filing by the regional office of the Commission with property carried with the retail foreign registrant or applicant of a copy with jurisdiction over the state in which the exchange dealer or futures commission the Commission, and a written notice of registrant’s principal place of business merchant; and denial shall be effective as of the date is located. (iv) A detailed accounting of all of the notice. (2) All filings or other notices filed financial charges and credits to such (h) Public availability of reports. (1) pursuant to this section which need not retail forex accounts during the monthly Forms 1–FR–FCM filed pursuant to this be certified in accordance with § 1.16 reporting period, including money, section will be treated as exempt from may be submitted to the Commission in securities or property received from or mandatory public disclosure for electronic form using a a form of user disbursed to such customer and realized purposes of the Freedom of Information authentication assigned in accordance profits and losses; and

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(2) For each retail forex customer include the date of such occurrence, a the transmission of any statement by engaging in forex options transactions: description of the forex option involved, means of electronic media. (i) All forex options purchased, sold, and, in the case of exercise, the details (2) Any statement required to be exercised, or expired during the of the retail forex or physical currency furnished to a person other than a retail monthly reporting period, identified by position which resulted therefrom forex customer in accordance with underlying retail forex transaction or including, if applicable, the final trading paragraph (f) of this section may be underlying currency, strike price, date of the retail forex transaction furnished by electronic media. transaction date, and expiration date; underlying the option. (3) A retail foreign exchange dealer or (ii) The open forex option positions (4) Notwithstanding the provisions of futures commission merchant who carried for such customer as of the end paragraphs (b)(1) through (3) of this furnishes statements to a retail forex of the monthly reporting period, section, a retail forex transaction or customer by means of electronic media identified by underlying retail forex forex option transaction that is caused must retain a daily confirmation transaction or underlying currency, to be executed for a pooled investment statement for such retail forex customer strike price, transaction date, and vehicle that engages in retail forex as of the end of the trading session, expiration date; transactions need be confirmed only to reflecting all transactions made during (iii) All open forex option positions the operator of such pooled investment that session for the customer, in marked to the market and the amount vehicle. accordance with § 1.31 of this chapter. each position is in the money, if any; (c) Controlled accounts. With respect (g) Combination with other (iv) Any money, securities or other to any account controlled by any person statements. Any futures commission property carried with the retail foreign other than the retail forex customer or merchant required to deliver statements exchange dealer or futures commission forex option customer for whom such to retail forex customers in accordance merchant; and account is carried, each retail foreign with § 1.33 of this chapter may combine (v) A detailed accounting of all exchange dealer or futures commission into one monthly statement or financial charges and credits to such merchant shall promptly furnish in confirmation statement, as the case may retail forex account(s) during the writing to such other person the be, the information required by this monthly reporting period, including information required by paragraphs (a) section and the information required by money, securities and property received and (b) of this section. § 1.33, provided that retail forex account from or disbursed to such customer, (d) Recordkeeping. Each retail foreign information is separately identified from premiums charged and received, and exchange dealer or futures commission any other trading or account activity of realized profits and losses. merchant shall retain, in accordance the retail forex customer. (b) Confirmation statement. Each with § 1.31 of this chapter, a copy of retail foreign exchange dealer or futures § 5.14 Records to be kept by retail foreign each monthly statement and commission merchant must, not later exchange dealers and futures commission confirmation required by this section. merchants. than the next business day after any (e) Introduced accounts. Each retail forex or forex option transaction, (a) No person shall be registered as a statement provided pursuant to the furnish: retail foreign exchange dealer under the (1) To each retail forex customer, a provisions of this section must, if Act unless, commencing on the date his written confirmation of each retail forex applicable, show that the account for application for such registration is filed, transaction caused to be executed by it which the retail foreign exchange dealer he prepares and keeps current ledgers or for the customer, including offsetting or futures commission merchant is other similar records which show or transactions executed during the same providing the statement was introduced summarize, with appropriate references business day and the rollover of an open by an introducing broker and the names to supporting documents, each retail forex transaction to the next of the retail foreign exchange dealer or transaction affecting his asset, liability, business day. futures commission merchant and income, expense and capital accounts, (2) To each retail forex customer introducing broker. and in which (except as otherwise engaging in forex option transactions, a (f) Electronic transmission of permitted in writing by the written confirmation of each forex statements. (1) The statements required Commission) all his asset, liability and option transaction, containing at least by this section may be furnished to a capital accounts are classified into the following information: retail forex customer by means of either the account classification (i) The retail forex customer’s account electronic media if the retail forex subdivisions specified on Form 1–FR– identification number; customer so consents, Provided, FCM or categories that are in accord (ii) A separate listing of the actual however, that a retail foreign exchange with generally accepted accounting amount of the premium, as well as each dealer or futures commission merchant principles as applicable. Each person so mark-up thereon, if applicable, and all must, prior to the transmission of any registered shall prepare and keep other commissions, costs, fees and other statement by means of electronic media, current such records. charges incurred in connection with the disclose the electronic medium or (b) Each applicant or registrant must forex option transaction; source through which statements will be make and keep as a record in (iii) The strike price; delivered, the duration, whether accordance with § 1.31 of this chapter (iv) The underlying retail forex indefinite or not, of the period during formal computations of its adjusted net transaction or underlying currency; which consent will be effective, any capital and of its minimum financial (v) The final exercise date of the forex charges for such service, the information requirements pursuant to § 1.17 or § 5.7 option purchased or sold; and that will be delivered by such means, of this chapter, or the requirements of (vi) The date the forex option and that consent to electronic delivery the designated self-regulatory transaction was executed. may be revoked at any time, and organization to which it is subject, as (3) To each retail forex customer provided, further, that a retail foreign applicable, as of the close of business engaging in forex option transactions, exchange dealer or futures commission each month. Such computations must upon the expiration or exercise of any merchant must obtain the retail forex be completed and made available for forex option, a written confirmation customer’s signed consent inspection by any representative of the statement thereof, which statement shall acknowledging such disclosure prior to National Futures Association, in the

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case of an applicant, or of the their associated persons to effect the (3) Fairly and objectively establish Commission or designated self- transaction. A transaction is settlement prices for retail forex regulatory organization, if any, in the ‘‘specifically authorized’’ if the customer transactions; and case of a registrant, within 17 business or person designated by the customer to (4) Record and maintain essential days after the date for which the control the account specifies: information regarding customer orders computations are made, commencing (a) The precise retail forex transaction and account activity, and to provide the first month end after the date the to be effected; such information to customers upon application for registration is filed. (b) The exact amount of the foreign request. Such information shall include: currency to be purchased or sold; and (i) Transaction records for the § 5.15 Unlawful representations. (c) In the case of an option, the customer’s account, including: It shall be unlawful for any person identity of the foreign currency or (A) The date and time each order is registered pursuant to the requirements contract that underlies the option. received by the retail forex of this part to represent or imply in any counterparty; manner whatsoever that such person § 5.18 Trading and operational standards. (B) The price at which each order is has been sponsored, recommended or (a) For purposes of this section: placed, or, in the case of an option, the approved, or that its abilities or (1) The term retail forex counterparty premium paid (C) If the transaction was entered into qualifications have been reviewed or includes, as appropriate: by means of a trading platform, the price evaluated, by the Commission, the (i) A retail foreign exchange dealer as quoted on the trading platform when the Federal government or any agency defined in § 5.1 of this part; thereof. order was placed, or, in the case of an (ii) A futures commission merchant as option, the premium quoted; § 5.16 Prohibition of guarantees against defined in section 1a(20) of the Act; and (D) The customer account loss. (iii) An affiliated person of a futures identification information; (a) No retail foreign exchange dealer, commission merchant as defined in (E) The currency pair; futures commission merchant or § 5.1 of this part. (F) The size of the transaction; introducing broker may in any way (2) The term related person when (G) Whether the order was a buy or represent that it will, with respect to used in reference to a retail forex sell order; any retail foreign exchange transaction counterparty means any general partner, (H) The type of order, if the order was in any account carried by a retail foreign officer, director, owner of more than ten not a market order; (I) If a trading platform is used, the exchange dealer or futures commission percent of the equity interest, associated date and time the order is transmitted to merchant for or on behalf of any person: person or employee of the retail forex the trading platform; (1) Guarantee such person against counterparty, and any relative or spouse (J) If a trading platform is used, the loss; of any of the foregoing persons, or any date and time the order is executed; (2) Limit the loss of such person; or relative of such spouse, who shares the same home as any of the foregoing (K) The size and price at which the (3) Not call for or attempt to collect order is executed, or in the case of an security deposits, margin, or other persons. (b) Prior to engaging in a retail forex option, the amount of the premium paid deposits as established for retail forex for each option purchased, or the customers. transaction, each retail forex counterparty shall, at a minimum, amount credited for each option sold; (b) No person may in any way and represent that a retail foreign exchange establish and enforce internal rules, procedures and controls to: (L) For options, whether the option is dealer, futures commission merchant or a put or call, the strike price, and introducing broker will engage in any of (1) Ensure, to the extent possible, that each order received from a retail forex expiration date. the acts or practices described in (ii) Account records that contain the customer which order is executable at or paragraph (a) of this section. following information: (c) This section shall not be construed near the price that the retail forex (A) The funds in the account, net of to prevent a retail foreign exchange counterparty has quoted to the customer any commissions and fees; dealer, futures commission merchant or is entered for execution before any order (B) The net profits and losses on open introducing broker from assuming or in any retail forex transaction for any trades; and sharing in the losses resulting from an proprietary account, any other account (C) The funds in the account plus or error or mishandling of an order. in which a related person of the retail minus the net profits and losses on open (d) This section shall not affect any forex counterparty has an interest, or trades. (In the case of open option guarantee entered into prior to October any account for which such a related positions, the account balance should be 18, 2010, but this section shall apply to person may originate orders without the adjusted for the net option value); any extension, modification or renewal prior specific consent of the account (iii) If a trading platform is used, daily thereof entered into after such date. owner (if such related person has gained logs showing each price change on the knowledge of the retail forex customer’s platform, the time of the change to the § 5.17 Authorization to trade. order prior to the transmission of an nearest second, and the trading volume No retail foreign exchange dealer, order for a proprietary account), an at that time and price; and futures commission merchant, account in which such a related person (iv) Any method or algorithm used to introducing broker or any of their has an interest, or an account in which determine the bid or asked price for any associated persons may directly or such a related person may originate retail forex transaction or the prices at indirectly effect a retail forex orders without the prior specific which customer orders are executed, transaction for the account of any consent of the account owner; and including, but not limited to, any customer unless before the transaction (2) Prevent related persons of forex markups, fees, commissions or other the customer, or person designated by counterparties from placing orders, items which affect the profitability or the customer to control the account directly or indirectly, with another risk of loss of a retail forex customer’s specifically authorized the retail foreign person in a manner designed to transaction. exchange dealer, futures commission circumvent the provisions of paragraph (c) No retail forex counterparty shall merchant, introducing broker or any of (b)(1) of this section; disclose that an order of another person

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is being held by the retail forex person of a futures commission (h) An introducing broker as defined counterparty, unless such disclosure is merchant is a member; in § 5.1(f)(1) of this part, applicant for necessary to the effective execution of (2) Adjust or alter prices for a retail registration as an introducing broker as such order or is made at the request of forex transaction after the transaction defined in § 5.1(f)(1) of this part, or an authorized representative of the has been confirmed to the retail forex person succeeding to and continuing the Commission, or a futures association customer; Provided, however, that this business of another introducing broker registered with the Commission paragraph (f)(2) shall not prohibit such as defined in § 5.1(f)(1) of this part must pursuant to section 17 of the Act. practice if in accordance with the rules comply with all provisions applicable to (d) No retail forex counterparty shall of a registered futures association, and an introducing broker under this knowingly handle the account of any of which such retail foreign exchange chapter; Provided, however, that an related person of another retail forex dealer, futures commission merchant or introducing broker operating pursuant counterparty unless it: affiliated person of a futures to, or an applicant for registration as an (1) Receives written authorization commission merchant is a member; introducing broker who has filed from a person designated by such other (3)(i) Provide a retail forex customer concurrently with its application for retail forex counterparty with a new bid price for a retail forex registration, a guarantee agreement responsibility for the surveillance over transaction that is higher than its meeting the requirements of § 1.10(j) of such account pursuant to paragraph previous bid without providing a new this chapter is not subject to the (b)(2) of this section; asked price that is also higher than its minimum capital and related financial (2) Prepares immediately upon receipt previous asked price by a similar reporting requirements of §§ 1.10, 1.12 of an order for such account a written amount; and 1.17 of this chapter. (ii) Provide a retail forex customer a record of such order, including the (i)(1) Each retail forex counterparty new bid price for a retail forex account identification and order shall prepare and maintain on a transaction that is lower than its number, and records thereon to the quarterly basis (calendar quarter) a previous bid without providing a new nearest minute, by time-stamp or other calculation of the percentage of asked price that is also lower than its timing device, the date and time the nondiscretionary retail forex customer previous asked price by a similar accounts open for any period of time order is received; and amount; or (3) Transmits on a regular basis to during the quarter that were profitable, (4) Establish a new position for a and the percentage of such accounts that such other retail forex counterparty retail forex customer (except one that were not profitable. In calculating copies of all statements for such account offsets an existing position for that retail whether a retail forex account was and of all written records prepared upon forex customer) where the retail forex profitable or not profitable during the the receipt of orders for such account counterparty holds outstanding orders quarter, the FCM or RFED must pursuant to paragraph (b)(2) of this of other retail forex customers for the compute the realized and unrealized section. same currency pair at a comparable gains and/or losses on all retail forex (e) No related person of a retail forex price. transactions carried in the retail forex counterparty shall have an account, (g)(1) Each retail forex counterparty account at any time during the quarter, directly or indirectly, with another retail and each CPO, CTA and IB subject to and subtract all fees, commissions, and forex counterparty unless: this Part 5 shall maintain a record of all any other charges posted to the retail (1) It receives written authorization to communications received by such forex account during the quarter, and maintain such an account from a person person concerning facts giving rise to add any interest income and other designated by the retail forex possible violations of the Act, rules, income or rebates credited to the retail counterparty of which it is a related regulations or orders thereunder, related forex account during the quarter. All person with responsibility for the to their retail forex business. The record deposits and/or withdrawals of funds surveillance over such account pursuant shall contain the name of the made by a retail forex customer during to paragraph (b)(2) of this section; and complainant, if provided, the date of the the quarter must be excluded from the (2) Copies of all statements for such communication, the agreement, contract computation of whether the retail forex account and of all written records or transaction, the substance of the account was profitable or not profitable prepared by such other retail forex communication, and the name of the during the quarter. Computations that counterparty upon receipt of orders for person who received the result in a zero or negative number shall such account pursuant to paragraph communication. be considered a retail forex account that (d)(2) of this section are transmitted on (2) Each retail forex counterparty and was not profitable. Computations that a regular basis to the retail forex each CPO, CTA and IB subject to this result in a positive number shall be counterparty of which it is a related Part 5 shall provide to the Division of considered a retail forex account that person. Enforcement of the Commission, was profitable. RFEDs and FCMs shall (f) No retail forex counterparty shall: electronically, a copy of the record of maintain such calculations along with (1) Enter into a retail forex each communication received pursuant data supporting such calculations for transaction, to be executed pursuant to to paragraph (g)(1) of this section. Such five years in accordance with § 1.31. a market or limit order at a price that is copy shall be provided to the Division (2) In calculating its percentages of not at or near the price at which other of Enforcement of the Commission no nondiscretionary retail forex customer retail forex customers, during that same later than 30 calendar days after the accounts that were profitable or not time period, have executed retail forex communication is received: Provided, profitable, the retail forex counterparty transactions with the retail forex however, that in the case of a may only use those retail forex counterparty; Provided, however, that communication concerning facts giving accounts, as defined in § 5.1(i) of this this paragraph (f)(1) shall not prohibit rise to possible fraud under the Act or part, that are nondiscretionary accounts; such practice if done in accordance with Commission regulations, such copy provided, that the retail forex account is the rules of a registered futures shall be provided to the Division of not a proprietary account, as defined in association, and of which such retail Enforcement of the Commission within paragraph (i)(3) of this section. foreign exchange dealer, futures three business days after the (3) Proprietary account for this section commission merchant or affiliated communication is received. means a retail forex account carried on

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the books of a retail foreign exchange certify to the Commission and a by this section to be submitted to the dealer or a futures commission registered national futures association Commission as to matters pending on merchant for one of the following annually that the retail forex October 18, 2010 shall be mailed to the persons, or of which ten percent or more counterparty has in place processes to Commission within 45 days of that is owned by one of the following establish, maintain, review, modify and effective date. Thereafter, all decisions persons, or of which an aggregate of ten test policies and procedures reasonably and notices of appeal required to be percent or more of which is owned by designed to achieve compliance with submitted by retail foreign exchange more than one of the following persons: the Act, rules, regulations and orders dealers, futures commission merchants, (i) Such retail foreign exchange dealer thereunder. The certification shall CPOs, CTAs or IBs shall be mailed or futures commission merchant itself; include a statement that the within 10 days of the filing or receipt by (ii) If the retail foreign exchange counterparty has in place compliance the retail foreign exchange dealer or dealer or futures commission merchant processes, and that the chief compliance futures commission merchant of the is a partnership, a general partner in officer(s) has apprised the chief relevant notice of appeal. For purposes such partnership; executive officer of the compliance of paragraph (a) and (b) of this section, (iii) If the retail foreign exchange efforts to date and identify and address a ‘‘material legal proceeding’’ includes dealer or futures commission merchant significant compliance problems and but is not limited to actions involving is a limited partnership, a limited or plans to address those problems. alleged violations of the Commodity special partner in such partnership Exchange Act or the Commission’s § 5.19 Pending legal proceedings. whose duties include: regulations. However, a legal proceeding (A) The management of the (a) Every retail foreign exchange is not ‘‘material’’ for the purposes of this partnership business or any part thereof, dealer or futures commission merchant rule if the proceeding is not in a federal (B) The handling of retail forex and each CPO, CTA or IB subject to this or state court or if the Commission is a transactions of such partnership, Part 5 shall submit to the Commission party. (C) The keeping of records pertaining copies of any dispositive or partially to retail forex transactions, or dispositive decision for which a notice § 5.20 Special calls for account and (D) The signing or co-signing of of appeal has been filed, the notice of transaction information. checks or drafts on behalf of such appeal and such further documents as (a) Preparation and transmission of partnership; the Commission may thereafter request information upon special call. All (iv) If the retail foreign exchange filed in any material legal proceeding to information required upon special call dealer or futures commission merchant which the retail foreign exchange shall be prepared in such form and is a corporation or association, an dealer, futures commission merchant, manner and in accordance with such officer, director or owner of ten percent CPO, CTA or IB is a party or to which instructions, and shall be transmitted at or more of the capital stock, of such its property or assets is subject with such time and to such office of the organization; respect to retail forex transactions. Commission, as may be specified in the (v) An employee of such retail foreign (b) Every retail foreign exchange call. exchange dealer or futures commission dealer or futures commission merchant (b) Special calls for information on merchant whose duties include: and each CPO, CTA or IB subject to this controlled accounts from retail foreign (A) The management of the business Part 5 shall submit to the Commission exchange dealers, futures commission of such retail foreign exchange dealer or copies of any dispositive or partially merchants and introducing brokers. futures commission merchant or any dispositive decision concerning which a Upon call by the Commission, each part thereof, notice of appeal has been filed, the retail foreign exchange dealer, futures (B) The handling of retail forex notice of appeal, and such further commission merchant and introducing transactions of such retail foreign documents as the Commission may broker shall file with the Commission exchange dealer or futures commission thereafter request filed in any material the names and addresses of all persons merchant, legal proceeding instituted against any who, by power of attorney or otherwise, (C) The keeping of records pertaining person who is a principal of the retail exercise trading control over any to retail forex transactions of such retail foreign exchange dealer, futures customer’s account in retail forex foreign exchange dealer or futures commission merchant CPO, CTA or IB transactions. commission merchant, or (as the term ‘‘principal’’ is defined in (c) Special calls for information on (D) The signing or co-signing of § 3.1(a) of this chapter) arising from open transactions in accounts carried or checks or drafts on behalf of such retail conduct in such person’s capacity as a introduced by retail foreign exchange foreign exchange dealer or futures principal of the retail foreign exchange dealers, futures commission merchants, commission merchant; dealer, futures commission merchant, and introducing brokers. Upon special (vi) A spouse or minor dependent CPO, CTA or IB and alleging violations, call by the Commission for information living in the same household of any of with regard to retail forex transactions, relating to retail forex transactions held the foregoing persons; of: or introduced on the dates specified in (vii) A business affiliate that directly (1) The Act or any rule, regulation, or the call, each retail foreign exchange or indirectly controls such retail foreign order thereunder; or dealer, futures commission merchant, or exchange dealer or futures commission (2) Provisions of state law relating to introducing broker shall furnish to the merchant; or a duty or obligation owed by such a Commission the following information (viii) A business affiliate that, directly principal. concerning accounts of traders owning or indirectly is controlled by or is under (c) All documents required by this or controlling such retail forex common control with, such retail section to be submitted to the transaction positions, as may be foreign exchange dealer or futures Commission shall be mailed via first- specified in the call: commission merchant. class or submitted by other more (1) The name, address, and telephone (j) Each retail forex counterparty shall expeditious means to the Commission’s number of the person for whom each designate one or more principals to headquarters office in Washington, DC, account is carried; serve as a chief compliance officer(s). Attention: Director, Division of (2) The principal business or The chief compliance officer(s) shall Enforcement. All documents required occupation of the person for whom each

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account is introduced or carried, as provides for the membership therein of futures commission merchant or specified in the call; such retail foreign exchange dealer. introducing broker must provide to the (3) The name, address and principal (b) Each person required to register as: retail forex customer the risk disclosure business or occupation of any person (1) An introducing broker, because the statements and forms of who controls the trading of each person solicits or accepts orders for acknowledgment required by Part 5 of account; retail forex transactions; this chapter and receive the required (4) The name and address of any (2) A commodity pool operator signed acknowledgments within sixty person having a financial interest of ten because the person operates, or solicits days of such assignments or transfers. percent or more in each account; funds, securities, or property for, a This requirement shall not apply: (5) The number of open retail forex pooled investment vehicle that engages (i) If the transferee retail foreign transaction positions introduced or in retail forex transactions; or exchange dealer, futures commission carried in each account, as specified in (3) A commodity trading advisor merchant or introducing broker has the call; and because the person exercises clear written evidence that the retail (6) The total number of retail forex discretionary trading authority, or forex customer has received and transactions against which delivery has obtains written authorization to exercise acknowledged receipt of the required been made. discretionary trading authority over, an disclosure statements; or (d) Delegation of authority to the account in connection with retail forex (ii) If the transfer of accounts is made Director of the Division of Clearing and transactions, must become and remain a from one introducing broker to another Intermediary Oversight and the Director member of at least one futures introducing broker guaranteed by the of the Division of Market Oversight. The association that is registered under same retail foreign exchange dealer or Commission hereby delegates, until the section 17 of the Act and that provides futures commission merchant pursuant Commission orders otherwise, to the for the membership therein of such to a guarantee agreement in accordance Director of the Division of Clearing and person. with the requirements of § 1.10(j) of this Intermediary Oversight and the Director chapter and such retail foreign exchange § 5.23 Notice of bulk transfers and bulk of the Division of Market Oversight, or liquidations. dealer or futures commission merchant to the respective Director’s designees, maintains the relevant (a) Notice and disclosure to retail the authority set forth in this section to acknowledgments required by Part 5 of forex customers of a bulk transfer. (1) A make special calls for information on this chapter. controlled accounts from retail foreign retail foreign exchange dealer, futures (b) Notice to the Commission. Each exchange dealers, futures commission commission merchant or introducing retail foreign exchange dealer, futures merchants and from introducing broker must obtain the written prior and commission merchant or introducing brokers, and to make special calls for specific consent of its retail forex broker shall file with the Commission information on open contracts in customer to the assignment of any prior notice of any transfer of accounts accounts carried or introduced by position or transfer of any account of the of any retail forex customer that is not futures commission merchants, retail forex customer to another retail initiated at the request of the customer, introducing brokers, and foreign foreign exchange dealer, futures where the transfer involves 50 percent brokers. Either Director may submit to commission merchant or introducing or more of the transferor’s total number the Commission for its consideration broker, unless made at the retail forex of retail forex customer accounts. any matter that has been delegated customer’s request. (c) Contents of notice to the (2) Absent a request of the retail forex pursuant to this section. Nothing in this Commission. The notice required by customer or the consent described in section shall be deemed to prohibit the paragraph (b) of this section shall paragraph (a)(1) of this section, Commission, at its election, from include: assignments of positions and transfers of exercising the authority delegated in (1) The name, principal business accounts of retail forex customers may this section to the Directors. address and telephone number of the be permitted under rules of the retail transferor futures retail foreign exchange § 5.21 Supervision. forex dealer’s, futures commission dealer, futures commission merchant or Each Commission registrant subject to merchant’s, or introducing broker’s introducing broker; this Part 5, except an associated person designated self-regulatory organization (2) The name, principal business who has no supervisory duties, must that establish notice and other address and telephone number of each diligently supervise the handling by its requirements with respect to the transferee retail foreign exchange dealer, partners, officers, employees and agents assignment of positions and transfers of futures commission merchant or (or persons occupying a similar status or accounts of retail forex customers. If introducing broker; performing a similar function) of all such rules permit implied consent as a (3) The designated self-regulatory retail forex accounts carried, operated, result of the failure of the retail forex organization for the transferor and advised or introduced by the registrant customer to object after having received transferee firms; and all other activities of its partners, notice of the proposed assignment or (4) A brief statement as to the reasons officers, employees and agents (or transfer, such rules must provide that for the transfer; persons occupying a similar status or the notice must include a statement that (5) A copy of any notices to customers performing a similar function) relating the retail forex customer is not required regarding the transfers; and to its business as a Commission to accept the proposed assignment or (6) A statement of the number of registrant. transfer and may direct the transferor accounts to be transferred. firm to liquidate the positions of the (d) Notice of the bulk liquidation of § 5.22 Registered futures association retail forex customer or transfer the retail forex transactions. A retail foreign membership. account to a firm of the retail forex exchange dealer or futures commission (a) Each person registered as a retail customer’s selection. merchant may not initiate the bulk foreign exchange dealer must become (3) For assignments and transfers liquidation of properly margined retail and remain a member of at least one made under this section, other than at forex transactions unless such futures association that is registered the retail forex customer’s request, the liquidation complies with the rules and under section 17 of the Act and that transferee retail foreign exchange dealer, procedures of the retail forex dealer’s or

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futures commission merchant’s 6c, 8(a)–(e), 8a and 12(f) of the Act shall (5) All functions reserved to the designated self-regulatory organization apply to retail forex transactions that are Commission in § 5.14 of this chapter. and the retail forex dealer or futures subject to the requirements of this part (b) The Director of the Division of commission merchant provides the as though such provisions were set forth Clearing and Intermediary Oversight Commission with prior written notice of herein and included specific references may submit any matter which has been the liquidation. to retail forex transactions and the delegated to him under paragraph (a) of (e) Contents of notice of bulk persons defined in § 5.1 of this part. this section to the Commission for its liquidation. The notice required by consideration. paragraph (d) of this section shall PART 10—RULES OF PRACTICE (c) Nothing in this section may include: prohibit the Commission, at its election, ■ 37. The authority citation for part 10 (1) The name, principal business from exercising the authority delegated continues to read as follows: address and telephone number of the to the Director of the Division of initiating retail foreign exchange dealer Authority: Pub. L. 93–463, sec. 101(a)(11), Clearing and Intermediary Oversight or futures commission merchant; 88 Stat. 1391; 7 U.S.C. 2a(12). under paragraph (a) of this section. (2) A brief statement of the reasons for ■ 38. Section 10.1 is amended by the liquidation; revising paragraph (a) to read as follows: PART 145—COMMISSION RECORDS AND INFORMATION (3) A copy of any notices to customers § 10.1 Scope and applicability of rules of regarding the liquidation; and practice. ■ (4) A statement of the number of 41. The authority citation for part 145 * * * * * continues to read as follows: accounts to be liquidated. (a) Denial, suspension, revocation, (f) Filing of notices. The notice Authority: Pub. L. 99–570, 100 Stat. 3207; conditioning, restricting or modifying of Pub. L. 89–554, 80 Stat. 383; Pub. L. 90–23, required by paragraph (b) and (d) of this registration as a futures commission section shall be filed five business days 81 Stat. 54; Pub. L. 98–502, 88 Stat. 1561– merchant, retail foreign exchange 1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93– prior to the transfer or liquidation of the dealer, introducing broker, or associated retail forex transaction with the Deputy 463, 88 Stat. 1389 (5 U.S.C. 4a(j)); unless person, floor broker, floor trader, otherwise noted. Director, Compliance and Registration commodity pool operator, commodity ■ 42. Section 145.5 is amended by Section, Division of Clearing and trading advisor or leverage transaction Intermediary Oversight, Commodity revising paragraphs (d)(1)(viii) and (h) merchant pursuant to sections 6(c), to read as follows: Futures Trading Commission, Three 8a(2), 8a(3), 8a(4) and 8a(11) of the Act, Lafayette Centre, 1155 21st Street, NW., 7 U.S.C. 9 and 15, 12a(2), 12a(3), 12a(4) § 145.5 Disclosure of nonpublic records. Washington, DC 20581; the National and 12(a)(11), or denial, suspension, or * * * * * Futures Association Attn: Vice revocation of designation as a contract (d) * * * President-Compliance; and the market pursuant to sections 6(a) and (1) * * * designated self-regulatory organization 6(b) of the Act, 7 U.S.C. 8; (viii) The following reports and for the transferor firm. * * * * * statements that are also set forth in (g) No effect on other obligations. The paragraph (h) of this section, except as requirements of this section shall not PART 140—ORGANIZATION, specified in 17 CFR 1.10(g)(2), 17 CFR affect the obligations of a retail foreign FUNCTIONS, AND PROCEDURES OF 31.13(m), or 17 CFR 5.12(h): Forms exchange dealer, futures commission THE COMMISSION 1–FR required to be filed pursuant to 17 merchant or introducing broker under CFR 1.10 or 17 CFR 5.12; FOCUS the rules of a self-regulatory ■ 39. The authority citation for part 140 reports that are filed in lieu of Forms organization or applicable customer continues to read as follows: 1–FR pursuant to 17 CFR 1.10(h); Forms account agreement with respect to Authority: 7 U.S.C. 2 and 12a. 2–FR required to be filed pursuant to 17 assignments of positions or transfers of ■ 40. Section 140.94 is added to read as CFR 31.13; the accountant’s report on accounts or liquidation of positions. follows: material inadequacies filed in (h) Corrective notice. If a proposed accordance with 17 CFR 1.16(c)(5); and transfer is not completed in accordance § 140.94 Delegation of authority to the all reports and statements required to be with the notice required to be filed by Director of the Division of Clearing and filed pursuant to 17 CFR 1.17(c)(6); paragraph (b) of this section, a Intermediary Oversight. * * * * * corrective notice shall be filed within (a) The Commission hereby delegates, until such time as the Commission (h) Contained in or related to five business days of the date such examinations, operating, or condition proposed transfer was to occur orders otherwise, the following functions to the Director of the Division reports prepared by, on behalf of, or for explaining why the proposed transfer the use of the Commission or any other was not completed. of Clearing and Intermediary Oversight and to such members of the agency responsible for the regulation or § 5.24 Applicability of other parts of this Commission’s staff acting under his supervision of financial institutions, chapter direction as he may designate from time including, but not limited to the Insofar as it is consistent with the to time: following reports and statements that requirements of this part, all other (1) All functions reserved to the are also set forth in paragraph (d)(1)(viii) provisions of this chapter that apply to Commission in § 5.7 of this chapter; of this section, except as specified in 17 a person shall apply to such person as (2) All functions reserved to the CFR 1.10(g)(2), 17 CFR 5.12(h) or 17 though such provisions were expressly Commission in § 5.10 of this chapter; CFR 31.13(m): Forms set forth in this part. (3) All functions reserved to the 1–FR required to be filed pursuant to 17 Commission in § 5.11 of this chapter; CFR 1.10 or 17 CFR 5.12; FOCUS § 5.25 Applicability of the Act. (4) All functions reserved to the reports that are filed in lieu of Forms 1– Except as otherwise specified in this Commission in § 5.12 of this chapter, FR pursuant to 17 CFR 1.10(h); Forms part and unless the context otherwise except for those relating to nonpublic 2–FR required to be filed pursuant to 17 requires, the provisions of Sections 4b, treatment of reports set forth in § 5.12(i) CFR 31.13; the accountant’s report on 4c(b), 4f, 4g, 4k, 4m, 4n, 4o, 6(c)–(e), 6b, of this chapter; and material inadequacies filed in

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accordance with 17 CFR 1.16(c)(5); and PART 160—PRIVACY OF CONSUMER (a) Affiliate of a futures commission all reports and statements required to be FINANCIAL INFORMATION merchant, retail foreign exchange filed pursuant to 17 CFR 1.17(c)(6); and dealer, commodity trading advisor, ■ * * * * * 45. The authority citation for part 160 commodity pool operator or introducing continues to read as follows: broker means any company that PART 147—OPEN COMMISSION Authority: 7 U.S.C. 7b–2 and 12a(5); 15 controls, is controlled by, or is under MEETINGS U.S.C. 6801, et seq. common control with a futures ■ 46. Section 160.1 is amended by commission merchant, retail foreign ■ 43. The authority citation for part 147 revising paragraph (b) to read as follows: exchange dealer, commodity trading continues to read as follows: advisor, commodity pool operator or § 160.1 Purpose and scope. introducing broker that is subject to the Authority: Sec. 3(a), Pub. L. 94–409, 90 jurisdiction of the Commission. In Stat. 1241 (5 U.S.C. 552b); sec. 101(a)(11), * * * * * Pub. L. 93–463, 88 Stat. 1391 (7 U.S.C. 4a(j) (b) Scope. This part applies only to addition, a futures commission (Supp. V, 1975)), unless otherwise noted. nonpublic personal information about merchant, retail foreign exchange individuals who obtain financial dealer, commodity trading advisor, ■ 44. Section 147.3 is amended by products or services primarily for commodity pool operator or introducing revising paragraphs (b)(4)(i)(H) and personal, family, or household purposes broker subject to the jurisdiction of the (b)(8) to read as follows: from the institutions listed below. This Commission will be deemed an affiliate § 147.3 General requirement of open part does not apply to information about of a company for purposes of this part meetings; grounds upon which meetings companies or about individuals who if: may be closed. obtain financial products or services * * * * * * * * * * primarily for business, commercial, or (2) Rules adopted by the Federal agricultural purposes. This part applies Trade Commission or another federal (b) * * * to all futures commission merchants, functional regulator under Title V of the (4) * * * retail foreign exchange dealers, GLB Act treat the futures commission (i) * * * commodity trading advisors, commodity merchant, retail foreign exchange pool operators and introducing brokers dealer, commodity trading advisor, (H) The following reports and that are subject to the jurisdiction of the commodity pool operator or introducing statements that are also set forth in Commission, regardless whether they broker as an affiliate of that company. paragraph (b)(8) of this section, except are required to register with the * * * * * as specified in 17 CFR 1.10(g)(2), 17 Commission. These entities are (k) * * * CFR 5.12, or 17 CFR 31.13(m): Forms 1– hereinafter referred to in this part as (2) * * * FR required to be filed pursuant to 17 ‘‘you.’’ This part does not apply to (i) * * * CFR 1.10, 17 CFR 5.12(h)(2), or 17 CFR foreign (non-resident) futures (B) You are a retail foreign exchange 31.13(m); FOCUS reports that are filed commission merchants, retail foreign dealer with whom a consumer has in lieu of Forms 1–FR pursuant to 17 exchange dealers, commodity trading opened an account, or that effects or CFR 1.10(h); Forms 2–FR required to be advisors, commodity pool operators and engages in retail forex transactions with filed pursuant to 17 CFR 31.13; the introducing brokers that are not or for a consumer, even if you do not accountant’s report on material registered with the Commission. hold any assets of the consumer; inadequacies filed in accordance with Nothing in this part modifies, limits or (C) You are an introducing broker that 17 CFR 1.16(c)(5); and all reports and supersedes the standards governing solicits or accepts specific orders for statements required to be filed pursuant individually identifiable health trades; to 17 CFR 1.17(c)(6); information promulgated by the (D) You are a commodity trading * * * * * Secretary of Health and Human Services advisor with whom a consumer has a contract or subscription, either written (8) Disclose information contained in under the authority of sections 262 and 264 of the Health Insurance Portability or oral, regardless of whether the advice or related to examination, operating, or is standardized, or is based on, or and Accountability Act of 1996, 42 condition reports prepared by, on behalf tailored to, the commodity interest or of, or for the use of the Commission or U.S.C. 1320d—1320d–8. 47. Section 160.3 is amended by: cash market positions or other any other agency responsible for the circumstances or characteristics of the regulation or supervision of financial ■ a. Revising paragraph (a) introductory text and paragraph (a)(2); particular consumer; institutions, including, but not limited (E) You are a commodity pool to the following reports and statements ■ b. Redesignating paragraphs (k)(2)(i)(B) through (F) as paragraphs operator, and you accept or receive from that are also set forth in paragraph the consumer, funds, securities, or (b)(4)(i)(H) of this section, except as (k)(2)(i)(C) through (G) and republishing them, and adding new paragraph property for the purpose of purchasing specified in 17 CFR 1.10(g)(2), 17 CFR an interest in a commodity pool; 5.12, or 17 CFR 31.13(m): Forms 1–FR (k)(2)(i)(B); ■ c. Revising paragraphs (n)(1)(i) and (F) You hold securities or other assets required to be filed pursuant to 17 CFR as collateral for a loan made to the 1.10, 17 CFR 5.12(h)(2), or 17 CFR (n)(2)(i); ■ consumer, even if you did not make the 31.12(m); FOCUS reports that are filed d. Revising paragraph (o)(1)(i); ■ e. Revising paragraph (u)(2)(i)(A); loan or do not effect any transactions on in lieu of Forms 1–FR pursuant to 17 ■ f. Redesignating paragraphs (w)(2) behalf of the consumer; or CFR 1.10(h); Forms 2–FR required to be through (4) as paragraphs (w)(3) through (G) You regularly effect or engage in filed pursuant to 17 CFR 31.13; the (5) and adding new paragraph (w)(2); commodity interest transactions with or accountant’s report on material and for a consumer even if you do not hold inadequacies filed in accordance with ■ g. Adding new paragraph (x) to read any assets of the consumer. 17 CFR 1.16(c)(5); and all reports and as follows: * * * * * statements required to be filed pursuant (n)(1) * * * to 17 CFR 1.17(c)(6); § 160.3 Definitions. (i) Any futures commission merchant, * * * * * * * * * * retail foreign exchange dealer,

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commodity trading advisor, commodity § 160.30 Procedures to safeguard foreign futures or foreign options pool operator or introducing broker that customer records and information. without the customer’s specific is registered with the Commission as Every futures commission merchant, authorization, such authorization must such or is otherwise subject to the retail foreign exchange dealer, be expressly documented. Commission’s jurisdiction; and commodity trading advisor, commodity ■ 52. Section 166.5 is amended by: * * * * * pool operator and introducing broker ■ subject to the jurisdiction of the a. Removing paragraph (a)(1)(iv), (2) * * * redesignating paragraphs (a)(1)(i) (i) Any person or entity, other than a Commission must adopt policies and through (a)(1)(iii) as paragraphs futures commission merchant, retail procedures that address administrative, (a)(1)(i)(A) through (a)(1)(i)(C), and foreign exchange dealer, commodity technical and physical safeguards for trading advisor, commodity pool the protection of customer records and adding new paragraph (a)(1)(ii); ■ b. Revising paragraphs (a)(2) and operator or introducing broker that, with information. These policies and (a)(3); respect to any financial activity, is procedures must be reasonably designed ■ c. Revising paragraphs (c)(5)(i)(A) and subject to the jurisdiction of the to: (c)(5)(i)(C) to read as follows: Commission under the Act. * * * * * * * * * * § 166.5 Dispute settlement procedures. (o)(1) * * * PART 166—CUSTOMER PROTECTION (a) * * * (1) * * * (i) Any product or service that a RULES (ii) Arises out of any retail forex futures commission merchant, retail ■ transaction (as defined in § 5.1(m) of foreign exchange dealer, commodity 50. The authority citation for part 166 this chapter). trading advisor, commodity pool continues to read as follows: (2) The term customer as used in this operator, or introducing broker could Authority: 7 U.S.C. 1a, 2, 6b, 6c, 6d, 6g, section includes an option customer (as offer that is subject to the Commission’s 6h, 6k, 6l, 6o, 7, 12a and 23, as amended by defined in § 1.3(jj) of this chapter), a jurisdiction; and the Commodity Futures Modernization Act of retail forex customer (as defined in * * * * * 2000, Appendix E of Pub. L. 106–554, 114 § 5.1(k) of this chapter) and any person Stat. 2763 (2000). (u) * * * for or on behalf of whom a member of ■ (2) * * * 51. Section 166.2 is revised to read as a designated contract market, or a (i) * * * follows: participant transacting on or through (A) Information a consumer provides such designated contract market, effects to you on an application to open a § 166.2 Authorization to trade. No futures commission merchant, a transaction on such contract market, commodity interest trading account, to except another member of or participant invest in a commodity pool, or to obtain retail foreign exchange dealer, introducing broker or any of their in such designated contract market; another financial product or service; Provided, however, a person who is an * * * * * associated persons may directly or indirectly effect a transaction in a ‘‘eligible contract participant’’ as defined (w) * * * in section 1a(12) of the Act shall not be (2) Any retail foreign exchange dealer; commodity interest for the account of any customer unless before the deemed to be a customer within the * * * * * meaning of this section. (x) Retail foreign exchange dealer has transaction the customer, or person designated by the customer to control (3) The term Commission registrant as the same meaning as in § 5.3(i)(1) of this used in this section means a person chapter. the account: (a) With respect to any commodity registered under the Act as a futures ■ 48. Section 160.4 is amended by: commission merchant, retail foreign ■ interest as defined in § 1.3(yy)(1) a. Revising paragraph (c)(2)(ii); and exchange dealer, introducing broker, ■ through (3) of this chapter, specifically b. Revising paragraph (e)(1)(iv) to read floor broker, commodity pool operator, as follows: authorized the futures commission merchant, retail foreign exchange commodity trading advisor, or § 160.4 Initial privacy notice to consumers dealer, introducing broker or any of associated person. required. their associated persons to effect the * * * * * * * * * * transaction (a transaction is ‘‘specifically (c) * * * (c) * * * authorized’’ if the customer or person (5) * * * (2) * * * designated by the customer to control (i) * * * (ii) Opens a retail forex account, or the account specifies— (A) The designated contract market, if opens a commodity interest account (1) The precise commodity interest to applicable and if available, upon which through an introducing broker or with a be purchased or sold; and the transaction giving rise to the dispute futures commission merchant that clears (2) The exact amount of the was executed or could have been transactions for its customers through commodity interest to be purchased or executed; you on a fully-disclosed basis; sold); or * * * * * * * * * * (b) With respect to any commodity (C) At least one other organization (e) * * * interest as defined in § 1.3(yy)(1) or (2) that will provide the customer with the (1) * * * of this chapter, authorized in writing the opportunity to select the location of the (iv) You have established a customer futures commission merchant, arbitration proceeding from among relationship with a customer in a bulk introducing broker or any of their several major cities in diverse transfer in accordance with § 1.65, if associated persons to effect transactions geographic regions and that will provide you are a transferee futures commission in commodity interests for the account the customer with the choice of a panel merchant, retail foreign exchange dealer without the customer’s specific or other decision-maker composed of at or introducing broker. authorization; Provided, however, That least one or more persons, of which at * * * * * if any such futures commission least a majority are not members or ■ 49. Section 160.30 is amended by merchant, introducing broker or any of associated with a member of the revising the introductory text to read as their associated persons is also designated contract market, if follows: authorized to effect transactions in applicable, or employee thereof, and

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that are not otherwise associated with a registered futures association unless a Issued in Washington, DC, on August 26, the designated contract market (mixed registered futures association has been 2010, by the Commission. panel), if applicable: Provided, however, authorized to act as a decision-maker in David A. Stawick, that the list of qualified organizations such matters. Secretary of the Commission. provided by a Commission registrant * * * * * [FR Doc. 2010–21729 Filed 9–9–10; 8:45 am] that is a floor broker need not include BILLING CODE 6351–01–P

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Reader Aids Federal Register Vol. 75, No. 175 Friday, September 10, 2010

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING SEPTEMBER

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 15 CFR Presidential Documents 3 CFR 730...... 53864 Executive orders and proclamations 741–6000 Proclamations: 732...... 53864 The United States Government Manual 741–6000 8549...... 53563 734...... 53864, 54271 8550...... 54449 Other Services 736...... 53864 8551...... 54451 738...... 53864 Electronic and on-line services (voice) 741–6020 8552...... 54453 740...... 53864 Privacy Act Compilation 741–6064 8553...... 54455 742...... 53864, 54271 Public Laws Update Service (numbers, dates, etc.) 741–6043 8554...... 54757 743...... 53864, 54271 TTY for the deaf-and-hard-of-hearing 741–6086 8555...... 55253 744...... 53864, 54271 Executive Orders: 746...... 53864 13551...... 53837 ELECTRONIC RESEARCH 747...... 53864 13552...... 54263 World Wide Web 748...... 53864 Administrative Orders: 750...... 53864 Full text of the daily Federal Register, CFR and other publications Presidential 752...... 53864 is located at: http://www.gpoaccess.gov/nara/index.html Determinations: 754...... 53864 Federal Register information and research tools, including Public No. 2010-13 of 756...... 53864 Inspection List, indexes, and links to GPO Access are located at: September 2, 758...... 53864 http://www.archives.gov/federallregister 2010 ...... 54459 760...... 53864 762...... 53864 E-mail 6 CFR 764...... 53864 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Proposed Rules: 766...... 53864 an open e-mail service that provides subscribers with a digital 5...... 54528, 55290 768...... 53864 form of the Federal Register Table of Contents. The digital form 770...... 53864 7 CFR of the Federal Register Table of Contents includes HTML and 772...... 53864, 54271 PDF links to the full text of each document. 6...... 53565 774...... 53864, 54271 To join or leave, go to http://listserv.access.gpo.gov and select 301...... 54461 922...... 53567 Online mailing list archives, FEDREGTOC-L, Join or leave the list 761...... 54005 Proposed Rules: (or change settings); then follow the instructions. 762...... 54005 742...... 54540 764...... 54005 744...... 54540 PENS (Public Law Electronic Notification Service) is an e-mail 765...... 54005 service that notifies subscribers of recently enacted laws. 746...... 54540 766...... 54005 806...... 53611 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 1250...... 55255 and select Join or leave the list (or change settings); then follow 3430...... 54759 16 CFR the instructions. Proposed Rules: 310...... 55269 FEDREGTOC-L and PENS are mailing lists only. We cannot 253...... 54530 respond to specific inquiries. 1250...... 55292 17 CFR 1...... 55410 Reference questions. Send questions and comments about the 10 CFR Federal Register system to: [email protected] 3...... 55410 Proposed Rules: 4...... 55410 The Federal Register staff cannot interpret specific documents or 430...... 54048 5...... 55410 regulations. 431...... 55068 10...... 55410 Reminders. Effective January 1, 2009, the Reminders, including 140...... 55410 Rules Going Into Effect and Comments Due Next Week, no longer 11 CFR 145...... 55410 appear in the Reader Aids section of the Federal Register. This 100...... 55257 147...... 55410 information can be found online at http://www.regulations.gov. 160...... 55410 12 CFR CFR Checklist. Effective January 1, 2009, the CFR Checklist no 166...... 55410 longer appears in the Federal Register. This information can be 740...... 53841 200...... 54464 found online at http://bookstore.gpo.gov/. 745...... 53841 240...... 54465 Proposed Rules: 249...... 54465 1101...... 54052 Proposed Rules: FEDERAL REGISTER PAGES AND DATE, SEPTEMBER 4...... 54794 14 CFR 53563–53840...... 1 16...... 54801, 54802 Ch. II ...... 55295 53841–54004...... 2 39 ...... 53843, 53846, 53849, 53851, 53855, 53857, 53859, 232...... 54059 54005–54270...... 3 53861, 54462 54271–54460...... 7 71...... 55267 18 CFR 54461–54758...... 8 73...... 53863 Proposed Rules: 54759–55254...... 9 97...... 54766, 54769 35...... 54063 55255–55452...... 10 Proposed Rules: 39...... 53609, 54536 20 CFR 71 ...... 53876, 54057, 54058 416...... 54285

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641...... 53786 54771 228...... 54497 227...... 54527 127...... 54025 300...... 54779 237...... 54524 21 CFR 154...... 54025 Proposed Rules: 252...... 54527 510...... 54016, 54017 155...... 54025, 54026 51...... 53613 Proposed Rules: 165 ...... 53572, 53574, 53870, 520...... 54018, 54492 52 ...... 53613, 53883, 53892, 53...... 54560 524...... 54492 54026, 54771, 55270, 55272 53907, 54292, 54805, 54806 522...... 54017, 54018 Proposed Rules: 60...... 53908 558...... 54019 117...... 54069 72...... 53613 49 CFR 870...... 54493 78...... 53613 107...... 53593 36 CFR 1310...... 53867 97...... 53613 171...... 53593 24 CFR Proposed Rules: 140...... 53914 172...... 53593 294...... 54542 300...... 54821 Ch. II ...... 54020 173...... 53593 1192...... 54543 176...... 53593 1253...... 54543 42 CFR 25 CFR 177...... 53593 1254...... 54543 Proposed Rules: 179...... 53593 542...... 55269 1280...... 54543 447...... 54073 543...... 55269 180...... 53593 38 CFR 44 CFR 544...... 54041 26 CFR 3...... 54496 64...... 55280 Proposed Rules: 17...... 54028, 54496 50 CFR 1...... 54541, 54802 Proposed Rules: 31...... 54541 Proposed Rules: 61...... 54076 17...... 53598 5...... 53744 20...... 53774 27 CFR 76...... 54069 45 CFR 635...... 53871 Ch. XXV...... 54789 Proposed Rules: 39 CFR 648 ...... 53871, 54290, 55286 9...... 53877 660...... 54791 111...... 54287 47 CFR 29 CFR 20...... 54508 665...... 53606, 54044 40 CFR 64...... 54040 679 ...... 53606, 53608, 53873, Proposed Rules: 53874, 53875, 54290, 54792, 1908...... 54064 52 ...... 54031, 54773, 54778, 300...... 54790 55288 2570...... 54542 55271 Proposed Rules: 55...... 55277 Ch. 1 ...... 55297 Proposed Rules: 30 CFR 60...... 54970, 55271 20...... 54546 17 ...... 53615, 54561, 54708, Proposed Rules: 61...... 55271 54822 Chap. I ...... 54804 63...... 54970 48 CFR 23...... 54579 81...... 54031, 54497 207...... 54524 223...... 53925 33 CFR 180 ...... 53577, 53581, 53586, 211...... 54524 300...... 54078 117 ...... 54023, 54024, 54770, 54033 217...... 54526 648...... 53939, 54292

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www.gpoaccess.gov/plaws/ the Elbert P. Tuttle United (Aug. 16, 2010; 124 Stat. index.html. Some laws may States Court of Appeals 2497) LIST OF PUBLIC LAWS not yet be available. Building in Atlanta, Georgia, as the ‘‘John C. Godbold Last List August 16, 2010 This is a continuing list of H.R. 511/P.L. 111–231 Federal Building’’. (Aug. 16, public bills from the current To authorize the Secretary of 2010; 124 Stat. 2494) session of Congress which Agriculture to terminate certain H.R. 5278/P.L. 111–235 have become Federal laws. It easements held by the Public Laws Electronic may be used in conjunction Secretary on land owned by To designate the facility of the Notification Service with ‘‘P L U S’’ (Public Laws the Village of Caseyville, United States Postal Service Update Service) on 202–741– Illinois, and to terminate located at 405 West Second (PENS) 6043. This list is also associated contractual Street in Dixon, Illinois, as the available online at http:// arrangements with the Village. ‘‘President Ronald W. Reagan www.archives.gov/federal- (Aug. 16, 2010; 124 Stat. Post Office Building’’. (Aug. PENS is a free electronic mail register/laws.html. 2489) 16, 2010; 124 Stat. 2495) notification service of newly H.R. 2097/P.L. 111–232 The text of laws is not H.R. 5395/P.L. 111–236 enacted public laws. To Star-Spangled Banner subscribe, go to http:// published in the Federal To designate the facility of the Commemorative Coin Act listserv.gsa.gov/archives/ Register but may be ordered United States Postal Service (Aug. 16, 2010; 124 Stat. publaws-l.html in ‘‘slip law’’ (individual located at 151 North Maitland pamphlet) form from the 2490) H.R. 3509/P.L. 111–233 Avenue in Maitland, Florida, Superintendent of Documents, as the ‘‘Paula Hawkins Post Note: This service is strictly Agricultural Credit Act of 2010 U.S. Government Printing Office Building’’. (Aug. 16, for E-mail notification of new (Aug. 16, 2010; 124 Stat. Office, Washington, DC 20402 2010; 124 Stat. 2496) laws. The text of laws is not (phone, 202–512–1808). The 2493) available through this service. text will also be made H.R. 4275/P.L. 111–234 H.R. 5552/P.L. 111–237 PENS cannot respond to available on the Internet from To designate the annex Firearms Excise Tax specific inquiries sent to this GPO Access at http:// building under construction for Improvement Act of 2010 address.

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