Vol. 82 Wednesday, No. 171 September 6, 2017

Pages 42021–42232

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 82, No. 171

Wednesday, September 6, 2017

Agriculture Department Election Assistance Commission See Food Safety and Inspection Service NOTICES Agency Information Collection Activities; Proposals, Alcohol, Tobacco, Firearms, and Explosives Bureau Submissions, and Approvals: NOTICES 2018 Election Administration and Voting Survey, 42084– Agency Information Collection Activities; Proposals, 42086 Submissions, and Approvals: Environmental Information, 42116–42117 Energy Department Bureau of Consumer Financial Protection See Federal Energy Regulatory Commission NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 42082 Environmental Protection Agency RULES Centers for Disease Control and Prevention Air Quality State Implementation Plans; Approvals and NOTICES Promulgations: Agency Information Collection Activities; Proposals, Nevada; Regional Haze Progress Report; Correction, Submissions, and Approvals, 42096–42098 42040–42041 New Hampshire; Rules for Open Burning and Civil Rights Commission Incinerators, 42037–42040 NOTICES PROPOSED RULES Meetings: Air Quality State Implementation Plans; Approvals and Minnesota Advisory Committee, 42072 Promulgations: Coast Guard New Hampshire; Rules for Open Burning and RULES Incinerators, 42054 Drawbridge Operations: North Carolina; Open Burning and Miscellaneous Newtown Creek, New York, NY, 42032 Revisions, 42055 Safety Zones: NOTICES Upper Mississippi River, St. Louis, MO, 42033–42036 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Special Local Regulations: Application for Reference and Equivalent Method Atlantic Ocean, Ft. Lauderdale, FL, 42050–42052 Determination, 42093–42094 Certain New Chemicals: Commerce Department Receipt and Status Information for May 2017, 42088– See International Trade Administration 42093 See National Oceanic and Atmospheric Administration Meetings: Science Advisory Board Chemical Assessment Advisory Defense Department Committee, 42095–42096 See Navy Department Pesticides: Drug Enforcement Administration Draft Guidance for Pesticide Registrants on Notifications, NOTICES Non-Notifications and Minor Formulation Decisions and Orders: Amendments, 42094–42095 Marcus W. Anderson, M.D., 42117–42119 Proposed CERCLA Administrative Settlement Agreements: Importers of Controlled Substances; Applications: RBF Frozen Desserts Superfund Site, West Hartford, CT, Fisher Clinical Services, Inc., 42121 42088 KVK-Tech, Inc., 42119–42120 Receipt of Information: Mylan Pharmaceuticals, Inc., 42120–42121 Toxic Substances Control Act, 42087–42088 Siegfried USA, LLC, 42117 Requests for Nominations: Spex Certiprep Group, LLC, 42120 Augmented Science Advisory Committee on Chemicals, Manufacturers of Controlled Substances; Applications: 42094 Stepan Co., 42119 Education Department Federal Aviation Administration NOTICES RULES Agency Information Collection Activities; Proposals, Airworthiness Directives: Submissions, and Approvals: Diamond Aircraft Industries GmbH Airplanes, 42029– Study of Weighted Student Funding and School-Based 42031 Systems (Study Instruments), 42083–42084 Embraer S.A. Airplanes, 42021–42024 Inviting Publishers to Submit Tests: Viking Air Limited (Type Certificate Previously Held by Determination of Suitability for Use in the National Bombardier, Inc.; Canadair Limited) Airplanes, Reporting System for Adult Education, 42082–42083 42024–42029

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PROPOSED RULES Food Safety and Inspection Service Airworthiness Criteria: NOTICES Glider Design Criteria for Alexander Schleicher GmbH Guidance: and Co. Models ASG 32 and ASG 32 Mi Gliders, Minimizing the Risk of Shiga Toxin-Producing 42049–42050 Escherichia coli and Salmonella in Raw Beef NOTICES (including Veal) Processing Operations, 42059–42061 Environmental Assessments; Availability, etc.: International Standard-Setting Activities, 42061–42072 Modification to Previously Published Notice of Intent, Request for Comments: 42221 Public Health Information System Export Component Waiver of Aeronautical Land-Use Assurance, 42221–42222 Country Implementation, 42056–42059

Federal Communications Commission Foreign Claims Settlement Commission RULES NOTICES Radio Broadcasting Services; Various Locations, 42041– Meetings; Sunshine Act, 42121 42043 Health and Human Services Department Federal Energy Regulatory Commission See Centers for Disease Control and Prevention NOTICES See Food and Drug Administration Combined Filings, 42086–42087 See National Institutes of Health

Federal Highway Administration Homeland Security Department See Coast Guard NOTICES Federal Agency Actions: See U.S. Immigration and Customs Enforcement Alaska; Proposed Highway, 42222–42223 Housing and Urban Development Department NOTICES Federal Motor Carrier Safety Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Qualification of Drivers; Exemption Applications: Grant Drawdown Payment Request/LOCCS/VRS Voice Diabetes, 42223–42225 Activated, 42109–42110 Public Housing Annual Contributions Contract and Fish and Wildlife Service Inventory Removal Application, 42106–42109 RULES Public Housing Financial Management Template, 42105– Endangered and Threatened Species: 42106 Tonkin Snub-Nosed Monkey; Technical Correction, Requirements for Designating Housing Projects, 42109 42043–42044 Indian Affairs Bureau Food and Drug Administration NOTICES RULES HEARTH Act: Guidance: Approval of Stillaguamish Tribe of Indians’ Leasing Standards for the Growing, Harvesting, Packing, and Regulations, 42111–42112 Holding of Produce for Human Consumption: What Approval of the Osage Nation Regulations, 42112–42113 You Need to Know About the Food and Drug Proclaiming Certain Lands as Reservations: Administration Regulation, 42031–42032 The Lac Courte Oreilles Band of Lake Superior Chippewa NOTICES Indians of Wisconsin, 42110–42111 Determinations that Products Were Not Withdrawn from Sale for Reasons of Safety or Effectiveness: Interior Department GYNOREST (Dydrogesterone) Oral Tablets, 5 Milligrams See Fish and Wildlife Service and 10 Milligrams, 42101 See Indian Affairs Bureau RITALIN LA (Methylphenidate Hydrochloride) Extended- Release Capsules, 60 Milligrams, 42103–42104 Internal Revenue Service Guidance: NOTICES Design Considerations and Premarket Submission Agency Information Collection Activities; Proposals, Recommendations for Interoperable Medical Devices, Submissions, and Approvals: 42101–42103 Sale of Residence From Qualified Personal Residence Meetings: Trust, 42226 Development of a List of Pre-Dietary Supplement Health Members of Senior Executive Service Performance Review and Education Act Dietary Ingredients, 42098–42100 Boards, 42227–42228 Food and Drug Administration, Center for Drug Evaluation and Research Rare Diseases Public International Trade Administration Workshop: Strategies, Tools, and Best Practices for NOTICES Effective Advocacy in Rare Diseases Drug Agency Information Collection Activities; Proposals, Development, 42100 Submissions, and Approvals: Withdrawal of Approval of Three New Drug Applications Steel Import License, 42074 and One Abbreviated New Drug Application; Antidumping or Countervailing Duty Investigations, Orders, Correction: or Reviews: B. Braun Medical, Inc., 42098 Advance Notification of Sunset Reviews, 42078–42079

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Certain Cut-to-Length Carbon-Quality Steel Plate Products National Science Foundation from the Republic of Korea; Final Results of NOTICES Administrative Review, 2015–2016, 42075–42076 Applications: Initiation of Five-Year Sunset Reviews, 42073–42074 Antarctic Conservation Act Permit, 42125 Light-Walled Rectangular Pipe and Tube from Mexico: Preliminary Results of Administrative Review, 2015– Navy Department 2016, 42076–42078 NOTICES Charter Renewals: Government-Owned Inventions; Available for Licensing, United States Travel and Tourism Advisory Board, 42082 42072–42073 Nuclear Regulatory Commission International Trade Commission NOTICES NOTICES Guidance: Complaints: Clarification of Compensatory Measure Requirements for Certain Synthetically Produced, Predominantly EPA Physical Protection Program Deficiencies, 42126– Omega-3 Products in Ethyl Ester or Re-esterified 42127 Triglyceride Form, 42114–42115 License Applications: Investigations; Determinations, Modifications, and Rulings, Entergy Operations, Inc., River Bend Station, Unit 1, etc.: 42126 Cast Iron Soil Pipe Fittings from China, 42113–42114 Meetings; Sunshine Act, 42125 Certain Microfluidic Devices; Institution of Investigation, 42115–42116 Postal Service NOTICES Meetings; Sunshine Act, 42127 Justice Department Product Changes: See Alcohol, Tobacco, Firearms, and Explosives Bureau Priority Mail Negotiated Service Agreement, 42127 See Drug Enforcement Administration See Foreign Claims Settlement Commission Presidential Documents NOTICES PROCLAMATIONS Agency Information Collection Activities; Proposals, Special Observances: Submissions, and Approvals, 42121–42125 National Alcohol and Drug Addiction Recovery Month (Proc. 9633), 42229–42232 National Highway Traffic Safety Administration NOTICES Securities and Exchange Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 42225–42226 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 42167–42168, 42180– 42181, 42194–42195, 42205–42206 National Institutes of Health Applications: NOTICES SL Advisors, LLC, et al., 42201–42203 Meetings: Meetings; Sunshine Act, 42199–42200 National Cancer Institute, 42104 Self-Regulatory Organizations; Proposed Rule Changes: National Institute of Diabetes and Digestive and Kidney Bats BYX Exchange Inc.; Bats BZX Exchange, Inc.; Bats Diseases, 42104–42105 EDGA Exchange, Inc.; et al., 42143–42146 National Institute on Aging, 42104 Bats BYX Exchange, Inc., 42127–42141 Bats BZX Exchange, Inc., 42181–42194 National Oceanic and Atmospheric Administration Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX RULES Options Exchange, LLC; et al., 42168–42180 Authorization of Revised Reporting Requirements Due to Bats EDGA Exchange, Inc., 42206–42219 Catastrophic Conditions for Federal Seafood Dealers in Bats EDGX Exchange, Inc., 42153–42167 Texas and Portions of Louisiana, 42044–42046 BOX Options Exchange, LLC, 42195–42201 Fisheries of Exclusive Economic Zone Off Alaska: Investors Exchange, LLC, 42141–42143 Atka Mackerel in Bering Sea and Aleutian Islands NASDAQ PHLX, LLC, 42203–42205 Management Area, 42047 NYSE Arca, Inc., 42147–42153 Pacific Cod by Catcher/Processors using Trawl Gear in Central Regulatory Area of Gulf of Alaska, 42046 Small Business Administration Pacific Cod in Bering Sea and Aleutian Islands NOTICES Management Area, 42047–42048 Disaster Declarations: NOTICES Texas, 42220 Meetings: Major Disaster Declarations: Columbia Basin Partnership Task Force of the Marine Texas, 42220 Fisheries Advisory Committee, 42081 Gulf of Mexico Fishery Management Council, 42080– State Department 42081 NOTICES Mid-Atlantic Fishery Management Council, 42079 Culturally Significant Objects Imported for Exhibition: Western Pacific Fishery Management Council, 42079– Giovanni Bellini—Landscapes of Faith in Renaissance 42080 Venice, 42220–42221

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Transportation Department See Federal Aviation Administration See Federal Highway Administration See Federal Motor Carrier Safety Administration Separate Parts In This Issue See National Highway Traffic Safety Administration Treasury Department Part II See Internal Revenue Service Presidential Documents, 42229–42232 U.S. Immigration and Customs Enforcement NOTICES Agency Information Collection Activities; Proposals, Reader Aids Submissions, and Approvals: Consult the Reader Aids section at the end of this issue for Immigration Bond, 42105 phone numbers, online resources, finding aids, and notice of recently enacted public laws. Veterans Affairs Department PROPOSED RULES To subscribe to the Federal Register Table of Contents Electronic Submission of Certain Servicemembers’ Group electronic mailing list, go to https://public.govdelivery.com/ Life Insurance, Family Servicemembers’ Group Life accounts/USGPOOFR/subscriber/new, enter your e-mail Insurance, and Veterans’ Group Life Insurance Forms, address, then follow the instructions to join, leave, or 42052–42054 manage your subscription.

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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.

3 CFR Proclamations: 9633...... 42231 14 CFR 39 (3 documents) ...... 42021, 42024, 42029 Proposed Rules: 21...... 42049 21 CFR 112...... 42031 33 CFR 117...... 42032 165 (2 documents) ...... 42033, 42035 Proposed Rules: 100...... 42050 38 CFR Proposed Rules: 9...... 42052 40 CFR 52 (2 documents) ...... 42037, 42040 Proposed Rules: 52 (2 documents) ...... 42054, 42055 47 CFR 73...... 42041 50 CFR 17...... 42043 622...... 42044 679 (3 documents) ...... 42046, 42047

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Rules and Regulations Federal Register Vol. 82, No. 171

Wednesday, September 6, 2017

This section of the FEDERAL REGISTER Embraer S.A., Technical Publications Register on February 3, 2014 (79 FR contains regulatory documents having general Section (PC 060), Av. Brigadeiro Faria 6106) (‘‘the NPRM’’). The NPRM was applicability and legal effect, most of which Lima, 2170—Putim—12227–901 Sa˜o prompted by our determination that are keyed to and codified in the Code of Jose dos Campos—SP—BRASIL; more restrictive maintenance Federal Regulations, which is published under telephone +55 12 3927–5852 or +55 12 requirements and airworthiness 50 titles pursuant to 44 U.S.C. 1510. 3309–0732; fax +55 12 3927–7546; limitations are necessary. The NPRM The Code of Federal Regulations is sold by email [email protected]; Internet proposed to require revising the the Superintendent of Documents. http://www.flyembraer.com. You may maintenance or inspection program to view this referenced service information incorporate modifications in the at the FAA, Transport Standards airworthiness limitations specified in DEPARTMENT OF TRANSPORTATION Branch, 1601 Lind Avenue SW., Renton, the Embraer S.A. ERJ 190/195 MRBR to WA. For information on the availability include new inspection tasks and their Federal Aviation Administration of this material at the FAA, call 425– respective thresholds and intervals. The 227–1221. It is also available on the SNPRM proposed to revise the NPRM 14 CFR Part 39 Internet at http://www.regulations.gov by adding a requirement to revise the [Docket No. FAA–2014–0008; Product by searching for and locating Docket No. maintenance or inspection program, as Identifier 2013–NM–076–AD; Amendment FAA–2014–0008. applicable, to incorporate new 39–18985; AD 2017–16–08] airworthiness limitations and by adding Examining the AD Docket RIN 2120–AA64 certain airplanes to the applicability. You may examine the AD docket on We are issuing this AD to detect and Airworthiness Directives; Embraer S.A. the Internet at http:// correct fatigue cracking of structural Airplanes www.regulations.gov by searching for components, which could result in and locating Docket No. FAA–2014– reduced structural integrity of the AGENCY: Federal Aviation 0008; or in person at the Docket airplane. Administration (FAA), Department of Management Facility between 9 a.m. The Ageˆncia Nacional de Aviac¸a˜o Transportation (DOT). and 5 p.m., Monday through Friday, ACTION: Final rule. Civil (ANAC), which is the aviation except Federal holidays. The AD docket authority for Brazil, has issued Brazilian SUMMARY: We are superseding contains this AD, the regulatory Airworthiness Directive 2016–04–01, Airworthiness Directive (AD) 2012–23– evaluation, any comments received, and effective April 4, 2016 (referred to after 09, which applied to all Embraer S.A. other information. The address for the this as the Mandatory Continuing Model ERJ 190–100 STD, –100 LR, and Docket Office (telephone 800–647–5527) Airworthiness Information, or ‘‘the –100 IGW airplanes; and Model ERJ is Docket Management Facility, U.S. MCAI’’), to correct an unsafe condition 190–200 STD, –200 LR, and –200 IGW Department of Transportation, Docket on certain Embraer S.A. Model ERJ 190– airplanes. AD 2012–23–09 required Operations, M–30, West Building 100 STD, –100 LR, –100 IGW, and –100 revising the maintenance program to Ground Floor, Room W12–140, 1200 ECJ airplanes; and Model ERJ 190–200 incorporate certain modifications in New Jersey Avenue SE., Washington, STD, –200 LR, and –200 IGW airplanes. airworthiness limitations. This new AD DC 20590. The MCAI states: requires revising the maintenance or FOR FURTHER INFORMATION CONTACT: Ana Martinez Hueto, Aerospace Engineer, This [Brazilian] AD was prompted by a inspection program to incorporate determination that existing maintenance certain modifications in the International Section, Transport requirements and airworthiness limitations airworthiness limitations to include Standards Branch, FAA, 1601 Lind are inadequate to ensure the structural new inspection tasks and their Avenue SW., Renton, WA 98057–3356; integrity of the airplane. We are issuing this respective thresholds and intervals. This telephone 425–227–1622; fax 425–227– [Brazilian] AD to prevent failure of certain AD was prompted by our determination 1320. system components, which could result in that more restrictive maintenance SUPPLEMENTARY INFORMATION: reduced structural integrity of the airplane. requirements and airworthiness The required action is revising the limitations are necessary. We are issuing Discussion maintenance or inspection program, as this AD to address the unsafe condition We issued a supplemental notice of applicable, to incorporate the on these products. proposed rulemaking (SNPRM) to airworthiness limitations. DATES: This AD is effective October 11, amend 14 CFR part 39 to supersede AD 2017. 2012–23–09, Amendment 39–17265 (77 You may examine the MCAI in the The Director of the Federal Register FR 73270, December 10, 2012) (‘‘AD AD docket on the Internet at http:// approved the incorporation by reference 2012–23–09’’). AD 2012–23–09 applied www.regulations.gov by searching for of certain publications listed in this AD to all Embraer S.A. Model ERJ 190–100 and locating Docket No. FAA–2014– as of October 11, 2017. STD, –100 LR, and –100 IGW airplanes; 0008. The Director of the Federal Register and Model ERJ 190–200 STD, –200 LR, Comments approved the incorporation by reference and –200 IGW airplanes. The SNPRM of certain other publications listed in published in the Federal Register on We gave the public the opportunity to this AD as of January 14, 2013 (77 FR May 22, 2017 (82 FR 23153) (‘‘the participate in developing this AD. We 73270, December 10, 2012). SNPRM’’). We preceded the SNPRM received no comments on the SNPRM or ADDRESSES: For service information with a notice of proposed rulemaking on the determination of the cost to the identified in this final rule, contact (NPRM) that published in the Federal public.

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Conclusion maintenance requirements, airworthiness limitation inspections for We reviewed the available data and airworthiness limitation inspections for structures, fuel system limitation items, determined that air safety and the structures, fuel system limitation items, and life-limited items, which make up public interest require adopting this AD and life limited items, which make up the airworthiness limitations in the as proposed except for minor editorial the airworthiness limitations in the MPG. MRBR. • EMBRAER MPG—Temporary changes. We have determined that these • minor changes: EMBRAER MRB—Temporary Revision 4–2, dated February 13, 2015, • Are consistent with the intent that Revision 9–1, dated October 27, 2015, which describes detailed inspections for was proposed in the SNPRM for which provides revised airworthiness the upper doubler at the forward correcting the unsafe condition; and limitation inspections and life-limited passenger door cutout. • Do not add any additional burden items due to new structural provisions • EMBRAER MPG—Temporary upon the public than was already for Live TV and Connectivity System. Revision 4–3, dated October 30, 2015, • EMBRAER MRB—Temporary proposed in the SNPRM. which updates the life limitations of Revision 9–3, dated October 27, 2015, certain main landing gear and nose Related Service Information Under 1 which updates the life limitations of landing gear components. CFR Part 51 certain main landing gear and nose Embraer S.A. has issued the following landing gear components. This service information is reasonably service information for Model ERJ 190– Embraer S.A. has also issued the available because the interested parties 100 STD, ERJ 190–100 LR, ERJ 190–100 following service information for Model have access to it through their normal IGW, ERJ 190–200 STD, ERJ 190–200 ERJ 190–100 ECJ airplanes. course of business or by the means LR, and ERJ 190–200 IGW airplanes. • Appendix A, Airworthiness identified in the ADDRESSES section. • Appendix A, Airworthiness Limitations (AL), of the EMBRAER Costs of Compliance Limitations (AL), of the EMBRAER ERJ Lineage 1000/1000E Maintenance 190/195 Maintenance Review Board Planning Guide (MPG), MPG–2928, We estimate that this AD affects 83 Report (MRBR), MRB–1928, Revision 9, Revision 4, dated July 14, 2014. This airplanes of U.S. registry. dated August 14, 2015. This service service information describes We estimate the following costs to information describes certification certification maintenance requirements, comply with this AD:

ESTIMATED COSTS

Cost per Cost on U.S. Action Labor cost Parts cost product operators

Revision (retained actions from AD 2012–23– 1 work-hour × $85 per hour = $85 ...... $0 $85 $7,055 09). Revision to include MPG–2928, Revision 4, 1 work-hour × $85 per hour = $85 ...... 0 85 7,055 and temporary revisions (new action).

Authority for This Rulemaking Compliance and Airworthiness under the criteria of the Regulatory Title 49 of the United States Code Division, but during this transition Flexibility Act. period, the Executive Director has specifies the FAA’s authority to issue List of Subjects in 14 CFR Part 39 rules on aviation safety. Subtitle I, delegated the authority to issue ADs section 106, describes the authority of applicable to transport category Air transportation, Aircraft, Aviation the FAA Administrator. ‘‘Subtitle VII: airplanes to the Director of the System safety, Incorporation by reference, Aviation Programs,’’ describes in more Oversight Division. Safety. detail the scope of the Agency’s Regulatory Findings Adoption of the Amendment authority. We are issuing this rulemaking under We determined that this AD will not Accordingly, under the authority the authority described in ‘‘Subtitle VII, have federalism implications under delegated to me by the Administrator, Part A, Subpart III, Section 44701: Executive Order 13132. This AD will the FAA amends 14 CFR part 39 as General requirements.’’ Under that not have a substantial direct effect on follows: section, Congress charges the FAA with the States, on the relationship between PART 39—AIRWORTHINESS promoting safe flight of civil aircraft in the national government and the States, DIRECTIVES air commerce by prescribing regulations or on the distribution of power and for practices, methods, and procedures responsibilities among the various levels of government. ■ 1. The authority citation for part 39 the Administrator finds necessary for continues to read as follows: safety in air commerce. This regulation For the reasons discussed above, I is within the scope of that authority certify that this AD: Authority: 49 U.S.C. 106(g), 40113, 44701. 1. Is not a ‘‘significant regulatory because it addresses an unsafe condition § 39.13 [Amended] that is likely to exist or develop on action’’ under Executive Order 12866; products identified in this rulemaking 2. Is not a ‘‘significant rule’’ under the ■ 2. The FAA amends § 39.13 by action. DOT Regulatory Policies and Procedures removing Airworthiness Directive (AD) This AD is issued in accordance with (44 FR 11034, February 26, 1979); 2012–23–09, Amendment 39–17265 (77 authority delegated by the Executive 3. Will not affect intrastate aviation in FR 73270, December 10, 2012), and Director, Aircraft Certification Service, Alaska; and adding the following new AD: as authorized by FAA Order 8000.51C. 4. Will not have a significant 2017–16–08 Embraer S.A.: Amendment 39– In accordance with that order, issuance economic impact, positive or negative, 18985; Docket No. FAA–2014–0008; of ADs is normally a function of the on a substantial number of small entities Product Identifier 2013–NM–076–AD.

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(a) Effective Date (h) Retained No Alternative Actions or Revision 4, dated July 14, 2014; EMBRAER This AD is effective October 11, 2017. Intervals, With New Exception MPG—TR 4–2, dated February 13, 2015; and This paragraph restates the actions EMBRAER MPG—TR 4–3, dated October 30, (b) Affected ADs required by paragraph (i) of AD 2012–23–09, 2015; with the thresholds and intervals stated This AD replaces 2012–23–09, Amendment with a new exception. After accomplishing in these documents. The initial compliance times for the tasks are at the later of the times 39–17265 (77 FR 73270, December 10, 2012) the revision required by paragraph (g) of this specified in paragraphs (i)(2)(i) and (i)(2)(ii) (‘‘AD 2012–23–09’’). AD, no alternative actions (e.g., inspections) or intervals, may be used, unless the actions of this AD. (i) Within the applicable times specified in (c) Applicability or intervals are approved as an alternative Part 1, Certification Maintenance This AD applies to Embraer S.A. Model method of compliance (AMOC) in Requirements, Part 2, Airworthiness ERJ 190–100 STD, –100 LR, –100 ECJ, and accordance with the procedures specified in Limitation Inspections—Structures, Part 3, paragraph (k)(1) of this AD, and except as –100 IGW airplanes; and Model ERJ 190–200 Fuel System Limitation Items, and Part 4, required by paragraph (i) of this AD. STD, –200 LR, and –200 IGW airplanes; Life Limited Items, of Appendix A, certificated in any category; serial numbers (i) New Requirements of This AD: Revision Airworthiness Limitation (AL), of the 19000002, 19000004, 19000006 through of the Maintenance or Inspection Program EMBRAER Lineage 1000/1000E Maintenance 19000213 inclusive, 19000215 through Planning Guide, MPG–2928, Revision 4, 19000276 inclusive, 19000278 through (1) For Model ERJ 190–100 STD, ERJ 190– 100 LR, ERJ 190–100 IGW, ERJ 190–200 STD, dated July 14, 2014; EMBRAER MPG—TR 4– 19000466 inclusive, 19000468 through 2, dated February 13, 2015; and EMBRAER 19000525 inclusive, and 19000527 through ERJ 190–200 LR, and ERJ 190–200 IGW airplanes: Within 90 days after the effective MPG—TR 4–3, dated October 30, 2015. 19000696 inclusive. date of this AD, revise the maintenance or Where tasks are listed in both MPG–2928, (d) Subject inspection program, as applicable, to Revision 4, and a temporary revision, the compliance times in the temporary revision Air Transport Association (ATA) of incorporate the tasks specified in Part 2— Airworthiness Limitation Inspections— take precedence. America Codes 27, Flight controls; 28, Fuel; Structures, of Appendix A—Airworthiness (ii) Within 90 days or 600 flight cycles after 52, Doors; 53, Fuselage; 54, Nacelles/pylons; Limitations (AL), of the EMBRAER 190/195 the effective date of this AD, whichever 55, Stabilizers; 57, Wings; 71, Powerplant; Maintenance Review Board Report, MRB– occurs later. and 78, Exhaust. 1928, Revision 9, dated August 14, 2015 (j) No Alternative Actions, Intervals, and/or (e) Reason (‘‘MRB–1928, Revision 9’’); EMBRAER Critical Design Configuration Control MRB—TR 9–1, dated October 27, 2015, to This AD was prompted by a determination Limitations (CDCCLs) Part 2—Airworthiness Limitation After accomplishment of the revision that more restrictive airworthiness Inspections—Structures, and Part 4—Life required by paragraph (i) of this AD, no limitations are necessary. We are issuing this Limited Items, of Appendix A, Airworthiness alternative actions (e.g., inspections), AD to detect and correct fatigue cracking of Limitations (AL), of MRB–1928, Revision 9; intervals, and/or CDCCLs may be used unless structural components and to prevent failure and EMBRAER MRB—TR 9–3, dated October the actions, intervals, and/or CDCCLs are of certain system components; these 27, 2015, to Part 2—Airworthiness Limitation approved as an AMOC in accordance with conditions could result in reduced structural Inspections—Structures, of Appendix A, the procedures specified in paragraph (k)(1) integrity and system reliability of the Airworthiness Limitations (AL), of MRB– of this AD. airplane. 1928, Revision 9; with the thresholds and (f) Compliance intervals stated in these documents. The (k) Other FAA AD Provisions initial compliance times for the tasks are at Comply with this AD within the The following provisions also apply to this the later of the times specified in paragraphs AD: compliance times specified, unless already (i)(1)(i) and (i)(1)(ii) of this AD. Doing the done. (1) Alternative Methods of Compliance revision required by this paragraph (AMOCs): The Manager, International (g) Retained Revision of the Maintenance terminates the revision required by paragraph Section, Transport Standards Branch, FAA, Program, With No Changes (g) of this AD. has the authority to approve AMOCs for this (i) Within the applicable times specified in AD, if requested using the procedures found For Model ERJ 190–100 STD, ERJ 190–100 MRB–1928, Revision 9; EMBRAER MRB—TR LR, ERJ 190–100 IGW, ERJ 190–200 STD, ERJ in 14 CFR 39.19. In accordance with 14 CFR 9–1, dated October 27, 2015, to Part 2— 39.19, send your request to your principal 190–200 LR, and ERJ 190–200 IGW airplanes: Airworthiness Limitation Inspections— This paragraph restates the actions required inspector or local Flight Standards District Structures, and Part 4—Life Limited Items, of Office, as appropriate. If sending information by paragraph (h) of AD 2012–23–09, with no Appendix A, Airworthiness Limitations (AL), changes. Within 90 days after January 14, directly to the International Section, send it of MRB–1928, Revision 9; and EMBRAER to the attention of the person identified in 2013 (the effective date of AD 2012–23–09), MRB—TR 9–3, dated October 27, 2015, to paragraph (l)(2) of this AD. Information may revise the maintenance program to Part 2—Airworthiness Limitation be emailed to: 9-ANM-116-AMOC- incorporate the tasks specified in Part 2— Inspections—Structures, of Appendix A, [email protected]. Before using any Airworthiness Limitation Inspections (ALI)— Airworthiness Limitations (AL), of MRB– approved AMOC, notify your appropriate Structures, of Appendix A, Airworthiness 1928, Revision 9. Where tasks are listed in principal inspector, or lacking a principal Limitations (AL), of the EMBRAER 190 both MRB–1928, Revision 9, and a temporary inspector, the manager of the local flight Maintenance Review Board Report, MRB– revision, the compliance times in the standards district office/certificate holding 1928, Revision 5, dated November 11, 2010; temporary revision take precedence. district office. and EMBRAER Temporary Revision (TR) 5– (ii) Within 90 days or 600 flight cycles after (2) Contacting the Manufacturer: As of the 1, dated February 11, 2011, to Part 2— the effective date of this AD, whichever effective date of this AD, for any requirement Airworthiness Limitation Inspections (ALI)— occurs later. in this AD to obtain corrective actions from Structures, of Appendix A, Airworthiness (2) For Model ERJ 190–100 ECJ airplanes: a manufacturer, the action must be Limitations (AL), of the EMBRAER 190 Within 90 days after the effective date of this accomplished using a method approved by Maintenance Review Board Report, MRB– AD, revise the maintenance or inspection the Manager, International Section, Transport 1928, Revision 5, dated November 11, 2010; program, as applicable, to incorporate the Standards Branch, FAA; or the Ageˆncia with the thresholds and intervals stated in tasks specified in Part 1, Certification Nacional de Aviac¸a˜o Civil (ANAC); or these documents. The initial compliance Maintenance Requirements, Part 2, ANAC’s authorized Designee. If approved by times for the tasks are stated in the Airworthiness Limitation Inspections— the ANAC Designee, the approval must ‘‘Implementation Plan’’ section of Appendix Structures, Part 3, Fuel System Limitation include the Designee’s authorized signature. A, Airworthiness Limitations (AL), of the Items, and Part 4, Life Limited Items, of EMBRAER 190 Maintenance Review Board Appendix A, Airworthiness Limitation, of (l) Related Information Report, MRB–1928, Revision 5, dated the EMBRAER Lineage 1000/1000E (1) Refer to Mandatory Continuing November 11, 2010. Maintenance Planning Guide, MPG–2928, Airworthiness Information (MCAI) Brazilian

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AD 2016–04–01, effective April 4, 2016, for Issued in Renton, Washington, on July 28, [email protected]; related information. This MCAI may be 2017. Internet http://www.vikingair.com. You found in the AD docket on the Internet at John P. Piccola, Jr., may view this referenced service http://www.regulations.gov by searching for Acting Director, System Oversight Division, information at the FAA, Transport and locating Docket No. FAA–2014–0008. Aircraft Certification Service. Standards Branch, 1601 Lind Avenue (2) For more information about this AD, contact Ana Martinez Hueto, Aerospace [FR Doc. 2017–16667 Filed 9–5–17; 8:45 am] SW., Renton, WA. For information on Engineer, International Section, Transport BILLING CODE 4910–13–P the availability of this material at the Standards Branch, FAA, 1601 Lind Avenue FAA, call 425–227–1221. It is also SW., Renton, WA 98057–3356; telephone available on the Internet at http:// 425–227–1622; fax 425–227–1320. DEPARTMENT OF TRANSPORTATION www.regulations.gov by searching for and locating Docket No. FAA–2017– (m) Material Incorporated by Reference Federal Aviation Administration 0474. (1) The Director of the Federal Register approved the incorporation by reference 14 CFR Part 39 Examining the AD Docket (IBR) of the service information listed in this You may examine the AD docket on paragraph under 5 U.S.C. 552(a) and 1 CFR [Docket No. FAA–2017–0474; Product the Internet at http:// part 51. Identifier 2016–NM–096–AD; Amendment (2) You must use this service information 39–19007; AD 2017–17–17] www.regulations.gov by searching for and locating Docket No. FAA–2017– as applicable to do the actions required by RIN 2120–AA64 this AD, unless this AD specifies otherwise. 0474; or in person at the Docket (3) The following service information was Airworthiness Directives; Viking Air Management Facility between 9 a.m. approved for IBR on October 11, 2017. Limited (Type Certificate Previously and 5 p.m., Monday through Friday, (i) Appendix A, Airworthiness Limitations Held by Bombardier, Inc.; Canadair except Federal holidays. The AD docket (AL), of the EMBRAER ERJ 190/195 Limited) Airplanes contains this AD, the regulatory Maintenance Review Board Report, MRB– evaluation, any comments received, and 1928, Revision 9, dated August 14, 2015. AGENCY: Federal Aviation other information. The address for the (ii) Appendix A, Airworthiness Limitations Administration (FAA), Department of Docket Office (telephone 800–647–5527) (AL), of the EMBRAER Lineage 1000/1000E Maintenance Planning Guide, MPG–2928, Transportation (DOT). is Docket Management Facility, U.S. Revision 4, dated July 14, 2014. ACTION: Final rule. Department of Transportation, Docket (iii) EMBRAER MPG—Temporary Revision Operations, M–30, West Building 4–2, dated February 13, 2015. SUMMARY: We are superseding Ground Floor, Room W12–140, 1200 (iv) EMBRAER MPG—Temporary Revision Airworthiness Directive (AD) 2011–03– New Jersey Avenue SE., Washington, 4–3, dated October 30, 2015. 08, which applied to certain DC 20590. (v) EMBRAER MRB—Temporary Revision Bombardier, Inc., Model CL–215–1A10 FOR FURTHER INFORMATION CONTACT: 9–1, dated October 27, 2015. (CL–215), CL–215–6B11 (CL–215T Cesar A. Gomez, Aerospace Engineer, (vi) EMBRAER MRB—Temporary Revision Variant), and CL–215–6B11 (CL–415 9–3, dated October 27, 2015. Airframe and Mechanical Systems Variant) airplanes. AD 2011–03–08 Section, FAA, New York ACO Branch, (4) The following service information was required an inspection to determine the approved for IBR on January 14, 2013 (77 FR 1600 Stewart Avenue, Suite 410, 73270, December 10, 2012). number of flight cycles accumulated by Westbury, NY 11590; telephone 516– (i) EMBRAER Temporary Revision (TR) 5– certain accumulators installed on the 228–7318; fax 516–794–5531. airplane, and repetitive inspections of 1, dated February 11, 2011, to Part 2— SUPPLEMENTARY INFORMATION: Airworthiness Limitation Inspections (ALI)— the accumulators for cracks, and Structures, of Appendix A, Airworthiness replacement if necessary. This AD Discussion Limitations (AL), of the EMBRAER 190 retains those inspections and the Maintenance Review Board Report, MRB– We issued a notice of proposed accumulator replacement if necessary, rulemaking (NPRM) to amend 14 CFR 1928, Revision 5, dated November 11, 2010. and adds a new terminating action to (ii) Appendix A, Airworthiness Limitation part 39 to supersede AD 2011–03–08, address the identified unsafe condition. Amendment 39–16592 (76 FR 6536, (AL), of the EMBRAER 190 Maintenance This AD was prompted by the Review Board Report, MRB–1928, Revision 5, February 7, 2011) (‘‘AD 2011–03–08’’). dated November 11, 2010. development of a terminating action for AD 2011–03–08 applied to certain (5) For service information identified in the repetitive inspections. We are Bombardier, Inc., Model CL–215–1A10 this AD, contact Embraer S.A., Technical issuing this AD to address the unsafe (CL–215), CL–215–6B11 (CL–215T Publications Section (PC 060), Av. Brigadeiro condition on these products. Variant), and CL–215–6B11 (CL–415 Faria Lima, 2170—Putim—12227–901 Sa˜o DATES: This AD is effective October 11, Variant) airplanes. The NPRM Jose dos Campos—SP—BRASIL; telephone 2017. +55 12 3927–5852 or +55 12 3309–0732; fax published in the Federal Register on The Director of the Federal Register May 18, 2017 (82 FR 22766). The NPRM +55 12 3927–7546; email distrib@ approved the incorporation by reference embraer.com.br; Internet http:// was prompted by the development of a www.flyembraer.com. of certain publications listed in this AD terminating action (relocation of the (6) You may view this service information as of October 11, 2017. affected accumulators, and at the FAA, Transport Standards Branch, The Director of the Federal Register incorporation of new airworthiness 1601 Lind Avenue SW., Renton, WA. For approved the incorporation by reference limitations), which addresses the unsafe information on the availability of this of certain other publications listed in condition. The NPRM proposed to material at the FAA, call 425–227–1221. this AD as of March 14, 2011 (76 FR continue to require an inspection to (7) You may view this service information 6536, February 7, 2011). determine the number of flight cycles that is incorporated by reference at the ADDRESSES: For service information accumulated by applicable National Archives and Records Administration (NARA). For information on identified in this final rule, contact accumulators (i.e., brake, aileron, the availability of this material at NARA, call Viking Air Limited, 1959 de Havilland elevator, and rudder accumulators) 202–741–6030, or go to: http:// Way, Sidney, British Columbia V8L installed on the airplane, repetitive www.archives.gov/federal-register/cfr/ibr- 5V5, Canada; telephone +1–250–656– ultrasonic inspections of the locations.html. 7227; fax +1–250–656–0673; email acs- accumulators for cracks, and

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replacement of any accumulator in limitations] to this [Canadian] AD. It also • Bombardier Service Bulletin 215– which a crack is detected. The NPRM modifies the applicability range for the CL– 552, Revision 2, dated June 18, 2015. also proposed to require a new 215–1A10 (CL–215); the CL–215 is out of This service information describes production and the last aeroplane produced terminating action for the repetitive was serial number 1125. procedures to relocate the aileron inspections. We are issuing this AD to hydraulic accumulator aft of its current You may examine the MCAI in the prevent failure of the screw cap or end location. cap of certain accumulators, which AD docket on the Internet at http:// • Bombardier Service Bulletin 215– could result in impact damage to www.regulations.gov by searching for various components, potentially and locating Docket No. FAA–2017– 3158, Revision 2, dated April 15, 2014; resulting in fuel spillage, uncommanded 0474. and Bombardier Service Bulletin 215– 4423, Revision 5, dated March 17, 2016. flap movement, or loss of aileron Comments control. This service information describes Transport Canada Civil Aviation We gave the public the opportunity to procedures to relocate the aileron, (TCCA), which is the aviation authority participate in developing this AD. We elevator, and rudder hydraulic for Canada, has issued Canadian received no comments on the NPRM or accumulators aft and outboard of their Airworthiness Directive CF–2009–42R2, on the determination of the cost to the current locations. These documents are public. dated May 30, 2016 (referred to after distinct since they apply to different this as the Mandatory Continuing Explanation of Changes Made to This airplane models. Airworthiness Information, or ’’the Final Rule • Bombardier Service Bulletin 215– MCAI’’), to correct an unsafe condition We have revised this final rule to 557, Revision 1, dated June 27, 2014; for certain Viking Air Limited Model identify the legal name of the Bombardier Service Bulletin 215–3182, CL–215–1A10 (CL–215), CL–215–6B11 manufacturer as published in the most Revision 1, dated June 27, 2014; and (CL–215T Variant), and CL–215–6B11 recent type certificate data sheet for the Bombardier Service Bulletin 215–4470, (CL–415 Variant) airplanes. The MCAI affected airplane models. Revision 1, dated June 27, 2014. This states: In the proposed AD, we inadvertently service information describes Seven cases of on-ground hydraulic listed the wrong publication dates for procedures to establish the number of accumulator screw cap or end cap failure service information in two places. Table flight hours for each accumulator and have been experienced on CL–600–2B19 4 to paragraph (o) of the proposed AD determine if it has been used on another (CRJ) aeroplane, resulting in loss of the referred to Bombardier Service Bulletin associated hydraulic system and high-energy type of aircraft. These documents are 215–4470, Revision 1, dated December distinct since they apply to different impact damage to adjacent systems and 13, 2013. We have corrected the structure. To date, the lowest number of airplane models. publication date for this document to flight cycles accumulated at the time of • Bombardier Temporary Revision 5– failure has been 6991. June 27, 2014, in this AD. Additionally, Although there have been no failures to paragraph (r)(1)(iii) of the proposed AD 56, dated December 13, 2013; date on any CL–215–1A10 (CL–215) or CL– referred to Bombardier Service Bulletin Bombardier Temporary Revision 295/7, 215–6B11 (CL–215T and CL–415) aeroplane, 215–3158, dated March 28, 2012. We dated December 13, 2013; Bombardier similar accumulators, Part Number (P/N) 08– have corrected the publication date for Temporary Revision LLC–1, dated 8423–010 (MS28700–3), to those installed on this document to March 21, 2012, in this December 13, 2013; and Bombardier the CL–600–2B19, are installed on the AD. Temporary Revision LLC–3, dated aeroplane models listed in the Applicability section of this [Canadian] AD. Conclusion December 13, 2013. This service information provides a 10,000-hour A detailed analysis of the systems and We reviewed the available data and structure in the potential line of trajectory of accumulator life limitation for certain a failed screw cap/end cap for each determined that air safety and the accumulators. These documents are accumulator has been conducted. It has public interest require adopting this AD distinct since they apply to different with the changes described previously identified that the worst-case scenarios airplane models. would be impact damage to various and minor editorial changes. We have components, potentially resulting in fuel determined that these changes: This service information is reasonably spillage, uncommanded flap movement, or • Are consistent with the intent that available because the interested parties loss of aileron control. was proposed in the NPRM for have access to it through their normal This [Canadian] AD mandates repetitive correcting the unsafe condition; and course of business or by the means [ultrasonic] inspections of the accumulators • Do not add any additional burden identified in the ADDRESSES section. for cracks and replacement of any upon the public than was already accumulator in which a crack is detected. Costs of Compliance Revision 1 of this [Canadian] AD clarified proposed in the NPRM. the text of the [Canadian] AD, including the Related Service Information Under 1 We estimate that this AD affects 7 P/N of the affected accumulators. CFR Part 51 airplanes of U.S. registry. This revision provides the terminating action [relocation of affected accumulators Bombardier, Inc., has issued the We estimate the following costs to and incorporation of new airworthiness following service information: comply with this AD:

ESTIMATED COSTS

Cost per Cost on U.S. Action Labor cost Parts cost product operators

Ultrasonic inspection (retained action from 7 work-hours × $85 per hour = $595 ...... $0 $595 $4,165 AD 2011–03–08). Relocation, determination of accumulator 56 work-hours × $85 per hour = $4,760 ...... 0 4,760 33,320 hours and usage, and maintenance or in- spection program revision (new action).

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We estimate the following costs to do be required based on the results of the determining the number of aircraft that any necessary replacement that would inspection. We have no way of might need this replacement.

ON-CONDITION COSTS

Cost per Action Labor cost Parts cost product

Replacement of cracked part (retained action from AD 6 work-hours × $85 per hour = $510 ...... $4,055 $4,565 2011–03–08).

According to the manufacturer, some For the reasons discussed above, I identified in paragraphs (c)(1) through (c)(3) of the costs of this AD may be covered certify that this AD: of this AD. under warranty, thereby reducing the 1. Is not a ‘‘significant regulatory (1) Model CL–215–1A10 (CL–215) cost impact on affected individuals. We action’’ under Executive Order 12866; airplanes, serial numbers 1001 through 1125 inclusive. do not control warranty coverage for 2. Is not a ‘‘significant rule’’ under the (2) Model CL–215–6B11 (CL–215T Variant) affected individuals. As a result, we DOT Regulatory Policies and Procedures airplanes, serial numbers 1056 through 1125 have included all costs in our cost (44 FR 11034, February 26, 1979); inclusive. estimate. 3. Will not affect intrastate aviation in (3) Model CL–215–6B11 (CL–415 Variant) Alaska; and airplanes, serial numbers 2001 through 2990 Authority for This Rulemaking 4. Will not have a significant inclusive. Title 49 of the United States Code economic impact, positive or negative, (d) Subject specifies the FAA’s authority to issue on a substantial number of small entities Air Transport Association (ATA) of rules on aviation safety. Subtitle I, under the criteria of the Regulatory America Code 29, Hydraulic power. section 106, describes the authority of Flexibility Act. the FAA Administrator. ‘‘Subtitle VII: (e) Reason Aviation Programs,’’ describes in more List of Subjects in 14 CFR Part 39 This AD was prompted by reports of on- detail the scope of the Agency’s Air transportation, Aircraft, Aviation ground hydraulic accumulator screw cap or authority. safety, Incorporation by reference, end cap failure resulting in a loss of the We are issuing this rulemaking under Safety. associated hydraulic system and high-energy impact damage to adjacent systems and the authority described in ‘‘Subtitle VII, Adoption of the Amendment structure. We are issuing this AD to prevent Part A, Subpart III, Section 44701: failure of the screw cap or end cap, which General requirements.’’ Under that Accordingly, under the authority could result in impact damage to various section, Congress charges the FAA with delegated to me by the Administrator, components, potentially resulting in fuel promoting safe flight of civil aircraft in the FAA amends 14 CFR part 39 as spillage, uncommanded flap movement, or air commerce by prescribing regulations follows: loss of aileron control. for practices, methods, and procedures (f) Compliance the Administrator finds necessary for PART 39—AIRWORTHINESS DIRECTIVES Comply with this AD within the safety in air commerce. This regulation compliance times specified, unless already is within the scope of that authority ■ 1. The authority citation for part 39 done. because it addresses an unsafe condition continues to read as follows: that is likely to exist or develop on (g) Retained Inspection To Determine Flight Cycles, With No Changes products identified in this rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. This paragraph restates the requirements of action. § 39.13 [Amended] This AD is issued in accordance with paragraph (g) of AD 2011–03–08, with no changes. Within 50 flight hours after March authority delegated by the Executive ■ 2. The FAA amends § 39.13 by removing Airworthiness Directive (AD) 14, 2011 (the effective date of AD 2011–03– Director, Aircraft Certification Service, 08), inspect to determine the number of flight as authorized by FAA Order 8000.51C. 2011–03–08, Amendment 39–16592 (76 cycles accumulated by each of the applicable In accordance with that order, issuance FR 6536, February 7, 2011), and adding accumulators (i.e., brake, aileron, elevator, of ADs is normally a function of the the following new AD: and rudder accumulators) having part Compliance and Airworthiness 2017–17–17 Viking Air Limited (Type number 08–8423–010 (MS28700–3) installed Division, but during this transition Certificate Previously Held by on the airplane. A review of airplane period, the Executive Director has Bombardier, Inc.; Canadair Limited): maintenance records is acceptable in lieu of delegated the authority to issue ADs Amendment 39–19007; Docket No. this inspection if the number of flight cycles FAA–2017–0474; Product Identifier accumulated can be conclusively determined applicable to transport category from that review. airplanes to the Director of the System 2016–NM–096–AD. Oversight Division. (a) Effective Date (h) Retained Initial Ultrasonic Inspection for Model CL–215–1A10 (CL–215) and CL–215– Regulatory Findings This AD is effective October 11, 2017. 6B11 (CL–215T Variant) Airplanes, With No We determined that this AD will not (b) Affected ADs Changes have federalism implications under This AD replaces AD 2011–03–08, This paragraph restates the requirements of Executive Order 13132. This AD will Amendment 39–16592 (76 FR 6536, February paragraph (h) of AD 2011–03–08, with no not have a substantial direct effect on 7, 2011) (‘‘AD 2011–03–08’’). changes. For Model CL–215–1A10 (CL–215) and CL–215–6B11 (CL–215T Variant) the States, on the relationship between (c) Applicability airplanes: Do an ultrasonic inspection for the national government and the States, This AD applies to Viking Air Limited cracking of the accumulator at the applicable or on the distribution of power and (Type Certificate previously held by time specified in paragraph (h)(1) or (h)(2) of responsibilities among the various Bombardier, Inc.; Canadair Limited) this AD, in accordance with Part B of the levels of government. airplanes, certificated in any category, as Accomplishment Instructions of the

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applicable service bulletin listed in table 1 to to determine the number of total 2011–03–08, with no changes. As of March paragraphs (h), (i), and (k) of this AD. accumulated flight cycles, do the inspection 14, 2011 (the effective date of AD 2011–03– within 250 flight cycles after March 14, 2011 08), no person may install an accumulator, TABLE 1 TO PARAGRAPHS (h), (i), AND (the effective date of AD 2011–03–08). part number 08–8423–010 (MS28700–3), on (2) For any accumulator on which the (k) OF THIS AD—SERVICE BULLETINS any airplane unless the accumulator has been inspection required by paragraph (g) of this AD shows an accumulation of 750 total flight inspected in accordance with the Use bombardier service requirements of paragraph (h) or (i) of this For model— bulletin— cycles or fewer, do the inspection before the accumulation of 1,000 flight cycles on the AD. CL–215–1A10 (CL–215) 215–541, Revision 1, accumulator. dated March 12, 2010. (m) Retained Credit for Previous Actions, CL–215–6B11 (CL–215T 215–3155, Revision 1, (j) Retained Repetitive Inspections, With With No Changes Variant). dated March 12, 2010. New Terminating Action This paragraph restates the credit provided CL–215–6B11 (CL–415 215–4414, Revision 1, This paragraph restates the requirements of Variant). dated March 12, 2010. in paragraph (m) of AD 2011–03–08, with no paragraph (j) of AD 2011–03–08, with new changes. Inspections accomplished before terminating action. If no cracking is found March 14, 2011 (the effective date of AD (1) For any accumulator on which the during any inspection required by paragraph 2011–03–08), in accordance with the inspection required by paragraph (g) of this (h) or (i) of this AD, repeat the inspection AD shows an accumulation of more than 875 thereafter at intervals not to exceed 750 flight applicable service bulletin listed in table 2 to total flight cycles, or on which it is not cycles until the actions required by paragraph (m) of this AD are considered possible to determine the number of total paragraphs (n), (o), and (p) of this AD have acceptable for compliance with the accumulated flight cycles, do the inspection been done. corresponding action specified in paragraph within 125 flight cycles after March 14, 2011 (h), (i), (j), or (k) of this AD. (the effective date of AD 2011–03–08). (k) Retained Replacement of Cracked (2) For any accumulator on which the Accumulators and Repetitive Inspections, inspection required by paragraph (g) of this With New Terminating Action TABLE 2 TO PARAGRAPH (m) OF THIS AD shows an accumulation of 875 total flight This paragraph restates the requirements of AD—CREDIT SERVICE BULLETINS cycles or fewer, do the inspection before the paragraph (k) of AD 2011–03–08, with new accumulation of 1,000 flight cycles on the terminating action. If any cracking is found Use Bombardier Service For model— Bulletin— accumulator. during any inspection required by paragraph (i) Retained Initial Ultrasonic Inspection for (h) or (i) of this AD, before further flight, CL–215–1A10 (CL–215) 215–541, dated July 9, Model CL–215–6B11 (CL–415 Variant) replace the accumulator with a serviceable 2009. Airplanes, With No Changes accumulator, in accordance with Part B of the CL–215–6B11 (CL–215T 215–3155, dated July 9, Accomplishment Instructions of the Variant). 2009. This paragraph restates the requirements of applicable service bulletin listed in table 1 to CL–600–6B11 (CL–415 215–4414, dated July 9, paragraph (i) of AD 2011–03–08, with no paragraphs (h), (i), and (k) of this AD. Doing Variant). 2009. changes. For Model CL–215–6B11 (CL–415 the replacement does not end the inspection Variant) airplanes, do an ultrasonic requirements of paragraphs (h) and (i) of this inspection for cracking of the accumulator at (n) New Relocation of Affected AD. Repeat the inspections required by Accumulators the applicable time specified in paragraph paragraph (h) or (i) of this AD, as applicable, (i)(1) or (i)(2) of this AD, in accordance with at intervals not to exceed 750 flight cycles Within 12 months after the effective date Part B of the Accomplishment Instructions of until the actions required by paragraphs (n), of this AD, relocate affected hydraulic the applicable service bulletin listed in table (o), and (p) of this AD have been done. accumulators, in accordance with the 1 to paragraphs (h), (i), and (k) of this AD. Accomplishment Instructions of the (1) For any accumulator on which the (l) Retained Parts Installation Limitation, applicable Bombardier service bulletin inspection required by paragraph (g) of this With No Changes specified in table 3 to paragraph (n) of this AD shows an accumulation of more than 750 This paragraph restates the parts flight cycles, or on which it is not possible installation limitation in paragraph (l) of AD AD.

TABLE 3 TO PARAGRAPH (n) OF THIS AD—SERVICE INFORMATION FOR RELOCATING ACCUMULATORS

For model— Affected accumulators— Use Service Bulletin—

CL–215–1A10 (CL–215) ...... Aileron, if installed ...... Bombardier Service Bulletin 215–552, Revision 2, dated June 18, 2015. CL–215–6B11 (CL–215T Variant) .. Aileron, rudder, and elevator ...... Bombardier Service Bulletin 215–3158, Revision 2, dated April 15, 2014. CL–215–6B11 (CL–415 Variant) ..... Aileron, rudder, and elevator ...... Bombardier Service Bulletin 215–4423, Revision 5, dated March 17, 2016.

(o) New Establishment of Flight Hours on the whether any accumulator has been used in AD. If any accumulator is found that has Accumulator, Determination of Previous Use service on another type of airplane other than been in service on another type of airplane of the Accumulator, and Replacement if Model CL–215–1A10 (CL–215), CL–215– other than Model CL–215–1A10 (CL–215), Necessary 6B11 (CL–215T Variant), or CL–215–6B11 CL–215–6B11 (CL–215T Variant), or CL–215– (CL–415 Variant), in accordance with the 6B11 (CL–415 Variant), replace the Within 12 months after the effective date Accomplishment Instructions in the accumulator within 50 flight hours after of this AD, establish the number of flight applicable Bombardier service bulletin determining an affected accumulator is hours for each accumulator, and determine specified in table 4 to paragraph (o) of this installed.

TABLE 4 TO PARAGRAPH (o) OF THIS AD—ESTABLISHMENT OF NUMBER OF FLIGHT HOURS ON THE ACCUMULATOR

For model— Use Service Bulletin—

CL–215–1A10 (CL–215)...... Bombardier Service Bulletin 215–557, Revision 1, dated June 27, 2014 (applicable to MS28700–3 accumulator).

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TABLE 4 TO PARAGRAPH (o) OF THIS AD—ESTABLISHMENT OF NUMBER OF FLIGHT HOURS ON THE ACCUMULATOR— Continued

For model— Use Service Bulletin—

CL–215–6B11 (CL–215T Variant) ...... Bombardier Service Bulletin 215–3182, Revision 1, dated June 27, 2014. CL–215–6B11 (CL–415 Variant) ...... Bombardier Service Bulletin 215–4470, Revision 1, dated June 27, 2014.

(p) New Airworthiness Limitations specified in the applicable Time Limits/ replacement of the accumulator is within the Within 30 days after the effective date of Maintenance Checks (TLMC) Manual limitation specified in the applicable TR this AD, revise the maintenance or inspection temporary revisions (TRs) listed in table 5 to specified in table 5 to paragraph (p) of this program, as applicable, to incorporate the paragraph (p) of this AD. The initial AD, or within 30 days after the effective date 10,000-hour accumulator life limitation compliance time for accomplishing the of this AD, whichever occurs later.

TABLE 5 TO PARAGRAPH (p) OF THIS AD—AIRWORTHINESS LIMITATIONS

Comply with Bombardier For model— TLMC manual— Bombardier TR No.— Dated—

CL–215–1A10 (CL–215) ...... PSP 295 ...... 295/7 ...... December 13, 2013. CL–215–6B11 (CL–215T Variant) ...... PSP 395 ...... LLC–3 ...... December 13, 2013. CL–215–6B11 (CL–215T Variant) ...... PSP 395–1 ...... LLC–1 ...... December 13, 2013. CL–215–6B11 (CL–415 Variant) ...... PSP 495 ...... 5–56 ...... December 13, 2013.

(q) No Alternative Actions and Intervals (s) Other FAA AD Provisions Avenue, Suite 410, Westbury, NY 11590; After accomplishment of the revision The following provisions also apply to this telephone 516–228–7318; fax 516–794–5531. required by paragraph (p) of this AD, no AD: (3) Service information identified in this AD that is not incorporated by reference is alternative actions (e.g., inspections) or (1) Alternative Methods of Compliance available at the addresses specified in intervals may be used unless the actions and (AMOCs): The Manager, New York ACO paragraphs (u)(5) and (u)(6) of this AD. intervals are approved as an alternative Branch, FAA, has the authority to approve method of compliance (AMOC) in AMOCs for this AD, if requested using the (u) Material Incorporated by Reference accordance with the procedures specified in procedures found in 14 CFR 39.19. In (1) The Director of the Federal Register paragraph (s)(1) of this AD. accordance with 14 CFR 39.19, send your approved the incorporation by reference request to your principal inspector or local (r) Credit for Previous Actions (IBR) of the service information listed in this Flight Standards District Office, as paragraph under 5 U.S.C. 552(a) and 1 CFR (1) This paragraph provides credit for appropriate. If sending information directly part 51. actions required by paragraph (n) of this AD, to the manager of the certification office, (2) You must use this service information if those actions were performed before the send it to ATTN: Program Manager, as applicable to do the actions required by effective date of this AD using any applicable Continuing Operational Safety, FAA, New this AD, unless this AD specifies otherwise. service information specified in paragraphs York ACO Branch, 1600 Stewart Avenue, (3) The following service information was (r)(1)(i) through (r)(1)(ix) of this AD. Suite 410, Westbury, NY 11590; telephone approved for IBR on October 11, 2017. (i) Bombardier Service Bulletin 215–552, 516–228–7300; fax 516–794–5531. Before (i) Bombardier Service Bulletin 215–552, dated December 16, 2013. using any approved AMOC, notify your Revision 2, dated June 18, 2015. (ii) Bombardier Service Bulletin 215–552, appropriate principal inspector, or lacking a (ii) Bombardier Service Bulletin 215–557, Revision 1, dated September 12, 2014. principal inspector, the manager of the local Revision 1, dated June 27, 2014. (iii) Bombardier Service Bulletin 215–3158, flight standards district office/certificate (iii) Bombardier Service Bulletin 215–3158, dated March 21, 2012. holding district office. Revision 2, dated April 15, 2014. (iv) Bombardier Service Bulletin 215–3182, (iv) Bombardier Service Bulletin 215–3158, (2) Contacting the Manufacturer: For any Revision 1, dated June 27, 2014. Revision 1, dated December 16, 2013. requirement in this AD to obtain corrective (v) Bombardier Service Bulletin 215–4423, (v) Bombardier Service Bulletin 215–4423, actions from a manufacturer, the action must Revision 5, dated March 17, 2016. Revision NC, dated April 4, 2011. be accomplished using a method approved (vi) Bombardier Service Bulletin 215–4470, (vi) Bombardier Service Bulletin 215–4423, by the Manager, New York ACO Branch, Revision 1, dated June 27, 2014. Revision 1, dated September 28, 2011. FAA; or Transport Canada Civil Aviation (vii) Bombardier Temporary Revision 5–56, (vii) Bombardier Service Bulletin 215– (TCCA); or Viking Air Limited’s TCCA dated December 13, 2013. 4423, Revision 2, dated May 30, 2012. Design Approval Organization (DAO). If (viii) Bombardier Temporary Revision 295/ (viii) Bombardier Service Bulletin 215– approved by the DAO, the approval must 7, dated December 13, 2013. 4423, Revision 3, dated December 16, 2013. include the DAO-authorized signature. (ix) Bombardier Temporary Revision LLC– (ix) Bombardier Service Bulletin 215–4423, (t) Related Information 1, dated December 13, 2013. Revision 4, dated December 3, 2015. (x) Bombardier Temporary Revision LLC– (2) This paragraph provides credit for (1) Refer to Mandatory Continuing 3, dated December 13, 2013. actions required by paragraph (o) of this AD, Airworthiness Information (MCAI) Canadian (4) The following service information was if those actions were performed before the Airworthiness Directive CF–2009–42R2, approved for IBR on March 14, 2011 (76 FR effective date of this AD using any applicable dated May 30, 2016, for related information. 6536, February 7, 2011). service information specified in paragraphs This MCAI may be found in the AD docket (i) Bombardier Service Bulletin 215–541, (r)(2)(i) through (r)(2)(iii) of this AD. on the Internet at http://www.regulations.gov Revision 1, dated March 12, 2010. (i) Bombardier Service Bulletin 215–557, by searching for and locating Docket No. (ii) Bombardier Service Bulletin 215–3155, Revision NC, dated December 13, 2013. FAA–2017–0474. Revision 1, dated March 12, 2010. (ii) Bombardier Service Bulletin 215–3182, (2) For more information about this AD, (iii) Bombardier Service Bulletin 215–4414, Revision NC, dated December 13, 2013. contact Cesar A. Gomez, Aerospace Engineer, Revision 1, dated March 12, 2010. (iii) Bombardier Service Bulletin 215–4470, Airframe and Mechanical Systems Section, (5) For service information identified in Revision NC, dated December 13, 2013. FAA, New York ACO Branch, 1600 Stewart this AD, contact Viking Air Limited, 1959 de

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Havilland Way, Sidney, British Columbia and locating Docket No. FAA–2017– replace a single long spacer, repetitive V8L 5V5, Canada; telephone +1–250–656– 0638; or in person at Document inspections of the flap bell crank, and, 7227; fax +1–250–656–0673; email acs- Management Facility, U.S. Department depending on findings, replacement of the [email protected]; of Transportation, Docket Operations, flap bell crank with an improved part. Internet http://www.vikingair.com. Installation of an improved flap bell crank (6) You may view this service information M–30, West Building Ground Floor, constitutes terminating action for the at the FAA, Transport Standards Branch, Room W12–140, 1200 New Jersey repetitive inspections required by this 1601 Lind Avenue SW., Renton, WA. For Avenue SE., Washington, DC 20590. [EASA] AD. For service information identified in information on the availability of this The MCAI can be found in the AD material at the FAA, call 425–227–1221. this AD, contact Diamond Aircraft docket on the Internet at https:// (7) You may view this service information Industries GmbH, N.A. Otto-Stra+e 5, that is incorporated by reference at the www.regulations.gov/ A–2700 Wiener Neustadt, Austria, document?D=FAA-2017-0638-0002. National Archives and Records telephone: +43 2622 26700; fax: +43 Administration (NARA). For information on 2622 26780; email: office@diamond- Comments the availability of this material at NARA, call 202–741–6030, or go to: http:// air.at; Internet: http:// We gave the public the opportunity to www.archives.gov/federal-register/cfr/ibr- www.diamondaircraft.com. You may participate in developing this AD. We locations.html. view this referenced service information received no comments on the NPRM or at the FAA, Policy and Innovation Issued in Renton, Washington, on August on the determination of the cost to the 16, 2017. Division, 901 Locust, Kansas City, public. Missouri 64106. For information on the Jeffrey E. Duven, availability of this material at the FAA, Conclusion Director, System Oversight Division, Aircraft call (816) 329–4148. It is also available We reviewed the relevant data and Certification Service. on the Internet at http:// determined that air safety and the [FR Doc. 2017–17838 Filed 9–5–17; 8:45 am] www.regulations.gov by searching for public interest require adopting this AD BILLING CODE 4910–13–P Docket No. FAA–2017–0638. as proposed except for minor editorial FOR FURTHER INFORMATION CONTACT: changes. We have determined that these minor changes: DEPARTMENT OF TRANSPORTATION Mike Kiesov, Aerospace Engineer, FAA, Small Airplane Standards Branch, 901 • Are consistent with the intent that Federal Aviation Administration Locust, Room 301, Kansas City, was proposed in the NPRM for Missouri 64106; telephone: (816) 329– correcting the unsafe condition; and • Do not add any additional burden 14 CFR Part 39 4144; fax: (816) 329–4090; email: [email protected]. upon the public than was already [Docket No. FAA–2017–0638; Product SUPPLEMENTARY INFORMATION: proposed in the NPRM. Identifier 2017–CE–018–AD; Amendment 39–19019; AD 2017–18–10] Discussion Related Service Information Under 1 CFR Part 51 RIN 2120–AA64 We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR We reviewed Diamond Aircraft Airworthiness Directives; Diamond part 39 by adding an AD that would Industries GmbH Mandatory Service Aircraft Industries GmbH Airplanes apply to certain Diamond Aircraft Bulletin MSB 42–126 MSB/42NG–066, dated March 27, 2017 (single AGENCY: Federal Aviation Industries GmbH Models DA 42, DA 42 M–NG, and DA 42 NG airplanes. The document), and Work Instruction WI– Administration (FAA), Department of MSB 42–126/WI–MSB 42NG–066, dated Transportation (DOT). NPRM was published in the Federal Register on June 23, 2017 (82 FR 28594). March 27, 2017 (single document). In ACTION: Final rule. The NPRM proposed to correct an combination, this service information describes procedures for repetitively SUMMARY: We are adopting a new unsafe condition for the specified inspecting the flap bell crank for cracks, airworthiness directive (AD) for certain products and was based on mandatory replacing the flap bell crank if cracks are Diamond Aircraft Industries GmbH continuing airworthiness information found, and modification of the flap Models DA 42, DA 42 M–NG, and DA (MCAI) originated by an aviation control system. This service information 42 NG airplanes. This AD results from authority of another country. The MCAI is reasonably available because the mandatory continuing airworthiness states: interested parties have access to it information (MCAI) issued by an Cracks and deformation have been found through their normal course of business aviation authority of another country to on the flap bell crank Part Number (P/N) or by the means identified in the identify and correct an unsafe condition D60–2757–11–00. Frequent high load ADDRESSES section of this AD. on an aviation product. The MCAI conditions have been identified as the root describes the unsafe condition as crack cause. Costs of Compliance This condition, if not detected and formation on the flap bell crank, which We estimate that this AD will affect could cause the flap bell crank to fail. corrected, could lead to failure of the flap bell crank and consequent reduced control of 190 products of U.S. registry. We also We are issuing this AD to require the aeroplane. estimate that it will take about 4 work- actions to address the unsafe condition To address this potential unsafe condition, hours per product to comply with the on these products. Diamond Aircraft Industries (DAI) issued initial inspection requirement of this DATES: This AD is effective October 11, Mandatory Service Bulletin (MSB) 42–126/ AD. The average labor rate is $85 per 2017. MSB 42NG–066 and the corresponding Work work-hour. The Director of the Federal Register Instruction (WI) MSB 42–126/WI–MSB Based on these figures, we estimate 42NG–066 (single document), hereafter approved the incorporation by reference the cost of the initial inspection of certain publications listed in this AD referred to as ‘the applicable MSB’ in this [EASA] AD, providing inspection and requirement of this AD on U.S. as of October 11, 2017. modification instructions. operators to be $64,000, or $340 per ADDRESSES: You may examine the AD For the reason described above, this product. docket on the Internet at http:// [EASA] AD requires modification of the flap We also estimate that it will take www.regulations.gov by searching for control system by installing two spacers to about 2 work-hours per product to

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comply with the repetitive inspection the national government and the States, (c) Applicability requirement of this AD. The average or on the distribution of power and This AD applies to Diamond Aircraft labor rate is $85 per work-hour. responsibilities among the various Industries GmbH Models DA 42, DA 42 Based on these figures, we estimate levels of government. M–NG, and DA 42 NG airplanes, serial the cost of the repetitive inspection For the reasons discussed above, I numbers 42.004 through 42.427, 42.AC001 requirement of this AD on U.S. certify this AD: through 42.AC151, 42.M001 through operators to be $32,300, or $170 per 42.M026, 42.N001 through 42.N067, 42.N100 (1) Is not a ‘‘significant regulatory through 42.N129, 42.NC001 through product. action’’ under Executive Order 12866, 42.NC008, and 42.MN001 through In addition, we estimate that any (2) Is not a ‘‘significant rule’’ under 42.MN033, certificated in any category. necessary replacement action will take the DOT Regulatory Policies and (d) Subject about 1 work-hour and require parts Procedures (44 FR 11034, February 26, costing $430, for a cost of $515 per 1979), Air Transport Association of America (ATA) Code 27: Flight Controls. product. We have no way of (3) Will not affect intrastate aviation determining the number of products in Alaska, and (e) Reason that may need these actions. (4) Will not have a significant According to the manufacturer, some This AD was prompted by mandatory economic impact, positive or negative, continuing airworthiness information (MCAI) of the costs of this AD may be covered on a substantial number of small entities originated by an aviation authority of another under warranty, thereby reducing the under the criteria of the Regulatory country to identify and correct an unsafe cost impact on affected individuals. We Flexibility Act. condition on an aviation product. The MCAI do not control warranty coverage for describes the unsafe condition as crack affected individuals. As a result, we Examining the AD Docket formation on the flap bell crank. We are issuing this AD to prevent failure of the flap have included all costs in our cost You may examine the AD docket on estimate. bell crank, which could result in reduced the Internet at http:// control. Authority for This Rulemaking www.regulations.gov by searching for (f) Actions and Compliance Title 49 of the United States Code and locating Docket No. FAA–2017– 0638; or in person at the Docket Unless already done, do the following specifies the FAA’s authority to issue actions: rules on aviation safety. Subtitle I, Management Facility between 9 a.m. and 5 p.m., Monday through Friday, (1) Inspect the flap bell crank, part number section 106, describes the authority of (P/N) D60–2757–11–00, and modify the flap the FAA Administrator. ‘‘Subtitle VII: except Federal holidays. The AD docket control system by installing two spacers, Aviation Programs,’’ describes in more contains the NPRM, the regulatory P/N DS BU2–10–06–0065–C, where the flap detail the scope of the Agency’s evaluation, any comments received, and actuator rod end bearing is connected to the authority. other information. The street address for flap bell crank, following the Instructions We are issuing this rulemaking under the Docket Office (telephone (800) 647– section in Diamond Aircraft Industries GmbH the authority described in ‘‘Subtitle VII, 5527) is in the ADDRESSES section. (DAI) Work Instruction WI–MSB 42–126/WI– MSB 42NG–066, dated March 27, 2017 Part A, Subpart III, section 44701: Comments will be available in the AD docket shortly after receipt. (single document), as specified in DAI General requirements.’’ Under that Mandatory Service Bulletin MSB 42–126/ section, Congress charges the FAA with List of Subjects in 14 CFR Part 39 MSB 42NG–066, dated March 27, 2017 promoting safe flight of civil aircraft in (single document), at whichever of the air commerce by prescribing regulations Air transportation, Aircraft, Aviation following compliance times occurs later: for practices, methods, and procedures safety, Incorporation by reference, (i) Before exceeding 600 hours time-in- the Administrator finds necessary for Safety. service (TIS), and repetitively thereafter at safety in air commerce. This regulation Adoption of the Amendment intervals not to exceed 200 hours TIS. is within the scope of that authority (ii) Within the next 100 hours TIS after October 11, 2017 (the effective date of this because it addresses an unsafe condition Accordingly, under the authority delegated to me by the Administrator, AD) or within the next 6 months after that is likely to exist or develop on October 11, 2017 (the effective date of this products identified in this rulemaking the FAA amends 14 CFR part 39 as follows: AD), whichever occurs first, and repetitively action. thereafter at intervals not to exceed 200 hours This AD is issued in accordance with PART 39—AIRWORTHINESS TIS. authority delegated by the Executive (2) If any discrepancies are found during DIRECTIVES Director, Aircraft Certification Service, any inspection required in paragraph (f)(1) of this AD, before further flight, replace the flap as authorized by FAA Order 8000.51C. ■ 1. The authority citation for part 39 bell crank with an improved part, P/N D60– In accordance with that order, issuance continues to read as follows: _ of ADs is normally a function of the 2757–11–00 01, following the Instructions Authority: 49 U.S.C. 106(g), 40113, 44701. section in DAI Work Instruction WI–MSB Compliance and Airworthiness 42–126/WI–MSB 42NG–066, dated March 27, Division, but during this transition § 39.13 [Amended] 2017 (single document), as specified in DAI period, the Executive Director has ■ Mandatory Service Bulletin MSB 42–126/ delegated the authority to issue ADs 2. The FAA amends § 39.13 by adding MSB 42NG–066, dated March 27, 2017 applicable to small airplanes and the following new AD: (single document). Installing P/N D60–2757– domestic business jet transport 2017–18–10 Diamond Aircraft Industries 11–00_01 terminates the repetitive airplanes to the Director of the Policy GmbH: Amendment 39–19019; Docket inspections required in paragraph (f)(1) of and Innovation Division. No. FAA–2017–0638; Product Identifier this AD. This installation as terminating 2017–CE–018–AD. action may be done in lieu of the inspections Regulatory Findings required in paragraph (f)(1) of this AD. (a) Effective Date We determined that this AD will not (g) Other FAA AD Provisions This airworthiness directive (AD) becomes have federalism implications under effective October 11, 2017. The following provisions also apply to this Executive Order 13132. This AD will AD: not have a substantial direct effect on (b) Affected ADs (1) Alternative Methods of Compliance the States, on the relationship between None. (AMOCs): The Manager, Small Airplane

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Standards Branch, FAA, has the authority to Issued in Kansas City, Missouri, on August confidential business information, such approve AMOCs for this AD, if requested 28, 2017. as a manufacturing process. Please note using the procedures found in 14 CFR 39.19. Melvin Johnson, that if you include your name, contact Send information to ATTN: Mike Kiesov, Deputy Director, Policy and Innovation information, or other information that Aerospace Engineer, Small Airplane Division, Aircraft Certification Service. identifies you in the body of your Standards Branch, FAA 901 Locust, Room comments, that information will be 301, Kansas City, Missouri 64106; telephone: [FR Doc. 2017–18624 Filed 9–5–17; 8:45 am] BILLING CODE 4910–13–P posted on https://www.regulations.gov. (816) 329–4144; fax: (816) 329–4090; email: • [email protected]. Before using any If you want to submit a comment approved AMOC on any airplane to which with confidential information that you the AMOC applies, notify your appropriate DEPARTMENT OF HEALTH AND do not wish to be made available to the principal inspector (PI) in the FAA Flight HUMAN SERVICES public, submit the comment as a Standards District Office (FSDO), or lacking written/paper submission and in the a PI, your local FSDO. Food and Drug Administration manner detailed (see ‘‘Written/Paper (2) Contacting the Manufacturer: For any Submissions’’ and ‘‘Instructions’’). requirement in this AD to obtain corrective 21 CFR Part 112 actions from a manufacturer, the action must Written/Paper Submissions be accomplished using a method approved [Docket No. FDA–2011–N–0921] Submit written/paper submissions as by the Manager, Small Airplane Standards follows: Branch, FAA; or the European Aviation Standards for the Growing, Harvesting, • Mail/Hand delivery/Courier (for Safety Agency (EASA); or if there is a Packing, and Holding of Produce for written/paper submissions): Dockets delegated foreign airworthiness authority Human Consumption: What You Need Management Staff (HFA–305), Food and Design Organization Approval (DOA). If To Know About the Food and Drug Drug Administration, 5630 Fishers approved by the DOA, the approval must Administration Regulation; Small Lane, Rm. 1061, Rockville, MD 20852. include the DOA-authorized signature. Entity Compliance Guide; Availability • For written/paper comments (h) Related Information submitted to the Dockets Management AGENCY: Food and Drug Administration, Staff Office, FDA will post your Refer to MCAI European Aviation Safety HHS. Agency (EASA) AD No. 2017–0074, dated comment, as well as any attachments, April 28, 2017. You may examine the MCAI ACTION: Notification of availability. except for information submitted, on the Internet at https:// SUMMARY: The Food and Drug marked and identified, as confidential, www.regulations.gov/document?D=FAA- if submitted as detailed in 2017-0638-0002. Administration (FDA, the Agency, or we) is announcing the availability of a ‘‘Instructions.’’ Instructions: All submissions received (i) Material Incorporated by Reference guidance for industry entitled must include the Docket No. FDA– (1) The Director of the Federal Register ‘‘Standards for the Growing, Harvesting, 2011–N–0921 for ‘‘What You Need to approved the incorporation by reference Packing, and Holding of Produce for Know About the FDA Regulation: (IBR) of the service information listed in this Human Consumption: What You Need Standards for the Growing, Harvesting, paragraph under 5 U.S.C. 552(a) and 1 CFR to Know About the FDA Regulation: Packing, and Holding of Produce for part 51. Small Entity Compliance Guide.’’ The (2) You must use this service information Human Consumption—Small Entity small entity compliance guide (SECG) is as applicable to do the actions required by Compliance Guide.’’ Received intended to help small entities comply this AD, unless this AD specifies otherwise. comments will be placed in the docket with the final rule entitled ‘‘Standards (i) Diamond Aircraft Industries GmbH and, except for those submitted as for the Growing, Harvesting, Packing, Mandatory Service Bulletin MSB 42–126/ ‘‘Confidential Submissions,’’ publicly MSB 42NG–066, dated March 27, 2017 and Holding of Produce for Human viewable at https://www.regulations.gov (single document). Consumption.’’ (ii) Diamond Aircraft Industries GmbH or at the Dockets Management Staff DATES: Work Instruction WI–MSB 42–126/WI–MSB The announcement of the Office between 9 a.m. and 4 p.m., 42NG–066, dated March 27, 2017 (single guidance is published in the Federal Monday through Friday. document). Register on September 6, 2017. • Confidential Submissions—To (3) For Diamond Aircraft Industries GmbH ADDRESSES: You may submit either submit a comment with confidential service information identified in this AD, electronic or written comments on information that you do not wish to be contact Diamond Aircraft Industries GmbH, Agency guidances at any time as made publicly available, submit your N.A. Otto-Stra+e 5, A–2700 Wiener Neustadt, follows: comments only as a written/paper Austria, telephone: +43 2622 26700; fax: +43 submission. You should submit two 2622 26780; email: [email protected]; Electronic Submissions copies total. One copy will include the Internet: http://www.diamondaircraft.com. Submit electronic comments in the information you claim to be confidential (4) You may view this service information following way: with a heading or cover note that states at the FAA, Policy and Innovation Division, • 901 Locust, Kansas City, Missouri 64106. For Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS information on the availability of this https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The material at the FAA, call (816) 329–4148. In instructions for submitting comments. Agency will review this copy, including addition, you can access this service Comments submitted electronically, the claimed confidential information, in information on the Internet at http:// including attachments, to https:// its consideration of comments. The www.regulations.gov by searching for and www.regulations.gov will be posted to second copy, which will have the locating Docket No. FAA–2017–0638. the docket unchanged. Because your claimed confidential information (5) You may view this service information comment will be made public, you are redacted/blacked out, will be available that is incorporated by reference at the solely responsible for ensuring that your for public viewing and posted on National Archives and Records Administration (NARA). For information on comment does not include any https://www.regulations.gov. Submit the availability of this material at NARA, call confidential information that you or a both copies to the Dockets Management 202–741–6030, or go to: http:// third party may not wish to be posted, Staff. If you do not wish your name and www.archives.gov/federal-register/cfr/ibr- such as medical information, your or contact information to be made publicly locations.html. anyone else’s Social Security number, or available, you can provide this

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information on the cover sheet and not regulation (21 CFR 10.115(c)(2)). The ADDRESSES: The docket for this in the body of your comments and you SECG represents the current thinking of deviation, USCG–2017–0807, is must identify this information as FDA on this topic. It does not establish available at http://www.regulations.gov. ‘‘confidential.’’ Any information marked any rights for any person and is not Type the docket number in the as ‘‘confidential’’ will not be disclosed binding on FDA or the public. You can ‘‘SEARCH’’ box and click ‘‘SEARCH’’. except in accordance with 21 CFR 10.20 use an alternative approach if it satisfies Click on Open Docket Folder on the line and other applicable disclosure law. For the requirements of the applicable associated with this deviation. more information about FDA’s posting statutes and regulations. This is not a FOR FURTHER INFORMATION CONTACT: If of comments to public dockets, see 80 significant regulatory action subject to you have questions on this temporary FR 56469, September 18, 2015, or access Executive Order 12866 and does not deviation, call or email James M. Moore, the information at: https://www.gpo.gov/ impose any additional burden on Bridge Management Specialist, First fdsys/pkg/FR-2015-09-18/pdf/2015- regulated entities. District Bridge Branch, U.S. Coast 23389.pdf. Guard; telephone 212–514–4334, email II. Paperwork Reduction Act of 1995 Docket: For access to the docket to [email protected]. read background documents or the This guidance refers to previously SUPPLEMENTARY INFORMATION: The owner electronic and written/paper comments approved collections of information of the bridge, the New York City received, go to https:// found in FDA regulations. These Department of Transportation, requested www.regulations.gov and insert the collections of information are subject to a temporary deviation in order to docket number, found in brackets in the review by the Office of Management and facilitate planned repairs of the bridge heading of this document, into the Budget (OMB) under the Paperwork including replacement of the grease ‘‘Search’’ box and follow the prompts Reduction Act of 1995 (44 U.S.C. 3501– piping system as well as installation of and/or go to the Dockets Management 3520). The collections of information in new span lock shoes, steel shims and Staff, 5630 Fishers Lane, Rm. 1061, part 112 have been approved under horizontal/vertical bolts. Rockville, MD 20852. OMB control number 0910–0816. The Pulaski Bridge across Newtown See the SUPPLEMENTARY INFORMATION III. Electronic Access Creek, mile 0.6 at New York City, New section for electronic access to the York is a double-leaf bascule bridge SECG. Persons with access to the Internet with a vertical clearance of 39 feet at may obtain the SECG at either https:// FOR FURTHER INFORMATION CONTACT: mean high water and 43 feet at mean www.fda.gov/FoodGuidances, or https:// Samir Assar, Center for Food Safety and low water in the closed position. The www.regulations.gov. Use the FDA Web Applied Nutrition, Food and Drug existing drawbridge operating site listed in the previous sentence to Administration, 5001 Campus Dr., regulations are listed at 33 CFR find the most current version of the College Park, MD 20740, 240–402–1636. 117.801(g)(1)–(2). guidance. The temporary deviation will allow SUPPLEMENTARY INFORMATION: Dated: August 30, 2017. the Pulaski Bridge to remain closed each I. Background Anna K. Abram, Tuesday, Wednesday, Thursday, Friday In the Federal Register of November Deputy Commissioner for Policy, Planning, and Saturday from 12:01 a.m. to 5 a.m. 27, 2015 (80 FR 74353), we issued a Legislation, and Analysis. beginning September 19, 2017 until final rule entitled ‘‘Standards for the [FR Doc. 2017–18811 Filed 9–5–17; 8:45 am] December 30, 2017. The waterway is transited by tug/barge traffic of various Growing, Harvesting, Packing, and BILLING CODE 4164–01–P Holding of Produce for Human sizes. Coordination with waterway users Consumption’’ (the final rule) that has indicated no objections to the establishes science-based minimum proposed closure of the draw. DEPARTMENT OF HOMELAND Vessels that can pass under the bridge standards for the safe growing, SECURITY harvesting, packing, and holding of without an opening may do so at all produce, meaning fruits and vegetables Coast Guard times. The bridge will not be able to grown for human consumption. The open for emergencies. There is no final rule, which is codified at 21 CFR 33 CFR Part 117 alternate route for vessels to pass. The Coast Guard will also inform the part 112, became effective January 26, [Docket No. USCG–2017–0807] users of the waterways through our 2016, but has staggered compliance Local and Broadcast Notices to Mariners dates starting January 26, 2017. Drawbridge Operation Regulation; of the change in operating schedule for We examined the economic Newtown Creek, New York, NY the bridge so vessel operators may implications of the final rule as required arrange their transits to minimize any by the Regulatory Flexibility Act (5 AGENCY: Coast Guard, DHS. impact caused by the temporary U.S.C. 601–612) and determined that ACTION: Notice of deviation from deviation. the final rule will have a significant drawbridge regulation. In accordance with 33 CFR 117.35(e), economic impact on a substantial SUMMARY: The Coast Guard has issued a the drawbridge must return to its regular number of small entities. In compliance operating schedule immediately at the with section 212 of the Small Business temporary deviation from the operating schedule that governs the Pulaski Bridge end of the effective period of this Regulatory Enforcement Fairness Act temporary deviation. This deviation (Pub. L. 104–121, as amended by Pub. across Newtown Creek, mile 0.6 at New York City, New York. This deviation is from the operating regulations is L. 110–28), we are making available the authorized under 33 CFR 117.35. SECG to reduce the burden of necessary to facilitate planned repairs determining how to comply by further and will allow the owner to temporarily Dated: August 31, 2017. explaining and clarifying the actions close the draw during weeknights for Christopher J. Bisignano, that a small entity must take to comply periods not to exceed five hours. Supervisory Bridge Management Specialist, with the rule. DATES: This deviation is effective from First Coast Guard District. We are issuing the SECG consistent 12:01 a.m. on September 19, 2017 [FR Doc. 2017–18822 Filed 9–5–17; 8:45 am] with our good guidance practices through 5 a.m. on December 30, 2017. BILLING CODE 9110–04–P

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DEPARTMENT OF HOMELAND authority under section 4(a) of the enter the safety zone without obtaining SECURITY Administrative Procedure Act (APA) (5 permission from the COTP or a U.S.C. 553(b)). This provision designated representative. Coast Guard authorizes an agency to issue a rule V. Regulatory Analyses without prior notice and opportunity to 33 CFR Part 165 comment when the agency for good We developed this rule after considering numerous statutes and [Docket Number USCG–2017–0823] cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary Executive Orders related to rulemaking. RIN 1625–AA00 to the public interest.’’ Under 5 U.S.C. Below we summarize our analyses 553(b)(B), the Coast Guard finds that based on a number of these statutes and Safety Zone; Upper Mississippi River, good cause exists for not publishing a Executive Orders, and we discuss First St. Louis, MO NPRM with respect to this rule because Amendment rights of protestors. AGENCY: Coast Guard, DHS. it is impracticable. The Coast Guard did A. Regulatory Planning and Review not receive the application until August ACTION: Temporary final rule. 14, 2017. After full review of the details Executive Orders 12866 and 13563 direct agencies to assess the costs and SUMMARY: The Coast Guard is for the planned and locally advertised display, the Coast Guard has determined benefits of available regulatory establishing a temporary safety zone for alternatives and, if regulation is all navigable waters on the Upper that action is needed to protect people and property from the safety hazards necessary, to select regulatory Mississippi River (UMR) between mile approaches that maximize net benefits. marker (MM) 180 and MM 180.5. This associated with the fireworks display on the Upper Mississippi River (UMR) near Executive Order 13771 directs agencies temporary safety zone is necessary to to control regulatory costs through a protect persons and property from St. Louis, MO. We must establish this safety zone by September 30, 2017 and budgeting process. This rule has not potential damage and safety hazards been designated a ‘‘significant during a fireworks display on and over lack sufficient time to provide a reasonable comment period and then regulatory action,’’ under Executive the navigable waterway. During the Order 12866. Accordingly, this rule has period of enforcement, entry into the consider those comments before issuing the rule. not been reviewed by the Office of safety zone is prohibited unless We are issuing this rule, and under 5 Management and Budget (OMB), and specifically authorized by the Captain of U.S.C. 553(d)(3), the Coast Guard finds pursuant to OMB guidance it is exempt the Port Sector Upper Mississippi River that good cause exists for making it from the requirements of Executive (COTP) or other designated effective less than 30 days after Order 13771. representative. publication in the Federal Register. This regulatory action determination DATES: This rule is effective from 7 p.m. Delaying the effective date of the rule is is based on the size, location, duration, through 9 p.m. on September 30, 2017. contrary to the public interest as it and time-of-year of the safety zone. This ADDRESSES: To view documents would delay the effectiveness of the temporary final rule establishes a safety mentioned in this preamble as being temporary safety zone needed to zone impacting a half mile area on the available in the docket, go to http:// respond to potential related safety UMR for a limited time period of two www.regulations.gov, type USCG–2017– hazards until after the planned hours. During the enforcement period, 0823 in the ‘‘SEARCH’’ box and click fireworks display. vessels are prohibited from entering into or remaining within the safety zone ‘‘SEARCH.’’ Click on Open Docket III. Legal Authority and Need for Rule Folder on the line associated with this unless specifically authorized by the rule. The Coast Guard is issuing this rule COTP or other designated under authority in 33 U.S.C. 1231. The representative. Based on the location, FOR FURTHER INFORMATION CONTACT: If Captain of the Port Sector Upper limited safety zone area, and short you have questions on this rule, call or Mississippi River (COTP) has duration of the enforcement period, this email LCDR Sean Peterson, Chief of determined that potential hazards rule does not pose a significant Prevention, Sector Upper Mississippi associated with the fireworks display regulatory impact. Additionally, notice River, U.S. Coast Guard; telephone 314– will be a safety concern before, during, of the safety zone or any changes in the 269–2332, email Sean.M.Peterson@ and after the display. The purpose of planned schedule will be made via uscg.mil. this rule is to ensure safety of vessels Broadcast and Local Notice to Mariners. SUPPLEMENTARY INFORMATION: and the navigable waters in the safety Entry into this safety zone may be zone before, during, and after the requested from the COTP or other I. Table of Abbreviations scheduled event. designated representative and will be BNM Broadcast Notice to Mariners considered on a case-by-case basis. CFR Code of Federal Regulations IV. Discussion of the Rule COTP Captain of the Port Sector Upper This rule establishes a safety zone B. Impact on Small Entities Mississippi River from 7 p.m. to 9 p.m. on September 30, The Regulatory Flexibility Act of DHS Department of Homeland Security 2017. The safety zone will cover all 1980, 5 U.S.C. 601–612, as amended, FR Federal Register navigable waters between mile marker requires Federal agencies to consider LNM Local Notice to Mariners NPRM Notice of proposed rulemaking (MM) 180 and MM 180.5 on the UMR the potential impact of regulations on § Section in St. Louis, MO. Exact times of the small entities during rulemaking. The U.S.C. United States Code closures and any changes to the planned term ‘‘small entities’’ comprises small UMR Upper Mississippi River schedule will be communicated to businesses, not-for-profit organizations mariners using Broadcast and Local that are independently owned and II. Background Information and Notice to Mariners. The safety zone is operated and are not dominant in their Regulatory History intended to ensure the safety of vessels fields, and governmental jurisdictions The Coast Guard is issuing this and these navigable waters before, with populations of less than 50,000. temporary rule without prior notice and during and after the fireworks display. The Coast Guard certifies under 5 U.S.C. opportunity to comment pursuant to No vessel or person will be permitted to 605(b) that this rule will not have a

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significant economic impact on a or on the distribution of power and PART 165—REGULATED NAVIGATION substantial number of small entities. responsibilities between the Federal AREAS AND LIMITED ACCESS AREAS While some owners or operators of Government and Indian tribes. If you vessels intending to transit the safety believe this rule has implications for ■ 1. The authority citation for part 165 zone may be small entities, for the federalism or Indian tribes, please continues to read as follows: reasons stated in section V.A. above, contact the person listed in the FOR this rule will not have a significant FURTHER INFORMATION CONTACT section Authority: 33 U.S.C. 1231; 50 U.S.C. 191; economic impact on any vessel owner above. 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; or operator. Department of Homeland Security Delegation Under section 213(a) of the Small E. Unfunded Mandates Reform Act No. 0170.1. Business Regulatory Enforcement The Unfunded Mandates Reform Act ■ 2. Add § 165.T08–0823 to read as Fairness Act of 1996 (Pub. L. 104–121), of 1995 (2 U.S.C. 1531–1538) requires follows: we want to assist small entities in Federal agencies to assess the effects of understanding these rules. If the rule their discretionary regulatory actions. In § 165.T08–0823 Safety Zone; Upper would affect your small business, particular, the Act addresses actions Mississippi River; St. Louis, MO. organization, or governmental that may result in the expenditure by a (a) Location. The following area is a jurisdiction and you have questions State, local, or tribal government, in the concerning its provisions or options for safety zone: All navigable waters of the aggregate, or by the private sector of Upper Mississippi River between mile compliance, please contact the person $100,000,000 (adjusted for inflation) or marker (MM) 180 to MM 180.5, St. listed in the FOR FURTHER INFORMATION more in any one year. Though this rule Louis, MO. CONTACT section. will not result in such an expenditure, Small businesses may send comments we do discuss the effects of this rule (b) Definitions. As used in this on the actions of Federal employees elsewhere in this preamble. section, designated representative who enforce, or otherwise determine means a Coast Guard Patrol compliance with, Federal regulations to F. Environment Commander, including a Coast Guard the Small Business and Agriculture We have analyzed this rule under coxswain, petty officer, or other officer Regulatory Enforcement Ombudsman Department of Homeland Security operating a Coast Guard vessel and a and the Regional Small Business Management Directive 023–01 and Federal, State, and local officer Regulatory Fairness Boards. The Commandant Instruction M16475.lD, designated by or assisting the Captain of Ombudsman evaluates these actions which guide the Coast Guard in the Port Sector Upper Mississippi River annually and rates each agency’s complying with the National (COTP) in the enforcement of the safety responsiveness to small business. If you Environmental Policy Act of 1969 (42 zone. wish to comment on actions by U.S.C. 4321–4370f), and have employees of the Coast Guard, call 1– determined that this action is one of a (c) Regulations. (1) Under the general 888–REG–FAIR (1–888–734–3247). The category of actions that do not safety zone regulations in § 165.23 of Coast Guard will not retaliate against individually or cumulatively have a this part, you may not enter the safety small entities that question or complain significant effect on the human zone described in paragraph (a) of this about this rule or any policy or action environment. This rule involves a safety section unless authorized by the COTP of the Coast Guard. zone lasting two hours that will prohibit or the COTP’s designated representative. C. Collection of Information entry from mile 180 to 180.5 on the (2) To seek permission to enter, UMR on September 30, 2017. It is This rule will not call for a new contact the COTP or the COTP’s categorically excluded from further collection of information under the representative via VHF–FM channel 16, review under paragraph 34(g) of Figure Paperwork Reduction Act of 1995 (44 or through Coast Guard Sector Upper 2–1 of the Commandant Instruction. A U.S.C. 3501–3520). Mississippi River at 314–269–2332. Record of Environmental Consideration Those in the safety zone must comply D. Federalism and Indian Tribal supporting this determination is with all lawful orders or directions Governments available in the docket where indicated given to them by the COTP or the A rule has implications for federalism under ADDRESSES. COTP’s designated representative. under Executive Order 13132, G. Protest Activities (d) Effective period. This section will Federalism, if it has a substantial direct be effective from 7 p.m. through 9 p.m. effect on the States, on the relationship The Coast Guard respects the First on September 30, 2017. between the national government and Amendment rights of protesters. the States, or on the distribution of Protesters are asked to contact the (e) Informational broadcasts. The power and responsibilities among the person listed in the FOR FURTHER COTP or a designated representative various levels of government. We have INFORMATION CONTACT section to will inform the public through analyzed this rule under that Order and coordinate protest activities so that your broadcast notices to mariners of the have determined that it is consistent message can be received without enforcement period for the safety zone with the fundamental federalism jeopardizing the safety or security of as well as any changes in the dates and principles and preemption requirements people, places or vessels. times of enforcement. described in Executive Order 13132. List of Subjects in 33 CFR Part 165 Dated: August 31, 2017. Also, this rule does not have tribal implications under Executive Order Harbors, Marine safety, Navigation Scott A. Stoermer, 13175, Consultation and Coordination (water), Reporting and recordkeeping Captain, U.S. Coast Guard, Captain of the with Indian Tribal Governments, requirements, Security measures, Port Sector Upper Mississippi River. because it does not have a substantial Waterways. [FR Doc. 2017–18861 Filed 9–5–17; 8:45 am] direct effect on one or more Indian For the reasons discussed in the BILLING CODE 9110–04–P tribes, on the relationship between the preamble, the Coast Guard amends 33 Federal Government and Indian tribes, CFR part 165 as follows:

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DEPARTMENT OF HOMELAND authority under section 4(a) of the enter the safety zone without obtaining SECURITY Administrative Procedure Act (APA) (5 permission from the COTP or a U.S.C. 553(b)). This provision designated representative. Coast Guard authorizes an agency to issue a rule V. Regulatory Analyses without prior notice and opportunity to 33 CFR Part 165 comment when the agency for good We developed this rule after considering numerous statutes and [Docket Number USCG–2017–0821] cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary Executive Orders related to rulemaking. RIN 1625–AA00 to the public interest.’’ Under 5 U.S.C. Below we summarize our analyses 553(b)(B), the Coast Guard finds that based on a number of these statutes and Safety Zone; Upper Mississippi River, good cause exists for not publishing a Executive Orders, and we discuss First St. Louis, MO NPRM with respect to this rule because Amendment rights of protestors. AGENCY: Coast Guard, DHS. it is impracticable. The Coast Guard did A. Regulatory Planning and Review not receive the application until August ACTION: Temporary final rule. 18, 2017. After full review of the details Executive Orders 12866 and 13563 direct agencies to assess the costs and SUMMARY: The Coast Guard is for the planned and locally advertised display, the Coast Guard determined benefits of available regulatory establishing a temporary safety zone for alternatives and, if regulation is all navigable waters on the Upper action is needed to protect people and property from the safety hazards necessary, to select regulatory Mississippi River (UMR) between mile approaches that maximize net benefits. marker (MM) 179.2 and MM 180. This associated with the fireworks display on the Upper Mississippi River (UMR) near Executive Order 13771 directs agencies temporary safety zone is necessary to to control regulatory costs through a protect persons and property from St. Louis, MO. We must establish this safety zone by September 23, 2017 and budgeting process. This rule has not potential damage and safety hazards been designated a ‘‘significant during a fireworks display on and over lack sufficient time to provide a reasonable comment period and then regulatory action,’’ under Executive the navigable waterway. During the Order 12866. Accordingly, this rule has period of enforcement, entry into the consider those comments before issuing the rule. not been reviewed by the Office of safety zone is prohibited unless We are issuing this rule, and under 5 Management and Budget (OMB), and specifically authorized by the Captain of U.S.C. 553(d)(3), the Coast Guard finds pursuant to OMB guidance it is exempt the Port Sector Upper Mississippi River that good cause exists for making it from the requirements of Executive (COTP) or other designated effective less than 30 days after Order 13771. representative. publication in the Federal Register. This regulatory action determination DATES: This rule is effective from 8:30 Delaying the effective date of the rule is is based on the size, location, duration, p.m. to 10 p.m. on September 23, 2017. contrary to the public interest as it and time-of-year of the safety zone. This ADDRESSES: To view documents would delay the effectiveness of the temporary final rule establishes a safety mentioned in this preamble as being temporary safety zone needed to zone impacting a less than one mile area available in the docket, go to http:// respond to potential related safety on the UMR for a limited time period of www.regulations.gov, type USCG–2017– hazards until after the planned one hour and a half. During the 0821 in the ‘‘SEARCH’’ box and click fireworks display. enforcement period, vessels are prohibited from entering into or ‘‘SEARCH.’’ Click on Open Docket III. Legal Authority and Need for Rule Folder on the line associated with this remaining within the safety zone unless rule. The Coast Guard is issuing this rule specifically authorized by the COTP or under authority in 33 U.S.C. 1231. The other designated representative. Based FOR FURTHER INFORMATION CONTACT: If Captain of the Port Sector Upper on the location, limited safety zone area, you have questions on this rule, call or Mississippi River (COTP) has and short duration of the enforcement email LCDR Sean Peterson, Chief of determined that potential hazards period, this rule does not pose a Prevention, Sector Upper Mississippi associated with the fireworks display significant regulatory impact. River, U.S. Coast Guard; telephone 314– will be a safety concern before, during, Additionally, notice of the safety zone 269–2332, email Sean.M.Peterson@ and after the display. The purpose of or any changes in the planned schedule uscg.mil. this rule is to ensure safety of vessels will be made via Broadcast and Local SUPPLEMENTARY INFORMATION: and the navigable waters in the safety Notice to Mariners. Entry into this safety zone before, during, and after the zone may be requested from the COTP I. Table of Abbreviations scheduled event. or other designated representative and BNM Broadcast Notice to Mariners will be considered on a case-by-case IV. Discussion of the Rule CFR Code of Federal Regulations basis. COTP Captain of the Port Sector Upper This rule establishes a safety zone Mississippi River from 8:30 p.m. to 10 p.m. on September B. Impact on Small Entities DHS Department of Homeland Security 23, 2017. The safety zone will cover all The Regulatory Flexibility Act of FR Federal Register navigable waters between mile marker 1980, 5 U.S.C. 601–612, as amended, LNM Local Notice to Mariners NPRM Notice of proposed rulemaking (MM) 179.2 and MM 180 on the UMR requires Federal agencies to consider Section in St. Louis, MO. Exact times of the the potential impact of regulations on U.S.C. United States Code closures and any changes to the planned small entities during rulemaking. The UMR Upper Mississippi River schedule will be communicated to term ‘‘small entities’’ comprises small mariners using Broadcast and Local businesses, not-for-profit organizations II. Background Information and Notice to Mariners. The safety zone is that are independently owned and Regulatory History intended to ensure the safety of vessels operated and are not dominant in their The Coast Guard is issuing this and these navigable waters before, fields, and governmental jurisdictions temporary rule without prior notice and during and after the fireworks display. with populations of less than 50,000. opportunity to comment pursuant to No vessel or person will be permitted to The Coast Guard certifies under 5 U.S.C.

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605(b) that this rule will not have a Federal Government and Indian tribes, PART 165—REGULATED NAVIGATION significant economic impact on a or on the distribution of power and AREAS AND LIMITED ACCESS AREAS substantial number of small entities. responsibilities between the Federal While some owners or operators of Government and Indian tribes. If you ■ 1. The authority citation for part 165 vessels intending to transit the safety believe this rule has implications for continues to read as follows: zone may be small entities, for the federalism or Indian tribes, please reasons stated in section V.A. above, contact the person listed in the FOR Authority: 33 U.S.C. 1231; 50 U.S.C. 191; this rule will not have a significant FURTHER INFORMATION CONTACT section 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; economic impact on any vessel owner above. Department of Homeland Security Delegation or operator. No. 0170.1. Under section 213(a) of the Small E. Unfunded Mandates Reform Act Business Regulatory Enforcement The Unfunded Mandates Reform Act ■ 2. Add § 165.T08–0821 to read as Fairness Act of 1996 (Pub. L. 104–121), of 1995 (2 U.S.C. 1531–1538) requires follows: we want to assist small entities in Federal agencies to assess the effects of their discretionary regulatory actions. In § 165.T08–0821 Safety Zone; Upper understanding these rules. If the rule Mississippi River, St. Louis, MO. would affect your small business, particular, the Act addresses actions organization, or governmental that may result in the expenditure by a (a) Location. The following area is a jurisdiction and you have questions State, local, or tribal government, in the safety zone: All navigable waters of the concerning its provisions or options for aggregate, or by the private sector of Upper Mississippi River between mile compliance, please contact the person $100,000,000 (adjusted for inflation) or marker (MM) 179.2 to MM 180, St. listed in the FOR FURTHER INFORMATION more in any one year. Though this rule Louis, MO. will not result in such an expenditure, CONTACT section. (b) Definitions. As used in this Small businesses may send comments we do discuss the effects of this rule on the actions of Federal employees elsewhere in this preamble. section, designated representative who enforce, or otherwise determine means a Coast Guard Patrol F. Environment compliance with, Federal regulations to Commander, including a Coast Guard the Small Business and Agriculture We have analyzed this rule under coxswain, petty officer, or other officer Regulatory Enforcement Ombudsman Department of Homeland Security operating a Coast Guard vessel and a and the Regional Small Business Management Directive 023–01 and Federal, State, and local officer Regulatory Fairness Boards. The Commandant Instruction M16475.lD, designated by or assisting the Captain of Ombudsman evaluates these actions which guide the Coast Guard in the Port Sector Upper Mississippi River annually and rates each agency’s complying with the National (COTP) in the enforcement of the safety responsiveness to small business. If you Environmental Policy Act of 1969 (42 zone. wish to comment on actions by U.S.C. 4321–4370f), and have (c) Regulations. (1) Under the general determined that this action is one of a employees of the Coast Guard, call 1– safety zone regulations in § 165.23 of category of actions that do not 888–REG–FAIR (1–888–734–3247). The this part, you may not enter the safety individually or cumulatively have a Coast Guard will not retaliate against zone described in paragraph (a) of this small entities that question or complain significant effect on the human environment. This rule involves a safety section unless authorized by the COTP about this rule or any policy or action or the COTP’s designated representative. of the Coast Guard. zone lasting one and a half hours that will prohibit entry from MM179.2 to (2) To seek permission to enter, C. Collection of Information MM 180 on the UMR on September 23, contact the COTP or the COTP’s This rule will not call for a new 2017. It is categorically excluded from representative via VHF–FM channel 16, collection of information under the further review under paragraph 34(g) of or through Coast Guard Sector Upper Paperwork Reduction Act of 1995 (44 Figure 2–1 of the Commandant Mississippi River at 314–269–2332. U.S.C. 3501–3520). Instruction. A Record of Environmental Those in the safety zone must comply Consideration supporting this D. Federalism and Indian Tribal with all lawful orders or directions determination is available in the docket Governments given to them by the COTP or the where indicated under ADDRESSES. COTP’s designated representative. A rule has implications for federalism under Executive Order 13132, G. Protest Activities (d) Effective period. This section will Federalism, if it has a substantial direct The Coast Guard respects the First be effective from 8:30 p.m. through 10 effect on the States, on the relationship Amendment rights of protesters. p.m. on September 23, 2017. between the national government and Protesters are asked to contact the (e) Informational broadcasts. The the States, or on the distribution of person listed in the FOR FURTHER COTP or a designated representative power and responsibilities among the INFORMATION CONTACT section to will inform the public through various levels of government. We have coordinate protest activities so that your broadcast notices to mariners of the analyzed this rule under that Order and message can be received without enforcement period for the safety zone have determined that it is consistent jeopardizing the safety or security of as well as any changes in the dates and with the fundamental federalism people, places or vessels. times of enforcement. principles and preemption requirements List of Subjects in 33 CFR Part 165 described in Executive Order 13132. Dated: August 31, 2017. Also, this rule does not have tribal Harbors, Marine safety, Navigation Scott A. Stoermer, implications under Executive Order (water), Reporting and recordkeeping Captain, U.S. Coast Guard, Captain of the 13175, Consultation and Coordination requirements, Security measures, Port Sector Upper Mississippi River. Waterways. with Indian Tribal Governments, [FR Doc. 2017–18863 Filed 9–5–17; 8:45 am] because it does not have a substantial For the reasons discussed in the BILLING CODE 9110–04–P direct effect on one or more Indian preamble, the Coast Guard amends 33 tribes, on the relationship between the CFR part 165 as follows:

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ENVIRONMENTAL PROTECTION contact the person identified in the FOR SIP, but is codified as Env-A 101.95 and AGENCY FURTHER INFORMATION CONTACT section. explicitly excludes incinerators. On For the full EPA public comment policy, October 26, 2016, NH DES submitted a 40 CFR Part 52 information about CBI or multimedia revision of the definition of ‘‘Wood [EPA–R01–OAR–2017–0138; A–1–FRL– submissions, and general guidance on Waste Burner’’ (Env-A 101.219) to EPA 9967–27–Region 1] making effective comments, please visit for approval. This revised definition http://www2.epa.gov/dockets/ does not exclude incinerators. The Air Plan Approval; New Hampshire; commenting-epa-dockets. current SIP-approved version of the Rules for Open Burning and FOR FURTHER INFORMATION CONTACT: definition of ‘‘Wood Waste Burner’’ Incinerators Alison C. Simcox, Air Quality Planning (Env-A 101.95) will be replaced by the new definition of that term (Env-A AGENCY: Unit, Air Programs Branch (Mail Code Environmental Protection 101.219) as a result of this approval. Agency (EPA). OEP05–02), U.S. Environmental Protection Agency, Region 1, 5 Post The version of Env-A 1900 ACTION: Direct final rule. Office Square, Suite 100, Boston, (Incinerators and Wood Waste Burners) submitted to EPA by the State included SUMMARY: The Environmental Protection Massachusetts, 02109–3912; (617) 918– Agency (EPA) is approving State 1684; [email protected]. an affirmative defense provision for malfunction, which is defined as a Implementation Plan (SIP) revisions SUPPLEMENTARY INFORMATION: sudden and unavoidable breakdown of submitted by the State of New Throughout this document whenever Hampshire on August 9, 2011, and July process or control equipment. On April ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean 13, 2016, NH DES sent a letter to EPA 23, 2013. These SIP revisions establish EPA. rules for open burning and establish withdrawing the affirmative defense emission standards and operating Table of Contents provision in Env-A 1900 (i.e., 1902.02). In addition, an earlier SIP submission of practices for incinerators and wood I. Background and Purpose waste burners that are not regulated II. EPA’s Evaluation of New Hampshire’s SIP Env-A 1900 had included an exception pursuant to federal incinerator Revisions to the 20-percent visible emissions limit standards. We are also approving III. Final Action that would have allowed these revisions to the definitions of IV. Incorporation by Reference emissions to be exceeded for one period ‘‘Incinerator’’ and ‘‘Wood Waste V. Statutory and Executive Order Reviews of 6 continuous minutes in any 60- Burner,’’ submitted by the State on July minute period during startup, I. Background and Purpose 23, 2013 and October 26, 2016, shutdown, or malfunction. However, respectively. This action is being taken On January 10, 2003, New Hampshire NH DES removed this exception from in accordance with the Clean Air Act. Department of Environmental Services the July 23, 2013 submittal. After reviewing New Hampshire’s SIP DATES: This direct final rule will be (NH DES) submitted a SIP revision for Env-A 1000 (Prevention, Abatement and submittals for Env-A 1000 and 1900, as effective November 6, 2017, unless EPA well as the submitted definitions of receives adverse comments by October Control of Open Source Air Pollution). On August 9, 2011, NH DES submitted ‘‘incinerator’’ (Env-A 101.104) and 6, 2017. If adverse comments are ‘‘waste wood burner’’ (101.219) and the an updated version of this regulation. received, EPA will publish a timely letter withdrawing the affirmative Because the 2011 submittal superseded withdrawal of the direct final rule in the defense provision in Env-A 1900, EPA the previous submission, the State Federal Register informing the public is approving all of the SIP revisions withdrew the 2003 submittal on May 5, that the rule will not take effect. with the exception of the withdrawn 2014. The withdrawal letter is included ADDRESSES: Submit your comments, portion relating to affirmative defenses. identified by Docket ID No. EPA–R01– in the docket for this action. OAR–2017–0138 at http:// On July 23, 2013, NH DES submitted II. EPA’s Evaluation of New www.regulations.gov, or via email to Env-A 1900 (Incinerators and Wood Hampshire’s SIP Revisions [email protected]. For comments Waste Burners) and Env-A 101.104 On August 9, 2011, NH DES submitted at Regulations.gov, follow the (definition of ‘‘Incinerator’’) to EPA for submitted a revision of Env-A 1000 for online instructions for submitting approval. Env-A 1900 is not currently approval into the New Hampshire SIP. comments. Once submitted, comments part of the federally-approved New This revision establishes requirements cannot be edited or removed from Hampshire SIP. The definition of the for open burning, fugitive dust and Regulations.gov. For either manner of term ‘‘Incinerator’’ is currently part of firefighter instruction and training submission, the EPA may publish any the New Hampshire SIP, but is codified activities. Specifically, Env-A 1000 sets 1 comment received to its public docket. at Env-A 101.59 and does not include general open-burning requirements, Do not submit electronically any a reference to ‘‘wood-waste burners.’’ authorizes certain materials to be information you consider to be The submitted definition of burned in the open, and identifies Confidential Business Information (CBI) ‘‘Incinerator’’ adds ‘‘wood-waste materials that are prohibited from being or other information whose disclosure is burners’’ to the definition and is burned in the open. The version of Env- restricted by statute. Multimedia codified at Env-A 101.104. The current A 1000 that was originally approved submissions (audio, video, etc.) must be SIP-approved version of the definition into the SIP in 1994 (59 FR 42766) accompanied by a written comment. of ‘‘Incinerator’’ (Env-A 101.59) will be identifies the types of burning that are The written comment is considered the replaced by the new definition of that generally allowed by the State, such as official comment and should include term (Env-A 101.104) as a result of this outdoor grills, burning for agricultural discussion of all points you wish to approval. or forestry improvement or firefighter make. The EPA will generally not A definition of ‘‘Wood Waste Burner’’ training, as well as a list of generally consider comments or comment is currently part of the New Hampshire prohibited burning activities, such as contents located outside of the primary burning of rubbish, brush, demolition 1 This appears to be an error because there are two submission (i.e. on the web, cloud, or different terms numbered 101.59 in Env-A 101, and debris or tires, or burning at any solid other file sharing system). For the term Incinerator is listed after term numbered waste disposal area. The revised SIP- additional submission methods, please 48 and before term numbered 50. submitted regulation includes all these

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permissible and prohibited types of SIP-approved version and the latter’s Env-A 101.219 establishes the burning. In addition, the revision adds references to PM nonattainment areas definition of ‘‘Wood Waste Burner’’ as definitions of key terms used in the are unnecessary. ‘‘any device such as burners used to regulation, such as ‘‘demolition debris,’’ The submitted Env-A 1000 retains dispose of wood waste by burning, and ‘‘salvaging operation,’’ and ‘‘untreated existing provisions currently in the New which are commonly known as teepees, wood,’’ as well as references to Hampshire SIP, except for the term wigwams, truncated cones or silos.’’ NH applicable state statutes. The revised ‘‘nuisance’’ and references to PM DES considers the term ‘‘wood waste’’ regulation also adds sections on (1) nonattainment areas as discussed above. to be consistent with EPA’s definition of precautions to prevent and control EPA has determined that the SIP ‘‘clean cellulosic biomass’’ as defined at fugitive dust, and (2) provisions to revision meets the requirements of 40 CFR 241.2, and, therefore, does not minimize air pollution from open section 110(l) of the CAA in that it will consider wood waste to be a solid waste. burning for firefighter instruction and not interfere with any applicable As a consequence, wood waste burners training purposes. requirement concerning attainment and are not specifically regulated by NH New Hampshire’s revision to Env-A reasonable further progress, or with any DES pursuant to federal incinerator or 1000 removes two references to other applicable requirement of the waste combustor standards in New ‘‘nuisance’’ in the current SIP, which CAA. Further, the additional Hampshire’s Env-A 3300 and Env-A was approved in 1994. EPA believes requirements in the revised regulation 4300. Thus, wood waste burners are that the State’s regulation is approvable will benefit public health and the regulated under Env-A 1900.2 under the Clean Air Act (CAA) because environment by controlling PM Env-A 1900 establishes emission the term ‘‘nuisance’’ in Env-A 1000 is a emissions from open burning and standards and operating practices for broad concept that could be applied to fugitive dust. Consequently, EPA is incinerators and wood waste burners prohibit activities that bear no approving Env-A 1000 into the New that are not regulated pursuant to reasonable connection to the National Hampshire SIP. federal incinerator standards. Ambient Air Quality Standards On July 23, 2013, NH DES submitted Particulate emissions standards in Env- (NAAQS) and related air-quality goals of Env-A 1900 (Incinerators and Wood A 1900 for incinerators would not allow the CAA. The fact that something may Waste Burners) and a revision of Env-A the incinerator to emit more than 0.675 cause a nuisance does not necessarily 101.104 (definition of ‘‘Incinerator’’) for grams per dry standard cubic meter (g/ equate to a condition that would approval into the New Hampshire SIP. dscm), equivalent to 0.3 grains per dry interfere with attainment or standard cubic foot (grains/dscf), Env-A 101.104 defines ‘‘Incinerator’’ maintenance of the NAAQS. The corrected to 7 percent oxygen (O ). The as ‘‘a device engineered to burn or 2 concept of a nuisance is too vague for standard for allowable visible emissions oxidize solid, semi-solid, liquid, or EPA to rely on as a NAAQS attainment for incinerators is 20 percent opacity for gaseous waste for the primary purpose or maintenance strategy. See, for any continuous 6-minute period. In of volume reduction, disposal, or example, analogous instances in which addition, Env-A 1900 includes chemical destruction, leaving little or no EPA has removed from SIPs certain requirements for posting instructions for combustible material. Such devices regulations that prohibit odors (61 FR incinerator operation and for training of include, but are not limited to, heat 47058), or that contain a general incinerator operators. This rule will prohibition against air pollution (63 FR recovery systems and wood waste benefit public health and the 65557). burners.’’ This definition is the same as environment by controlling PM New Hampshire’s revision to Env-A that which is currently in the New emissions and visible emissions from 1000 removes a reference to NAAQS Hampshire SIP (approved on August 14, incinerators that are not regulated under nonattainment areas for particulates 1992; 57 FR 36603), except that the federal incinerator rules. Therefore, EPA (i.e., Particulate Matter or PM) that definition has been amended to include is approving Env-A 1900 into the New appears in the current SIP-approved ‘‘wood waste burners.’’ Hampshire SIP. version of Env-A 1000. Specifically, SIP- Also, on October 26, 2016, NH DES approved Env-A 1001.02 allowed for submitted Env-A 101.219, a revised III. Final Action certain types of open burning if: (1) Not definition of ‘‘Wood Waste Burner’’ to EPA is approving and incorporating prohibited by local ordinance or EPA. This revised definition no longer two regulations into the New Hampshire officials having jurisdiction, such as excludes incinerators. SIP. The two regulations include revised state forest fire wardens, and (2) where Thus, more sources are now included Env-A 1000 (Prevention, Abatement and the particular area has not been in the revised definition of Control of Open Source Air Pollution) designated nonattainment in relation to ‘‘Incinerator’’ and are subject to submitted by the State of New the NAAQS for PM. Under Env-A 1000, regulation. The definition meets the Hampshire on August 9, 2011, effective such burning was allowed in NAAQS anti-back sliding requirements of on May 1, 2011; and Env-A 1900 nonattainment areas for PM (when not section 110(l) of the CAA in that it will (Incinerators and Wood Waste Burners) prohibited by local ordinance or not interfere with any applicable submitted by the State on July 23, 2013, officials having jurisdiction) if written requirement concerning attainment and effective April 23, 2013, except for the authorization had been obtained by the reasonable further progress, or with any withdrawn affirmative defense NH DES. EPA believes that the version other applicable requirement of the provision. The revised version of Env-A of Env-A 1000 we are approving today CAA. Therefore, EPA is approving the 1000 that we are approving into the SIP is approvable, notwithstanding the revised definition into the New will replace the existing SIP-approved absence of references to nonattainment Hampshire SIP. We also note that the version of Env-A 1000. areas for NAAQS as a limiting condition current SIP-approved definition of the In addition, EPA is approving a on certain types of burning because term ‘‘Incinerator’’ is codified as Env-A revised definition of ‘‘Incinerator’’ (Env- there have not been any areas of New 101.59. The new codification, Env-A Hampshire designated as not attaining a 101.104, and revised definition we are 2 EPA email from Felice Janelle (NH DES) to Alison Simcox (EPA, Region 1), June 23, 2016, ‘‘RE: PM NAAQS. Thus, the version of Env- approving in this action will replace the SIP revisions for Env-A 101.104 and 1900.’’ This A 1000 we are approving today is old definition and old codification at correspondence is included in the docket for functionally equivalent to the existing Env-A 101.59. today’s action.

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A 101.104), submitted by the State on paragraph, or section of this rule and if • Is not a significant regulatory action July 23, 2013, effective April 23, 2013, that provision may be severed from the subject to Executive Order 13211 (66 FR which replaces the definition of remainder of the rule, EPA may adopt 28355, May 22, 2001); ‘‘Incinerator’’ currently in the New as final those provisions of the rule that • Is not subject to requirements of Hampshire SIP (numbered Env-A are not the subject of an adverse Section 12(d) of the National 101.59). We are also approving a revised comment. Technology Transfer and Advancement definition of ‘‘Wood Waste Burner’’ Act of 1995 (15 U.S.C. 272 note) because IV. Incorporation by Reference (Env-A 101.219), submitted by the State application of those requirements would on October 26, 2016, effective January In this rule, the EPA is finalizing be inconsistent with the Clean Air Act; 14, 2005, which replaces the definition regulatory text that includes and of ‘‘Wood Waste Burner’’ currently in incorporation by reference. In • Does not provide EPA with the the New Hampshire SIP (numbered Env- accordance with requirements of 1 CFR discretionary authority to address, as A 101.95). Thus, the SIP at Env-A 51.5, the EPA is finalizing the appropriate, disproportionate human 101.59 and at Env-A 101.95 will read incorporation by reference the New health or environmental effects, using ‘‘[reserved].’’ Hampshire Code of Administrative practicable and legally permissible New Hampshire organizes Env-A 101 Rules stated in section III. The EPA has methods, under Executive Order 12898 (Definitions) alphabetically, and also made, and will continue to make, these (59 FR 7629, February 16, 1994). assigns a codification number, in materials generally available through In addition, the SIP is not approved to sequential order, to each defined term. www.regulations.gov, and/or at the EPA apply on any Indian reservation land or Because the State’s SIP submissions did Region 1 Office (please contact the in any other area where EPA or an not include the entirety of Env-A 100, person identified in the FOR FURTHER Indian tribe has demonstrated that a and the State has added other INFORMATION CONTACT section of this tribe has jurisdiction. In those areas of definitions to Env-A 100 over time (not preamble for more information). Indian country, the rule does not have all of which are SIP-approved), our tribal implications and will not impose approval of the two definitions in this V. Statutory and Executive Order substantial direct costs on tribal action will result in the numbered Reviews governments or preempt tribal law as codification assigned to the defined Under the Clean Air Act, the specified by Executive Order 13175 (65 terms being out of numerical sequence Administrator is required to approve a FR 67249, November 9, 2000). in the SIP. However, the two defined SIP submission that complies with the terms will still be in alphabetical order. provisions of the Act and applicable The Congressional Review Act, 5 As noted earlier, the affirmative defense Federal regulations. 42 U.S.C. 7410(k); U.S.C. 801 et seq., as added by the Small provision, which NH DES withdrew 40 CFR 52.02(a). Thus, in reviewing SIP Business Regulatory Enforcement from its July 23, 2013 SIP submittal, is submissions, EPA’s role is to approve Fairness Act of 1996, generally provides not included in this approval action and state choices, provided that they meet that before a rule may take effect, the is contained in state law only, codified the criteria of the Clean Air Act. agency promulgating the rule must at Env-A 1902.02. Accordingly, this action merely submit a rule report, which includes a The EPA is publishing this action approves state law as meeting Federal copy of the rule, to each House of the without prior proposal because the requirements and does not impose Congress and to the Comptroller General Agency views this as a noncontroversial additional requirements beyond those of the United States. EPA will submit a amendment and anticipates no adverse imposed by state law. For that reason, report containing this action and other comments. However, in the proposed this action: required information to the U.S. Senate, rules section of this Federal Register • Is not a significant regulatory action the U.S. House of Representatives, and publication, EPA is publishing a subject to review by the Office of the Comptroller General of the United separate document that will serve as the Management and Budget under States prior to publication of the rule in proposal to approve the SIP revision Executive Orders 12866 (58 FR 51735, the Federal Register. A major rule should relevant adverse comments be October 4, 1993) and 13563 (76 FR 3821, cannot take effect until 60 days after it filed. This rule will be effective January 21, 2011); is published in the Federal Register. November 6, 2017 without further • Does not impose an information This action is not a ‘‘major rule’’ as notice unless the Agency receives collection burden under the provisions defined by 5 U.S.C. 804(2). relevant adverse comments by October of the Paperwork Reduction Act (44 Under section 307(b)(1) of the Clean 6, 2017. U.S.C. 3501 et seq.); Air Act, petitions for judicial review of If the EPA receives such comments, • Is certified as not having a this action must be filed in the United then EPA will publish an action significant economic impact on a States Court of Appeals for the withdrawing the final rule and substantial number of small entities appropriate circuit by November 6, informing the public that the rule will under the Regulatory Flexibility Act (5 2017. Filing a petition for not take effect. All public comments U.S.C. 601 et seq.); reconsideration by the Administrator of received will then be addressed in a • Does not contain any unfunded this final rule does not affect the finality subsequent final rule based on the mandate or significantly or uniquely of this action for the purposes of judicial proposed rule. The EPA will not affect small governments, as described review nor does it extend the time institute a second comment period on in the Unfunded Mandates Reform Act within which a petition for judicial the proposed rule. All parties interested of 1995 (Pub. L. 104–4); review may be filed, and shall not in commenting on the proposed rule • Does not have Federalism postpone the effectiveness of such rule should do so at this time. If no such implications as specified in Executive or action. Parties with objections to this comments are received, the public is Order 13132 (64 FR 43255, August 10, direct final rule are encouraged to file a advised that this rule will be effective 1999); comment in response to the parallel on November 6, 2017 and no further • Is not an economically significant notice of proposed rulemaking for this action will be taken on the proposed regulatory action based on health or action published in the proposed rules rule. Please note that if EPA receives safety risks subject to Executive Order section of this Federal Register, rather adverse comment on an amendment, 13045 (62 FR 19885, April 23, 1997); than file an immediate petition for

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judicial review of this direct final rule, requirements, Sulfur oxides, Volatile Authority: 42 U.S.C. 7401 et seq. so that EPA can withdraw this direct organic compounds. final rule and address the comment in Dated: August 9, 2017. Subpart EE—New Hampshire the proposed rulemaking. This action Deborah A. Szaro, may not be challenged later in Acting Regional Administrator, EPA New ■ 2. In § 52.1520(c), the table is proceedings to enforce its requirements. England. amended by adding four entries for (See section 307(b)(2).) For the reasons set forth in the ‘‘Env-A 100’’ after the entry ‘‘Env-A 100; List of Subjects in 40 CFR Part 52 preamble, 40 CFR part 52 is amended as Organizational Rules: Definitions’’; follows: revising the entry for ‘‘Env-A 1000’’; and Environmental protection, Air by adding an entry for ‘‘Env-A 1900’’ in pollution control, Carbon monoxide, PART 52—APPROVAL AND numerical order to read as follows: Incorporation by reference, PROMULGATION OF § 52.1520 Identification of plan. Intergovernmental relations, Lead, IMPLEMENTATION PLANS * * * * * Nitrogen dioxide, Ozone, Particulate ■ 1. The authority citation for part 52 matter, Reporting and recordkeeping continues to read as follows: (c) * * *

EPA-APPROVED NEW HAMPSHIRE REGULATIONS

State effective 1 Explanations State citation Title/subject date EPA approval date

******* Env-A 100 ...... Definition of ‘‘Incinerator’’ ...... 04/29/2003 09/06/2017 ...... Remove Part Env-A [Insert Federal Register 101.59, definition of ‘‘In- citation]. cinerator’’ and replace with ‘‘[reserved].’’ Env-A 100 ...... Definition of ‘‘Wood Waste Burner’’ ...... 04/29/2003 09/06/2017 ...... Remove Part Env-A [Insert Federal Register 101.95, definition of citation]. ‘‘Wood Waste Burner’’ and replace with ‘‘[re- served].’’ Env-A 100 ...... Definition of ‘‘Incinerator’’ ...... 04/23/2013 09/06/2017 ...... Approve Part Env-A [Insert Federal Register 101.104, definition of citation]. ‘‘Incinerator.’’ Env-A 100 ...... Definition of ‘‘Wood Waste Burner’’ ...... 01/14/2005 [Insert Federal Register Approve Part Env-A date of publication]. 101.219, definition of [Insert Federal Register ‘‘Wood Waste Burner.’’ citation].

******* Env-A 1000 ...... Control of Open Burning ...... 05/01/2011 09/06/2017 ...... Approve Part Env-A 1000 [Insert Federal Register ‘‘Prevention, Abatement citation]. and Control of Open Source Air Pollution.’’

******* Env-A 1900 ...... Emission Standards and Operating ...... 04/23/2013 09/06/2017 ...... Approve Part Env-A 1900 Practices for Incinerators ...... [Insert Federal Register ‘‘Incinerators and Wood citation]. Waste Burners.’’

******* 1 In order to determine the EPA effective date for a specific provision listed in this table, consult the Federal Register notice cited in this col- umn for the particular provision.

* * * * * ENVIRONMENTAL PROTECTION ACTION: Final rule, correction. [FR Doc. 2017–18774 Filed 9–5–17; 8:45 am] AGENCY BILLING CODE 6560–50–P SUMMARY: The Environmental Protection 40 CFR Part 52 Agency (EPA) is correcting a final rule that appeared in the Federal Register on [EPA–R09–OAR–2015–0316; FRL–9966–82– August 8, 2017. That rule approved the Region 9] ‘‘Nevada Regional Haze 5-Year Progress Report’’ as a revision to the Nevada Approval and Promulgation of State Regional Haze State Implementation Implementation Plans; Nevada; Plan (SIP) and re-codified our prior Regional Haze Progress Report; approval of the Nevada Regional Haze Correction SIP.

AGENCY: Environmental Protection DATES: This action is effective on Agency (EPA). September 7, 2017.

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FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: add in its place Channel 258A at Krishna Viswanathan, EPA, Region IX, Rolanda F. Smith, Media Bureau, (202) Portola, under California; Air Division, AIR–2, 75 Hawthorne 418–2700. ■ d. Add Battlement Mesa, Channel Street, San Francisco, CA 94105. SUPPLEMENTARY INFORMATION: This is a 275C3, Dinosaur, Channel 262C1, Krishna Viswanathan may be reached at synopsis of the Commission’s Order, Eckley, Channel 257C1, Hugo, Channel (520) 999–7880 or adopted August 10, 2017 and released 222A, and Walden, Channel 226A, [email protected]. August 11, 2017. The full text of this under Colorado; SUPPLEMENTARY INFORMATION: In FR Doc. Commission decision is available for ■ e. Add Plains, Channel 290A, under 2017–16491 appearing on page 37024 in inspection and copying during normal Georgia; the Federal Register of Tuesday, August business hours in the FCC’s Reference ■ f. Remove Channel 252A and add in 8, 2017, the following correction is Information Center at Portals II, CY– its place Channel 291A at Abingdon, made: A257, 445 Twelfth Street, SW., under Illinois; ■ Washington, DC 20554. The full text is g. Remove Channel 242A and add in § 52.1470 [Corrected] also available online at http:// its place Channel 222A at Florien, under 1. On page 37024, in the third apps.fcc.gov/ecfs/. This document does Louisiana; ■ column, in amendment 2.b. to not contain information collection h. Add Lake Isabella, Channel 255A, § 52.1470, the instruction ‘‘Adding, requirements subject to the Paperwork and Onekama, Channel 227C3, under under the heading ‘‘Air Quality Michigan; Reduction Act of 1995, Public Law 104– ■ Implementation Plan for the State of 13. The Commission will not send a i. Add Grand Marais, Channel 245C3, Nevada’’ two entries before the entry copy of the Order in a report to be sent under Minnesota; ■ j. Add Bourbon, Channel 231A and ‘‘Small Business Stationary Source to Congress and the Government Eminence, Channel 281A, under Technical and Environmental Accountability Office pursuant to the Missouri; Compliance Assistance Program’’ ’’ is Congressional Review Act, see 5 U.S.C. ■ k. Add Cut Bank, Channel 265C2, corrected to read ‘‘Adding two entries 801(a)(1)(A) because the Order is a under the heading ‘‘Air Quality under Montana; ministerial action. ■ l. Add Bayard, Channel 251A, under Implementation Plan for the State of Provisions of the Regulatory Nevada’’ before the second instance of Nebraska; Flexibility Act of l980 do not apply to ■ m. Add Jefferson, Channel 247A, the entry ‘‘Small Business Stationary this proceeding. Source Technical and Environmental under New Hampshire; For information regarding proper ■ Compliance Assistance Program’’.’’ n. Add Des Moines, Channel 287C and filing procedures for comments, see 47 Skyline-Ganipa, Channel 240A, under Dated: August 22, 2017. CFR 1.415 and 1.420. New Mexico; Debbie Jordan, List of Subjects in 47 CFR Part 73 ■ o. Add Narrowsburg, Channel 275A, Acting Regional Administrator, Region IX. under New York; Radio, Radio broadcasting. [FR Doc. 2017–18769 Filed 9–5–17; 8:45 am] ■ p. Add Medina, Channel 222C1 and BILLING CODE 6560–50–P Federal Communications Commission. Sarles, Channel 290C1, under North Nazifa Sawez, Dakota; Assistant Chief, Audio Division, Media ■ q. Remove Channel 285C2 and add in FEDERAL COMMUNICATIONS Bureau. its place Channel 293C2 at Arnett; add COMMISSION Final Rules Cheyenne, Channel 247C2, Coalgate, Channel 242A, Covington, Channel 47 CFR Part 73 For the reasons discussed in the 290A, Savanna, Channel 275A, and preamble, the Federal Communications Wayne, Channel 266A, under [DA 17–757] Commission amends 47 CFR part 73 as Oklahoma; Radio Broadcasting Services; Various follows: ■ r. Add Diamond Lake, Channel 251A, Locations Huntington, Channel 228C1, and Vale, PART 73—RADIO BROADCAST Channel 288C, under Oregon; AGENCY: Federal Communications SERVICES ■ s. Add Edgemont, Channel 289C1, Commission. ■ 1. The authority citation for part 73 under South Dakota; ACTION: ■ Final rule. continues to read as follows: t. Add Albany, Channel 255A, Benjamin, Channel 237C3, Big Lake, SUMMARY: This document amends the Authority: 47 U.S.C. 154, 303, 309, 310, Channels 246A, 252C2, 281C1, and FM Table of Allotments, of the 334, 336 and 339. 296C3, Channel 289A at Cotulla, Crystal Commission’s rules, by reinstating ■ 2. In § 73.202(b), amend the Table of Beach, Channel 268A, Dalhart, Channel certain vacant FM allotments. These FM FM Allotments as follows: 261C2, Dilley, Channel 291A, Channel allotments are considered vacant ■ a. Add Leupp, Channel 293C1; 283A at Encino, Freer, Channel 288A; because of the cancellation of the remove Channel 232C3 and add in its remove Channel 275A and add in its associated authorizations and licenses, place Channel 234C1 at Overgaard; add place Channel 277A at Goree; add or the dismissal of long-form auction Parker, Channel 257C2 and Paulden, Hamlin, Channel 283C2; Channel 297A applications. These vacant FM Channel 228C3; remove Channel 258C2 at Knox City; Marquez, Channel 296A; allotments have previously undergone and add in its place Channel 259C2 at remove Channels 221C2 and 227C3 and notice and comment rule making. Snowflake; and add Tusayan, Channel add in their place Channels 244C2 and Reinstatement of the vacant allotments 222C1, under Arizona; 276C3 at Matador; add Channel 237C3 is merely a ministerial action to ■ b. Add Strong, Channel 296C3, under at McCamey; remove Channel 267C3 effectuate licensing procedures. Arkansas; and add in its place Channel 298C3 at Therefore, we find for good cause that ■ c. Add Alturas, Channel 277C, McLean; remove Channels 242A and further notice and comment are Boonville, Channel 300A, Cedarville, 265C2 and add in their place Channel unnecessary. Channel 238A, Ft. Bragg, Channel 265A and 292A at Menard; add Channel DATES: Effective September 6, 2017. 253C1; and remove Channel 269A and 224A at Mullin, Olney, Channel 282A,

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Channel 287A at Premont, Roscoe, ***** ***** Channel 228A, Channel 255A at San Battlement Mesa ...... 275C3 Jefferson ...... 247A Isidro, Sanger, Channel 281C3, Trinity, Dinosaur ...... 262C1 ***** Channel 251A; remove Channel 244C2 ***** and add in its place Channel 221C2 at Eckley ...... 257C1 NEW MEXICO Turkey; add Wellington, Channels Hugo ...... 222A 248C3 and 253C3, Westbrook, Channel 272A, under Texas; ***** ***** ■ u. Add Paragonah, Channel 258A, Walden ...... 226A Des Moines ...... 287C under Utah; ■ v. Add Hardwick, Channel 290A and ***** ***** Skyline-Ganipa ...... 240A West Rutland, Channel 298A, under GEORGIA Vermont; ***** ■ w. Remove Channel 225A and add in its place Channel 258A at New Holstein, ***** NEW YORK under Wisconsin; and Plains ...... 290A ■ x. Remove Channel 235A and add in its place Channel 235C3 at Bairoil; add ***** ***** Basin, Channel 299C1; remove Channel Narrowsburg ...... 275A ILLINOIS 242C2 and add in its place Channel ***** 242A at Dubois; add Lusk, Channel Abingdon ...... 291A 242A, Pine Bluffs, Channel 287A, and NORTH DAKOTA Wheatland, Channel 286A, under ***** Wyoming. Medina ...... 222C1 LOUISIANA Sarles ...... 290C1 § 73.202 Table of Allotments. * * * * * ***** (b) Table of FM Allotments. ***** Florien ...... 222A OKLAHOMA

***** ***** ***** MICHIGAN Arnett ...... 293C2 ARIZONA Cheyenne ...... 247C2

***** ***** ***** Lake Isabella ...... 255A Coalgate ...... 242A Leupp ...... 293C1 Overgaard ...... 234C1 ***** ***** Parker ...... 257C2 Onekama ...... 227C3 Covington ...... 290A Paulden ...... 228C3 MINNESOTA ***** ***** Savanna ...... 275A Snowflake ...... 259C2 ***** ***** ***** Grand Marais ...... 245C3 Wayne ...... 266A Tusayan ...... 222C1 ***** ***** ARKANSAS MISSOURI OREGON

***** Bourbon ...... 231A Strong ...... 296C3 ***** ***** Diamond Lake ...... 251A CALIFORNIA Eminence ...... 281A Huntington ...... 228C1

Alturas ...... 277C ***** ***** Vale ...... 288C ***** MONTANA Boonville ...... 300A *****

***** ***** SOUTH DAKOTA Cedarville ...... 238A Cut Bank ...... 265C2

***** ***** ***** Ft. Bragg ...... 253B1 Edgemont ...... 289C1 NEBRASKA ***** ***** Portola ...... 258A Bayard ...... 251A TEXAS ***** ***** Albany ...... 255A COLORADO NEW HAMPSHIRE ***** Benjamin ...... 237C3

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Big Lake ...... 246A, SUMMARY: We, the U.S. Fish and 252C2, ***** Wildlife Service, are making a technical 281C1, Wellington ...... 248C2, correction to remove the endangered 296C3 253C3 Tonkin snub-nosed monkey ***** ***** (Rhinopithecus avunculus) from certain Cotulla ...... 264A, Westbrook ...... 272A regulations that apply to certain 289A threatened primates. These regulations ***** apply only to threatened species, and ***** Tonkin snub-nosed monkeys were Crystal Beach ...... 268A UTAH reclassified as an endangered species in 1990. Therefore, the provisions of the ***** regulations for threatened primates do Dalhart ...... 261C2 ***** not apply to this species. We are Paragonah ...... 258A ***** correcting this error in the Code of Dilley ...... 291A ***** Federal Regulations. DATES: This action is effective ***** VERMONT September 6, 2017. Encino ...... 250A, ADDRESSES: This final rule and a list of 283A ***** the references cited is available on the ***** Hardwick ...... 290A Internet at http://www.regulations.gov at Freer ...... 288A West Rutland ...... 298A Docket No. FWS–HQ–ES–2017–0026. FOR FURTHER INFORMATION CONTACT: ***** ***** Janine Van Norman, Chief, Branch of Goree ...... 277A Foreign Species, Ecological Services WISCONSIN Program, U.S. Fish and Wildlife Service; ***** MS: ES, 5275 Leesburg Pike, Falls Hamlin ...... 283C2 ***** Church, VA 22041–3803; telephone ***** New Holstein ...... 258A 703–358–2171. If you use a Knox City ...... 293A, telecommunications device for the deaf 297A ***** (TDD), call the Federal Relay Service at 800–877–8339. WYOMING ***** SUPPLEMENTARY INFORMATION: The Marquez ...... 296A purpose of this final rule is to notify the ***** public that we are removing the Tonkin ***** snub-nosed langur from regulations in Matador ...... 244C2, Bairoil ...... 235C3 276C3 Basin ...... 299C1 title 50 of the Code of Federal Dubois ...... 242A Regulations (CFR) that pertain to certain ***** primates that are listed as threatened McCamey ...... 233C3, ***** species under the Endangered Species 237C3 Lusk ...... 242A Act of 1973, as amended (Act; 16 U.S.C. McLean ...... 298C3 ***** 1531 et seq.). The List of Endangered and Threatened Wildlife (List) under the ***** Pine Bluffs ...... 287A Wheatland ...... 286A Act is found at 50 CFR 17.11(h). The Menard ...... 265A, regulations that are the focus of this 292A ***** final rule are found at 50 CFR 17.40(c). ***** We are removing the Tonkin snub-nosed Mullin ...... 224A, * * * * * langur (Pygathrix [Rhinopithecus] 277A [FR Doc. 2017–18831 Filed 9–5–17; 8:45 am] avunculus) from the list of primates in BILLING CODE 6712–01–P § 17.40(c)(1). (For reasons explained ***** below in Taxonomy, the Tonkin snub- Olney ...... 282A nosed langur (Pygathrix [Rhinopithecus] DEPARTMENT OF THE INTERIOR avunculus) is older nomenclature for ***** the now generally accepted common Premont ...... 264C3, Fish and Wildlife Service 287A and scientific names: Tonkin snub- nosed monkey (Rhinopithecus ***** 50 CFR Part 17 avunculus). In this document, we use Roscoe ...... 228A [Docket No. FWS–HQ–ES–2017–0026; the currently accepted common name 4500090024] Tonkin snub-nosed monkey.) ***** On January 9, 2016, we received a San Isidro ...... 255A, RIN 1018–BC64 petition, dated the same day from 278A People for the Ethical Treatment of Endangered and Threatened Wildlife Animals Foundation (PETA), requesting ***** and Plants; Technical Correction for in part that Tonkin snub-nosed monkey Sanger ...... 281C3 Tonkin Snub-Nosed Monkey be removed from the regulations at ***** AGENCY: Fish and Wildlife Service, § 17.40(c), which pertain to threatened Trinity ...... 251A Interior. primates, because this species is listed Turkey ...... 221C2, ACTION: Final rule. as an endangered species under the Act 269A at 50 CFR 17.11(h).

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Background and Flora (CITES), the Integrated PART 17—ENDANGERED AND Regulations such as those at 50 CFR Taxonomic Information System (ITIS), THREATENED WILDLIFE AND PLANTS 17.40(c) are promulgated under section and the List at 50 CFR 17.11(h) all use the term ‘‘monkey’’ for this species. ■ 1. The authority citation for part 17 4(d) of the Act and are referred to as continues to read as follows: ‘‘4(d) rules.’’ These rules apply only to The Tonkin snub-nosed monkey is threatened species. Petitions to amend currently listed in § 17.40(c)(1) as Authority: 16 U.S.C. 1361–1407; 1531– 4(d) rules are petitions under the ‘‘Tonkin snub-nosed langur (Pygathrix 1544; and 4201–4245, unless otherwise noted. Administrative Procedure Act (APA; 5 [Rhinopithecus] avunculus).’’ The snub- U.S.C. 553(e)) and are considered in nosed monkeys of the genus § 17.40 [Amended] accordance with 50 CFR 424.10; Rhinopithecus were formerly listed as a ■ 2. Amend § 17.40(c)(1) by: 424.14(a), (j), and Departmental subgenus of Pygathrix, but ■ a. Adding the word ‘‘and’’ before regulations at 43 CFR part 14. A final Rhinopithecus was elevated to the full ‘‘purple-faced langur (Presbytis senex)’’; rule published in 1990 reclassified all genus level in 2001(Groves 2001, p. and Tonkin snub-nosed monkeys from 287). This taxonomic change is now ■ b. Removing the phrase ‘‘; and Tonkin threatened to endangered (55 FR 39414, widely accepted in the scientific snub-nosed langur (Pygathrix September 27, 1990), so the provisions community, including CITES (CITES [Rhinopithecus] avunculus)’’. of the 4(d) rule can no longer be applied 2017, p. 5), ITIS (ITIS 2017, Dated: August 30, 2017. to this endangered species. unpaginated), and IUCN Red List (IUCN James W. Kurth, Accordingly, we are publishing this 2017, unpaginated). Therefore, in this final rule without a prior proposal final rule we refer to the species as Acting Director, U.S. Fish and Wildlife Service. because this is a noncontroversial action Tonkin snub-nosed monkey that does not alter the regulatory (Rhinopithecus avunculus), which is [FR Doc. 2017–18866 Filed 9–5–17; 8:45 am] protections afforded to this species and also how the species is presented in the BILLING CODE 4333–15–P is a technical correction necessary to List at 50 CFR 17.11(h). bring our regulations into conformity with the Act. Administrative Procedure DEPARTMENT OF COMMERCE Previous Federal Actions As explained above, this rulemaking National Oceanic and Atmospheric In 1976, as part of a decision to list is necessary to bring our regulations into Administration 26 species of primates as threatened or compliance with the Act. Therefore, endangered under the Act, the Service under these circumstances, we have 50 CFR Part 622 proposed to list Tonkin snub-nosed determined, pursuant to 5 U.S.C. 553(b)(3)(B), that prior notice and [Docket Nos. 090206140–91081–03 and monkeys as a threatened species (41 FR 120405260–4258–02] 16466, April 19, 1976) and subsequently opportunity for public comment are finalized the listing (41 FR 45990, impractical and unnecessary. Public RIN 0648–XF673 October 19, 1976). In the same opportunity for comment is simply not Authorization of Revised Reporting rulemaking, Tonkin snub-nosed required when an agency amends a Requirements Due to Catastrophic monkeys were included in a new 4(d) regulation to remove regulatory Conditions for Federal Seafood rule for threatened primates at 50 CFR provisions that are not consistent with Dealers in Texas and Portions of 17.40(c). law. Such action is ministerial in nature Louisiana In 1990, all Tonkin snub-nosed and allows for no discretion on the part monkeys were reclassified from of the agency. Thus, public comment AGENCY: National Marine Fisheries threatened to endangered (55 FR 39414, could not inform this process in any Service (NMFS), National Oceanic and September 27, 1990). meaningful way. We have further Atmospheric Administration (NOAA), In both the proposed rule and final determined, pursuant to 5 U.S.C. Commerce. rule reclassifying the species from 553(d)(3), that the agency has good ACTION: Temporary rule; determination threatened to endangered status (55 FR cause to make this rule effective upon of catastrophic conditions. 1486, January 16, 1990; 55 FR 39414, publication, which is to comply with September 27, 1990), the Service the Act as soon as practicable. SUMMARY: In accordance with the indicated through the informational text regulations implementing the individual List of References Cited ‘‘NA’’ (not applicable) in the ‘‘Special fishing quota (IFQ) and Federal dealer rules’’ column of the List at 50 CFR A list of the references cited in this reporting programs specific to the 17.11(h) that there are no 4(d) rules for final rule is provided in Docket No. commercial reef fish and coastal that particular species. However, we FWS–HQ–ES–2017–0026 at http:// migratory pelagic (CMP) fisheries in the failed to make the corresponding change www.regulations.gov. Gulf of Mexico (Gulf), the Regional to 50 CFR 17.40(c) to reflect the fact that Administrator, Southeast Region, NMFS the provisions there no longer applied List of Subjects in 50 CFR Part 17 (RA) has determined that Hurricane to the now-endangered Tonkin snub- Harvey has caused catastrophic Endangered and threatened species, nosed monkey. conditions in coastal and adjacent Exports, Imports, Reporting and counties in the state of Texas, and Taxonomy recordkeeping requirements, Cameron and Vermilion parishes in The terms monkey and langur are Transportation. Louisiana. Consistent with those both used interchangeably in the Regulation Promulgation regulations, the RA has authorized any common name for this species. dealer in the affected area who does not However, the International Union for Accordingly, we hereby amend part have access to electronic reporting to Conservation of Nature (IUCN) Red List, 17, subchapter B of chapter I, title 50 of delay reporting of trip tickets to NOAA the Convention on International Trade the Code of Federal Regulations, as set Fisheries from September 1, 2017, in Endangered Species of Wild Fauna forth below: through October 15, 2017. The RA has

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also authorized IFQ participants within IFQ program, e.g., landing transactions, under the paper-based system in effect this affected area to use paper-based online. However, these regulations also during catastrophic conditions. forms, if necessary, for basic required specify that during catastrophic Assistance in complying with the administrative functions, e.g., landing conditions, as determined by the RA, requirements of the paper-based system transactions, from September 1, 2017, the RA may waive or modify the will be available via the Catch Share through October 15, 2017. This reporting time requirements for dealers Support line, 1–866–425–7627 Monday temporary rule announcing the and authorize IFQ participants to use through Friday, between 8 a.m. and 4:30 determination of catastrophic paper-based forms to complete p.m. eastern time. conditions and allowance of alternative administrative functions for the Classification methods for completing required IFQ duration of the catastrophic conditions. and other dealer reporting The RA must determine that The Regional Administrator, administrative functions is intended to catastrophic conditions exist, specify Southeast Region, NMFS, has facilitate continuation of IFQ and dealer the duration of the catastrophic determined this temporary rule is reporting operations during the period conditions, and specify which necessary for the conservation and of catastrophic conditions. NMFS will participants or geographic areas are management of reef fish and CMP continue to monitor and evaluate deemed affected. species managed under the Gulf IFQ conditions. A subsequent Federal Hurricane Harvey made landfall Programs and the Federal dealer Register document will be published, if between Port Aransas and Port reporting programs, and is consistent needed. O’Connor, Texas, as a Category 4 with the Magnuson-Stevens Act and DATES: The RA is authorizing applicable hurricane on August 25, 2017. Strong other applicable laws. This action is taken under 50 CFR Federal dealers reporting within this winds and flooding from this hurricane 622.5(c), 622.21(a)(3)(iii), and affected area to use revised reporting impacted communities throughout 622.22(a)(3)(iii), and is exempt from methods from September 1, 2017, coastal and eastern Texas and southwest review under Executive Order 12866. through October 15, 2017. Louisiana, resulting in power outages and damage to homes, businesses, and These measures are exempt from the FOR FURTHER INFORMATION CONTACT: IFQ infrastructure. As a result, the RA has procedures of the Regulatory Flexibility Customer Service, telephone: 866–425– determined that catastrophic conditions Act because this temporary rule is 7627, fax: 727–824–5308, email: SER- exist in all coastal and adjacent counties issued without opportunity for prior [email protected]. For federal of Texas and in Cameron and Vermilion notice and comment. dealer reporting, Fisheries Monitoring Parishes, Louisiana. Through this Pursuant to 5 U.S.C. 553(b)(B), there Branch, telephone: 305–361–4581. temporary rule, the RA is authorizing is good cause to waive the requirements SUPPLEMENTARY INFORMATION: The reef Federal dealers to delay reporting of trip to provide prior notice and opportunity fish fishery of the Gulf of Mexico is tickets to NOAA Fisheries and IFQ for public comment on this temporary managed under the Fishery participants within this affected area to rule. Such procedures are unnecessary Management Plan (FMP) for Reef Fish use paper-based forms, from September because the rules implementing the Gulf Resources of the Gulf of Mexico, 1, 2017, through October 15, 2017. IFQ programs and Federal dealer prepared by the Gulf of Mexico Council. NMFS will provide additional reporting have already been subject to The fishery for CMP fish (king mackerel, notification to affected participants via notice and public comment. These rules Spanish mackerel, and cobia) is NOAA weather radio, Fishery Bulletins, authorize the RA to determine when managed under the FMP for the CMP and other appropriate means. NOAA catastrophic conditions exist, and which Resources of the Gulf of Mexico and Fisheries will continue to monitor and participants or geographic areas are South Atlantic. Both FMPs are re-evaluate the areas and duration of the deemed affected by catastrophic implemented through regulations at 50 catastrophic conditions. conditions. The rules also authorize the CFR part 622 under the authority of the Dealers may delay electronic RA to provide timely notice to affected Magnuson-Stevens Fishery reporting of trip tickets to NOAA participants via publication of Conservation and Management Act Fisheries during catastrophic notification in the Federal Register, (Magnuson-Stevens Act). conditions. Dealers are to report all NOAA Weather Radio, Fishery The Generic Dealer Amendment landings to NOAA Fisheries as soon as Bulletins, and other appropriate means. established Federal dealer reporting possible. Assistance for Federal dealers All that remains is to notify the public requirements for federally permitted in effected areas is available at the that catastrophic conditions exist and dealers in the Gulf and South Atlantic Fisheries Monitoring Branch, 1–305– that paper forms may be utilized in the (79 FR 19490, April 9, 2014). 361–4581. NMFS previously provided affected area and that Federal dealers Amendment 26 to the FMP established IFQ dealers with the necessary paper may submit delayed reports. an IFQ program for the commercial red forms (sequentially coded) and Additionally, delaying this temporary snapper component of the Gulf reef fish instructions for submission in the event rule to provide prior notice and fishery (71 FR 67447, November 22, of catastrophic conditions. Paper forms opportunity for public comment would 2006). Amendment 29 to the FMP are also available from the RA upon be contrary to the public interest established an IFQ program for the request. The electronic systems for because affected participants are still commercial grouper and tilefish submitting information to NMFS will fishing for and receiving these species components of the Gulf reef fish fishery continue to be available to all in the affected area and need a means (74 FR 44732, August 31, 2009). participants, and participants in the of completing their landing transactions. Regulations implementing these IFQ affected area are encouraged to continue With the power outages and damages to programs (50 CFR 622.21 and 622.22) using these systems, if accessible. infrastructure that have occurred in the and the dealer reporting requirements The administrative program functions affected area due to Hurricane Harvey, (50 CFR 622.5(c)) require that Federal available to participants in the area numerous businesses are unable to dealers and IFQ participants have access affected by catastrophic conditions will complete landings transactions and to a computer and Internet and that they be limited under the paper-based dealer reports electronically. In order to conduct administrative functions system. There will be no mechanism for continue with their businesses, they associated with dealer reporting and the transfers of IFQ shares or allocation need to be aware they can still complete

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landing transactions and dealer reports Instructions: NMFS may not consider and, (2) the harvest capacity and stated using the paper forms. comments if they are sent by any other intent on future harvesting patterns of For the aforementioned reasons, the method, to any other address or vessels in participating in this fishery. AA also finds good cause to waive the individual, or received after the 30-day delay in the effectiveness of this comment period ends. All comments Classification action under 5 U.S.C. 553(d)(3). received are a part of the public record This action responds to the best Authority: 16 U.S.C. 1801 et seq. and NMFS will post the comments for available information recently obtained public viewing on www.regulations.gov from the fishery. The Assistant Dated: September 1, 2017. without change. All personal identifying Administrator for Fisheries, NOAA Alan D. Risenhoover, information (e.g., name, address), (AA), finds good cause to waive the Director, Office of Sustainable Fisheries, confidential business information, or National Marine Fisheries Service. otherwise sensitive information requirement to provide prior notice and [FR Doc. 2017–18963 Filed 9–1–17; 4:15 pm] submitted voluntarily by the sender is opportunity for public comment BILLING CODE 3510–22–P publicly accessible. NMFS will accept pursuant to the authority set forth at 5 anonymous comments (enter ‘‘N/A’’ in U.S.C. 553(b)(B) as such requirement is the required fields if you wish to remain impracticable and contrary to the public DEPARTMENT OF COMMERCE anonymous). interest. This requirement is FOR FURTHER INFORMATION CONTACT: impracticable and contrary to the public National Oceanic and Atmospheric interest as it would prevent NMFS from Administration Obren Davis, 907–586–7228. SUPPLEMENTARY INFORMATION: NMFS responding to the most recent fisheries data in a timely fashion and would 50 CFR Part 679 manages the groundfish fishery in the GOA exclusive economic zone delay the opening of directed fishing for [Docket No. 160920866–7167–02] according to the Fishery Management Pacific cod by catcher/processors using RIN 0648–XF653 Plan for Groundfish of the Gulf of trawl gear in the Central Regulatory Alaska (FMP) prepared by the North Area of the GOA. NMFS was unable to Fisheries of the Exclusive Economic Pacific Fishery Management Council publish a notice providing time for Zone Off Alaska; Pacific Cod by under authority of the Magnuson- public comment because the most Catcher/Processors Using Trawl Gear Stevens Fishery Conservation and recent, relevant data only became in the Central Regulatory Area of the Management Act. Regulations governing available as of August 29, 2017. Gulf of Alaska fishing by U.S. vessels in accordance The AA also finds good cause to with the FMP appear at subpart H of 50 AGENCY: National Marine Fisheries waive the 30-day delay in the effective CFR part 600 and 50 CFR part 679. date of this action under 5 U.S.C. Service (NMFS), National Oceanic and Regulations governing sideboard Atmospheric Administration (NOAA), 553(d)(3). This finding is based upon protections for GOA groundfish the reasons provided above for waiver of Commerce. fisheries appear at subpart B of 50 CFR prior notice and opportunity for public ACTION: Temporary rule; modification of part 680. a closure; request for comments. NMFS closed directed fishing for comment. Pacific cod by catcher/processors using Without this inseason adjustment, SUMMARY: NMFS is opening directed trawl gear in the Central Regulatory NMFS could not allow the fishery for fishing for Pacific cod by catcher/ Area of the GOA under Pacific cod by catcher/processors using processors using trawl gear in the § 679.20(d)(1)(iii) on January 1, 2017, trawl gear in the Central Regulatory Central Regulatory Area of the Gulf of pursuant to the final 2017 and 2018 Area of the GOA to be harvested in an Alaska (GOA). This action is necessary harvest specifications for groundfish of expedient manner and in accordance to fully use the 2017 total allowable the Gulf of Alaska (82 FR 12032, catch apportioned to catcher/processors with the regulatory schedule. Under February 27, 2017). § 679.25(c)(2), interested persons are using trawl gear in the Central NMFS has determined that as of Regulatory Area of the GOA. invited to submit written comments on August 29, 2017, approximately 970 this action to the above address until DATES: Effective 1200 hours, Alaska metric tons of Pacific cod remain in the September 15, 2017. local time (A.l.t.), September 1, 2017, 2017 Pacific cod apportionment for through 1200 hours, A.l.t., November 1, catcher/processors using trawl gear in This action is required by § 679.25 2017. Comments must be received at the the Central Regulatory Area of the GOA. and is exempt from review under following address no later than 4:30 Therefore, in accordance with Executive Order 12866. p.m., A.l.t., September 15, 2017. § 679.25(a)(1)(i), (a)(2)(i)(C), and Authority: 16 U.S.C. 1801 et seq. ADDRESSES: Submit your comments, (a)(2)(iii)(D), and to fully use the 2017 Dated: August 30, 2017. identified by NOAA–NMFS–2016–0127, total allowable catch (TAC) of Pacific by either of the following methods: cod in the Central Regulatory Area of Alan D. Risenhoover, • Federal e-Rulemaking Portal: Go to the GOA, NMFS is terminating the Director, Office of Sustainable Fisheries, www.regulations.gov/ previous closure and is opening National Marine Fisheries Service. #!docketDetail;D=NOAA-NMFS-2016- directed fishing for Pacific cod by [FR Doc. 2017–18818 Filed 8–31–17; 4:15 pm] 0127, click the ‘‘Comment Now!’’ icon, catcher/processors using trawl gear in BILLING CODE 3510–22–P complete the required fields, and enter the Central Regulatory Area of the GOA. or attach your comments. The Administrator, Alaska Region, • Mail: Submit written comments to NMFS, (Regional Administrator) Glenn Merrill, Assistant Regional considered the following factors in Administrator, Sustainable Fisheries reaching this decision: (1) The current Division, Alaska Region NMFS, Attn: catch of Pacific cod by catcher/ Ellen Sebastian. Mail comments to P.O. processors using trawl gear in the Box 21668, Juneau, AK 99802–1668. Central Regulatory Area of the GOA

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DEPARTMENT OF COMMERCE After the effective dates of this ACTION: Temporary rule; modification of closure, the maximum retainable a closure; request for comments. National Oceanic and Atmospheric amounts at § 679.20(e) and (f) apply at Administration any time during a trip. SUMMARY: NMFS is opening directed fishing for Pacific cod by catcher vessels 50 CFR Part 679 Classification less than 6feet (18.3 meters) length This action responds to the best overall (LOA) using hook-and-line or [Docket No. 161020985–7181–02] available information recently obtained pot gear in the Bering Sea and Aleutian Islands Management Area (BSAI). This RIN 0648–XF655 from the fishery. The Assistant Administrator for Fisheries, NOAA, action is necessary to fully use the 2017 Fisheries of the Exclusive Economic (AA) finds good cause to waive the total allowable catch of Pacific cod Zone Off Alaska; Atka Mackerel in the requirement to provide prior notice and allocated to catcher vessels less than 60 Bering Sea and Aleutian Islands opportunity for public comment feet LOA using hook-and-line or pot Management Area pursuant to the authority set forth at 5 gear in the BSAI. U.S.C. 553(b)(B) as such a requirement DATES: Effective 1200 hours, Alaska AGENCY: National Marine Fisheries is impracticable and contrary to the local time (A.l.t.), September 1, 2017, Service (NMFS), National Oceanic and public interest. This requirement is through 2400 hours, A.l.t., December 31, Atmospheric Administration (NOAA), impracticable and contrary to the public 2017. Comments must be received at the Commerce. interest as it would prevent NMFS from following address no later than 4:30 ACTION: Temporary rule; closure. responding to the most recent fisheries p.m., A.l.t., September 21, 2017. data in a timely fashion and would ADDRESSES: Submit your comments, SUMMARY: NMFS is prohibiting directed delay the closure of the Atka mackerel identified by NOAA–NMFS–2016–0140, fishing for Atka mackerel in the Central directed fishery in the CAI for vessels by either of the following methods: Aleutian district (CAI) of the Bering Sea participating in the BSAI trawl limited • Federal e-Rulemaking Portal. Go to and Aleutian Islands management area access fishery. NMFS was unable to www.regulations.gov/ (BSAI) by vessels participating in the publish a notice providing time for #!docketDetail;D=NOAA-NMFS-2016- BSAI trawl limited access fishery. This public comment because the most 0140, click the ‘‘Comment Now!’’ icon, action is necessary to prevent exceeding recent, relevant data only became complete the required fields, and enter the 2017 total allowable catch (TAC) of available as of August 30, 2017. The AA or attach your comments. Atka mackerel in this area allocated to also finds good cause to waive the 30- • Mail: Submit written comments to vessels participating in the BSAI trawl day delay in the effective date of this Glenn Merrill, Assistant Regional limited access fishery. action under 5 U.S.C. 553(d)(3). This Administrator, Sustainable Fisheries DATES: Effective 1200 hrs, Alaska local finding is based upon the reasons Division, Alaska Region NMFS, Attn: time (A.l.t.), August 31, 2017, through provided above for waiver of prior Ellen Sebastian. Mail comments to P.O. 2400 hrs, A.l.t., December 31, 2017. notice and opportunity for public Box 21668, Juneau, AK 99802–1668. FOR FURTHER INFORMATION CONTACT: comment. Instructions: NMFS may not consider Steve Whitney, 907–586–7228. This action is required by § 679.20 comments if they are sent by any other SUPPLEMENTARY INFORMATION: NMFS and is exempt from review under method, to any other address or manages the groundfish fishery in the Executive Order 12866. individual, or received after the BSAI exclusive economic zone Authority: 16 U.S.C. 1801 et seq. comment period ends. All comments according to the Fishery Management received are a part of the public record Dated: August 31, 2017. and NMFS will post the comments for Plan for Groundfish of the Bering Sea Alan D. Risenhoover, and Aleutian Islands Management Area public viewing on www.regulations.gov Director, Office of Sustainable Fisheries, without change. All personal identifying (FMP) prepared by the North Pacific National Marine Fisheries Service. Fishery Management Council under information (e.g., name, address), authority of the Magnuson-Stevens [FR Doc. 2017–18830 Filed 8–31–17; 4:15 pm] confidential business information, or Fishery Conservation and Management BILLING CODE 3510–22–P otherwise sensitive information Act. Regulations governing fishing by submitted voluntarily by the sender is publicly accessible. NMFS will accept U.S. vessels in accordance with the FMP DEPARTMENT OF COMMERCE appear at subpart H of 50 CFR part 600 anonymous comments (enter ‘‘N/A’’ in the required fields if you wish to remain and 50 CFR part 679. National Oceanic and Atmospheric anonymous). The 2017 TAC of Atka mackerel, in Administration the CAI, allocated to vessels FOR FURTHER INFORMATION CONTACT: participating in the BSAI trawl limited 50 CFR Part 679 Obren Davis, 907–586–7228. access fishery was established as a SUPPLEMENTARY INFORMATION: NMFS directed fishing allowance of 1,600 [Docket No. 161020985–7181–02] manages the groundfish fishery in the metric tons by the final 2017 and 2018 BSAI exclusive economic zone harvest specifications for groundfish in according to the Fishery Management the BSAI (82 FR 11826, February 27, RIN 0648–XF675 Plan for Groundfish of the Bering Sea 2017). Fisheries of the Exclusive Economic and Aleutian Islands Management Area In accordance with § 679.20(d)(1)(iii), Zone Off Alaska; Pacific Cod in the (FMP) prepared by the North Pacific the Regional Administrator finds that Bering Sea and Aleutian Islands Fishery Management Council under this directed fishing allowance has been Management Area authority of the Magnuson-Stevens reached. Consequently, NMFS is Fishery Conservation and Management prohibiting directed fishing for Atka AGENCY: National Marine Fisheries Act. Regulations governing fishing by mackerel in the CAI by vessels Service (NMFS), National Oceanic and U.S. vessels in accordance with the FMP participating in the BSAI trawl limited Atmospheric Administration (NOAA), appear at subpart H of 50 CFR part 600 access fishery. Commerce. and 50 CFR part 679.

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NMFS closed directed fishing for Classification The AA also finds good cause to Pacific cod by catcher vessels less than waive the 30-day delay in the effective 60 feet LOA using hook-and-line or pot This action responds to the best date of this action under 5 U.S.C. gear in the BSAI under available information recently obtained 553(d)(3). This finding is based upon from the fishery. The Assistant § 679.20(d)(1)(iii) on February 7, 2017 the reasons provided above for waiver of Administrator for Fisheries, NOAA (82 FR 9530, February 7, 2017). prior notice and opportunity for public (AA), finds good cause to waive the NMFS has determined that as of comment. August 30, 2017, approximately 1,175 requirement to provide prior notice and metric tons of Pacific cod remain in the opportunity for public comment Without this inseason adjustment, 2017 Pacific cod apportionment for pursuant to the authority set forth at 5 NMFS could not allow the fishery for catcher vessels less than 60 feet LOA U.S.C. 553(b)(B) as such requirement is Pacific cod by catcher vessels less than using hook-and-line or pot gear in the impracticable and contrary to the public 60 feet LOA using hook-and-line or pot BSAI. Therefore, in accordance with interest. This requirement is gear in the BSAI to be harvested in an § 679.25(a)(1)(i), (a)(2)(i)(C), and impracticable and contrary to the public expedient manner and in accordance (a)(2)(iii)(D), and to fully use the 2017 interest as it would prevent NMFS from with the regulatory schedule. Under total allowable catch (TAC) of Pacific responding to the most recent fisheries § 679.25(c)(2), interested persons are cod in the BSAI, NMFS is terminating data in a timely fashion and would invited to submit written comments on the previous closure and is opening delay the opening of directed fishing for this action to the above address until directed fishing for Pacific cod by Pacific cod by catcher vessels less than September 21, 2017. catcher vessels less than 60 feet LOA 60 feet LOA using hook-and-line or pot using hook-and-line or pot gear in the gear in the BSAI. Immediate notification This action is required by § 679.25 BSAI. The Administrator, Alaska is necessary to allow for the orderly and is exempt from review under Region, NMFS, (Regional Administrator) conduct and efficient operation of this Executive Order 12866. considered the following factors in fishery, to allow the industry to plan for Authority: 16 U.S.C. 1801 et seq. reaching this decision: (1) The current the fishing season, and to avoid Dated: August 31, 2017. catch of Pacific cod by catcher vessels potential disruption to the fishing fleet less than 60 feet LOA using hook-and- and processors. NMFS was unable to Alan D. Risenhoover, line or pot gear in the BSAI and, (2) the publish a notice providing time for Director, Office of Sustainable Fisheries, harvest capacity and stated intent on public comment because the most National Marine Fisheries Service. future harvesting patterns of vessels in recent, relevant data only became [FR Doc. 2017–18862 Filed 8–31–17; 4:15 pm] participating in this fishery. available as of August 30, 2017. BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 82, No. 171

Wednesday, September 6, 2017

This section of the FEDERAL REGISTER to http://regulations.gov, including any European Aviation Safety Agency contains notices to the public of the proposed personal information the commenter (EASA), Revision 5, dated September issuance of rules and regulations. The provides. Using the search function of 15, 2015. Both models will be purpose of these notices is to give interested the docket Web site, anyone can find documented on a single type certificate. persons an opportunity to participate in the and read the electronic form of all The model ASG 32 is a two-seat, mid- rule making prior to the adoption of the final rules. comments received into any FAA wing, glider constructed from carbon-, docket, including the name of the glass-, and synthetic-fiber reinforced individual sending the comment (or plastic and features a 65.6 foot (20 DEPARTMENT OF TRANSPORTATION signing the comment for an association, meter) wingspan with flaps, double- business, labor union, etc.). DOT’s panel Schempp-Hirth airbrakes on the Federal Aviation Administration complete Privacy Act Statement can be upper wing surface, winglets, water found in the Federal Register published ballast tanks in the wing, and optional 14 CFR Part 21 on April 11, 2000 (65 FR 19477–19478), tanks in the fuselage. The glider also [Docket No. FAA–2017–0863] as well as at http://DocketsInfo.dot.gov. features a retractable landing gear with Docket: Background documents or hydraulic disc brakes and a Airworthiness Criteria: Glider Design comments received may be read at conventional T-type tailplane. The Criteria for Alexander Schleicher http://www.regulations.gov at any time. model ASG 32 Mi adds a retractable GmbH & Co. Models ASG 32 & ASG 32 Follow the online instructions for engine and fixed pitch propeller Mi Gliders accessing the docket or go to the Docket mounted in the center fuselage behind Operations in Room W12–140 of the the cockpit which allows the glider to AGENCY: Federal Aviation West Building Ground Floor at 1200 be self-launching. Both glider versions Administration (FAA), DOT. New Jersey Avenue SE., Washington, have a maximum weight of 1,874 ACTION: Notice of proposed design DC, between 9 a.m. and 5 p.m., Monday pounds (850 kilograms). The EASA type criteria. through Friday, except Federal holidays. certificated the ASG 32 and ASG 32 Mi FOR FURTHER INFORMATION CONTACT: Mr. gliders under Type Certificate Number SUMMARY: This notice announces the Jim Rutherford, AIR–692, Federal (No.) EASA.A.599 on February 11, 2016. availability of and requests comments Aviation Administration, Policy & The associated EASA Type Certificate on the proposed design criteria for the Innovation Division, Small Airplane Data Sheet (TCDS) No. EASA.A.599 Alexander Schleicher GmbH & Co. Standards Branch, 901 Locust, Room defined the certification basis Alexander models ASG 32 & ASG 32 Mi gliders. 301, Kansas City, MO 64106, telephone Schleicher GmbH & Co. submitted to the The administrator finds the proposed (816) 329–4165, facsimile (816) 329– FAA for review and acceptance. design criteria, which make up the 4090. The applicable requirements for glider certification basis for the ASG 32 & ASG SUPPLEMENTARY INFORMATION: certification in the United States can be 32 Mi gliders, acceptable.These final found in FAA Advisory Circular (AC) design criteria will be published in the Comments Invited 21.17–2A, ‘‘Type Certification—Fixed- Federal Register. We invite interested people to take Wing Gliders (Sailplanes), Including DATES: Comments must be received on part in this rulemaking by sending Powered Gliders,’’ dated February 10, or before October 6, 2017. written comments, data, or views. The 1993. AC 21.17–2A has been the basis ADDRESSES: Send comments identified most helpful comments reference a for certification of gliders and powered by docket number FAA–2017–0863 specific portion of the design criteria, gliders in the United States for many using any of the following methods: explain the reason for any years. AC 21.17–2A states that b Federal eRegulations Portal: Go to recommended change, and include applicants may utilize the Joint Aviation http://www.regulations.gov and follow supporting data. We ask that you send Requirements (JAR)–22, ‘‘Sailplanes and the online instructions for sending your us two copies of written comments. Powered Sailplanes,’’ or another comments electronically. We will consider all comments accepted airworthiness criteria, or a b Mail: Send comments to Docket received on or before the closing date combination of both, as the accepted Operations, M–30, U.S. Department of for comments. We will consider means for showing compliance for Transportation (DOT), 1200 New Jersey comments filed late if it is possible to glider type certification. Avenue SE., Room W12–140, West do so without incurring expense or Type Certification Basis Building Ground Floor, Washington, delay. We may change these DC, 20590–0001. airworthiness design criteria based on The applicant proposed a b Hand Delivery of Courier: Take received comments. Certification Basis based on EASA comments to Docket Operations in Certification Specification (CS)–22, Room W12–140 of the West Building Background ‘‘Sailplanes and Powered Sailplanes’’, Ground Floor at 1200 New Jersey On August 23, 2016, Alexander amendment 2, dated March 05, 2009. In Avenue SE., Washington, DC, between 9 Schleicher GmbH & Co. submitted an addition to CS–22 requirements, the a.m. and 5 p.m., Monday through application for type validation of the applicant proposed to comply with Friday, except Federal holidays. ASG 32 glider and ASG 32 Mi powered other requirements from the b Fax: Fax comments to Docket glider in accordance with the Technical certification basis referenced in EASA Operations at 202–493–2251. Implementation Procedures for TCDS No. EASA.A.599, including Privacy: The FAA will post all Airworthiness and Environmental special conditions and equivalent safety comments it receives, without change, Certification Between the FAA and the findings.

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The Proposed Design Criteria SUMMARY: The Coast Guard proposes to high speeds of the participants during Applicable Airworthiness Criteria establish a recurring special local the races would be a safety concern for under § 21.17(b). regulation for navigable waters of the anyone who would enter the race area. The purpose of this rulemaking is to Based on the Special Class provisions Atlantic Ocean in the vicinity of the ensure the safety of vessels and the of § 21.17(b), the following Fort Lauderdale for the Grand Prix of navigable waters within the established airworthiness requirements form the the Seas. The Fort Lauderdale Grand Prix of the Seas race course is located race area, marked with buoys. The Coast FAA Certification Basis for this design: east of South Beach Park and North of Guard proposes this rulemaking under 1. 14 CFR part 21, effective February the Port Everglades inlet. authority in 33 U.S.C. 1233. 1, 1965, including amendments 21–1 Approximately one hundred high-speed through 21–98 as applicable. III. Discussion of Proposed Rule personal watercraft are expected to 2. EASA CS–22, amendment 2, dated participate in this annual event. The The COTP proposes to establish a March 05, 2009. special local regulation is needed to special local regulation for this event 3. EASA Special Condition No. SC– protect personnel, vessels, and the occurring annually on one weekend A.22.1.01, ‘‘Increase in maximum mass marine environment from potential (Friday, Saturday, and Sunday) in for sailplanes and powered sailplanes.’’ hazards during the race event. All November. The special local regulation 4. EASA Equivalent Safety Finding to vessels and persons in the regulated would cover all navigable waters within CS–22.335(f)—Alternate method to area must follow the direction of Coast the established race area, marked with calculate the Design Maximum Speed Guard personnel, law enforcement, and buoys, approximately one mile north of (VD) using the Organisation Scientifique race officials. We invite your comments the Port Everglades inlet. The duration ´ et Technique Internationale du Vol a on this proposed rulemaking. of the zone is intended to protect Voile (OSTIV), Airworthiness Standards DATES: Comments and related material personnel, vessels, and the marine for Sailplanes, dated July 1997. must be received by the Coast Guard on environment in the navigable waters 5. EASA Equivalent Safety Finding to or before October 6, 2017. Fort Lauderdale Grand Prix of the Seas CS–22.585(a)—Alternate basis for lower ADDRESSES: You may submit comments race event. Only those vessels towing loads and subsequent lower participating in the event may enter, lauching hook attachment loads. identified by docket number USCG– 2017–0552 using the Federal transit through, anchor in, or remain 6. ‘‘Standards for Structural within the regulated area, and all Substantiation of Sailplane and eRulemaking Portal at http:// www.regulations.gov. See the ‘‘Public vessels and persons in the regulated Powered Sailplane Parts Consisting of area must follow the direction of Coast Glass or Carbon Fiber Reinforced Participation and Request for Comments’’ portion of the Guard personnel, law enforcement, and Plastics,’’ Luftfahrt-Bundesamt (LBA) race officials. The proposed regulatory document no. I4–FVK/91, issued July SUPPLEMENTARY INFORMATION section for further instructions on submitting text appears at the end of this 1991. comments. document. 7. ‘‘Guideline for the analysis of the electrical system for powered FOR FURTHER INFORMATION CONTACT: If IV. Regulatory Analyses sailplanes,’’ LBA document no. I334– you have questions about this proposed We developed this proposed rule after MS 92, issued September 15, 1992. rulemaking, call or email Petty Officer considering numerous statutes and 8. Operations allowed: VFR-Day Mara J. Brown, Sector Miami Waterways Executive orders related to rulemaking. 9. EASA Type Certificate Data Sheet Management Division, U.S. Coast Below we summarize our analyses No. EASA.A.599, Issue 02, dated March Guard; telephone (305) 535–4317, email based on a number of these statutes and 17, 2016. [email protected]. Executive orders and we discuss First 10. Date of application for FAA Type SUPPLEMENTARY INFORMATION: Amendment rights of protestors. Certificate: August 23, 2016. I. Table of Abbreviations A. Regulatory Planning and Review Issued in Kansas City, Missouri on August 28, 2017. CFR Code of Federal Regulations Executive Orders 12866 and 13563 William Schinstock, DHS Department of Homeland Security direct agencies to assess the costs and FR Federal Register benefits of available regulatory Acting Manager, Small Airplane Standards NPRM Notice of proposed rulemaking alternatives and, if regulation is Branch, Aircraft Certification Service. § Section necessary, to select regulatory [FR Doc. 2017–18846 Filed 9–5–17; 8:45 am] U.S.C. United States Code approaches that maximize net benefits. BILLING CODE 4910–13–P Executive Order 13771 directs agencies II. Background, Purpose, and Legal to control regulatory costs through a Basis budgeting process. This NPRM has not DEPARTMENT OF HOMELAND On June 7, 2017, the company been designated a ‘‘significant SECURITY Powerboat P1–USA, LLC notified the regulatory action,’’ under Executive Coast Guard that it will be conducting Order 12866. Accordingly, the NPRM Coast Guard the Ft. Lauderdale Grand Prix of the has not been reviewed by the Office of Seas annually. This event will occur Management and Budget (OMB), and 33 CFR Part 100 yearly on one weekend (Friday, pursuant to OMB guidance it is exempt [Docket Number USCG–2017–0552] Saturday, and Sunday) in November. from the requirements of Executive The race course will be located directly Order 13771. RIN 1625–AA08 east of South Beach Park in Ft. This regulatory action determination Lauderdale, FL. The special local is based on the size, location, and time- Special Local Regulation; Atlantic regulation is intended to protect of-year of the special local regulation. Ocean, Ft. Lauderdale, FL personnel, vessels, and the marine Vessel traffic will be able to safely AGENCY: Coast Guard, DHS. environment. The Captain of the Port transit around this regulated area, which Miami (COTP) has determined that will impact a small designated area of ACTION: Notice of proposed rulemaking. potential hazards associated with the the Atlantic Ocean in Fort Lauderdale,

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FL, directly adjacent to the shore, for Order and have determined that it is G. Protest Activities three days. consistent with the fundamental The Coast Guard respects the First federalism principles and preemption B. Impact on Small Entities Amendment rights of protesters. requirements described in Executive Protesters are asked to contact the The Regulatory Flexibility Act of Order 13132. person listed in the FOR FURTHER 1980, 5 U.S.C. 601–612, as amended, Also, this proposed rule does not have INFORMATION CONTACT section to requires Federal agencies to consider coordinate protest activities so that your the potential impact of regulations on tribal implications under Executive message can be received without small entities during rulemaking. The Order 13175, Consultation and jeopardizing the safety or security of term ‘‘small entities’’ comprises small Coordination with Indian Tribal people, places, or vessels. businesses, not-for-profit organizations Governments, because it would not have a substantial direct effect on one or that are independently owned and V. Public Participation and Request for operated and are not dominant in their more Indian tribes, on the relationship Comments fields, and governmental jurisdictions between the Federal Government and Indian tribes, or on the distribution of We view public participation as with populations of less than 50,000. essential to effective rulemaking, and The Coast Guard certifies under 5 U.S.C. power and responsibilities between the Federal Government and Indian tribes. will consider all comments and material 605(b) that this proposed rule would not received during the comment period. have a significant economic impact on If you believe this proposed rule has implications for federalism or Indian Your comment can help shape the a substantial number of small entities. outcome of this rulemaking. If you While some owners or operators of tribes, please contact the person listed submit a comment, please include the vessels intending to transit the regulated in the FOR FURTHER INFORMATION docket number for this rulemaking, area may be small entities, for the CONTACT section. indicate the specific section of this reasons stated in section IV.A above, E. Unfunded Mandates Reform Act document to which each comment this proposed rule would not have a applies, and provide a reason for each significant economic impact on any The Unfunded Mandates Reform Act suggestion or recommendation. vessel owner or operator. of 1995 (2 U.S.C. 1531–1538) requires We encourage you to submit If you think that your business, Federal agencies to assess the effects of comments through the Federal organization, or governmental their discretionary regulatory actions. In eRulemaking Portal at http:// jurisdiction qualifies as a small entity particular, the Act addresses actions www.regulations.gov. If your material and that this rule would have a that may result in the expenditure by a cannot be submitted using http:// significant economic impact on it, State, local, or tribal government, in the www.regulations.gov, contact the person please submit a comment (see aggregate, or by the private sector of in the FOR FURTHER INFORMATION ADDRESSES) explaining why you think it $100,000,000 (adjusted for inflation) or CONTACT section of this document for qualifies and how and to what degree more in any one year. Though this alternate instructions. this rule would economically affect it. proposed rule would not result in such We accept anonymous comments. All Under section 213(a) of the Small an expenditure, we do discuss the Business Regulatory Enforcement comments received will be posted effects of this rule elsewhere in this without change to http:// Fairness Act of 1996 (Pub. L. 104–121), preamble. we want to assist small entities in www.regulations.gov and will include understanding this proposed rule. If the F. Environment any personal information you have rule would affect your small business, provided. For more about privacy and organization, or governmental We have analyzed this proposed rule the docket, visit http:// jurisdiction and you have questions under Department of Homeland www.regulations.gov/privacyNotice. concerning its provisions or options for Security Management Directive 023–01 Documents mentioned in this NPRM compliance, please contact the person and Commandant Instruction as being available in the docket, and all public comments, will be in our online listed in the FOR FURTHER INFORMATION M16475.lD, which guide the Coast docket at http://www.regulations.gov CONTACT section. The Coast Guard will Guard in complying with the National and can be viewed by following that not retaliate against small entities that Environmental Policy Act of 1969 (42 Web site’s instructions. Additionally, if question or complain about this U.S.C. 4321–4370f), and have made a you go to the online docket and sign up proposed rule or any policy or action of preliminary determination that this for email alerts, you will be notified the Coast Guard. action is one of a category of actions that do not individually or cumulatively when comments are posted or a final C. Collection of Information have a significant effect on the human rule is published. This proposed rule would not call for environment. This proposed rule List of Subjects in 33 CFR Part 100 a new collection of information under involves a special local regulation the Paperwork Reduction Act of 1995 lasting three four days that will impact Marine safety, Navigation (water), (44 U.S.C. 3501–3520). a small area in the vicinity of the Port Reporting and recordkeeping Everglades Inlet. It is categorically requirements, Waterways. D. Federalism and Indian Tribal excluded from further review under For the reasons discussed in the Governments paragraph 34(h) of Figure 201 of the preamble, the Coast Guard proposes to A rule has implications for federalism Commandant Instructions. A amend 33 CFR part 100 as follows: under Executive Order 13132, preliminary Record of Environmental Federalism, if it has a substantial direct Consideration supporting this PART 100—SAFETY OF LIFE ON effect on the States, on the relationship determination is available in the docket NAVIGABLE WATERS between the national government and where indicated under ADDRESSES. We ■ 1. The authority citation for part 100 the States, or on the distribution of seek any comments or information that continues to read as follows: power and responsibilities among the may lead to the discovery of a various levels of government. We have significant environmental impact from Authority: 33 U.S.C. 1233. analyzed this proposed rule under that this proposed rule. ■ 2. Add § 100.723 to read as follows:

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§ 100.723 Special Local Regulation; Fort (d) Enforcement date. This section through the Federal Docket Management Lauderdale Grand Prix of the Seas; Fort will be enforced annually on a weekend System (FDMS) at http:// Lauderdale, FL. (Friday, Saturday and Sunday) in the www.Regulations.gov. (a) Location. The following regulated month of November. FOR FURTHER INFORMATION CONTACT: area is established as a special local Dated: August 22, 2017. regulation. All navigable waters Ruth Berkheimer, Insurance Specialist, J.H.D. Solomon, contained within an imaginary line Department of Veterans Affairs connecting the following points: Captain, U.S. Coast Guard, Acting Captain Insurance Center (310/290B), 5000 of the Port Miami. beginning at Point 1 in position 26°6′21″ Wissahickon Avenue, Philadelphia, PA N., 080°5′51″ W.; thence west to Point [FR Doc. 2017–18829 Filed 9–5–17; 8:45 am] 19144, (215) 842–2000, ext. 4275 (this is 2 in position 26°6′21″ N., 080°6′13″ W.; BILLING CODE 9110–04–P not a toll-free number). thence north to Point 3 in position SUPPLEMENTARY INFORMATION: Several 26°6′57″ N., 080°6′13″ W.; thence east to statutes regarding entitlement to SGLI, Point 4 in position 26°6′57″ N., DEPARTMENT OF VETERANS FSGLI, and VGLI require a member or 080°5′52″ W., thence back to origin at AFFAIRS an insured to take action ‘‘in writing’’ or point 1. All coordinates are North to submit a ‘‘written’’ application or 38 CFR Part 9 American Datum 1983. request. E.g., 38 U.S.C. 1967(c), 1970(a), (b) Definition. The following RIN 2900–AP98 and 1977(a)(3). For example, under 38 definitions apply to this section: U.S.C. 1967(a)(2) and (a)(3)(B), a (1) The term ‘‘designated Electronic Submission of Certain member of a uniformed service on representative’’ means Coast Guard Servicemembers’ Group Life active duty, active duty for training, or Patrol Commanders, including Coast Insurance, Family Servicemembers’ inactive duty training scheduled in Guard coxswains, petty officers, and Group Life Insurance, and Veterans’ advance by a competent authority and other officers operating Coast Guard Group Life Insurance Forms certain Ready Reservists may ‘‘elect in vessels, and Federal, State, and Local AGENCY: Department of Veterans Affairs. writing’’ not to be insured under SGLI, to decline FSGLI coverage for a spouse, officers designated by or assisting the ACTION: Proposed rule. Captain of the Port Miami in the or to be insured or insure a spouse for enforcement of the regulated areas. SUMMARY: The Department of Veterans less than the statutory maximum (2) The term ‘‘Patrol Commander’’ Affairs (VA) proposes to add a amounts of insurance coverage. means a commissioned, warrant, or regulation governing the Until recently, members have utilized petty officer of the Coast Guard who has Servicemembers’ Group Life Insurance a paper version of SGLV 8286, been designated by the respective Coast (SGLI) and Veterans’ Group Life Servicemembers’ Group Life Insurance Guard Sector Commander to enforce Insurance (VGLI) programs to provide (SGLI) Election and Certificate, to make these regulations. that certain SGLI, Family SGLI (FSGLI) changes to their SGLI coverage amount (3) The term ‘‘spectators’’ means all and VGLI applications, elections, and and to designate beneficiaries to receive persons and vessels not registered with beneficiary designations required by the insurance proceeds upon their death the event sponsor as participants or statute to be ‘‘written’’ or ‘‘in writing’’ and a paper version of SGLV 8286A, official patrol vessels. would include those submitted via an Spouse Coverage Election and (c) Regulations. agency approved electronic means that Certificate, to make changes to their (1) All non-participant persons and are digitally or electronically signed. spousal coverage. The VA Insurance vessels are prohibited from entering, DATES: Comments must be received on Service, however, partnered with the transiting through, anchoring in, or or before November 6, 2017. Department of Defense to develop the remaining within the regulated area ADDRESSES: Written comments may be SGLI Online Enrollment System (SOES), unless authorized by the Captain of the submitted through http:// an electronic application system that Port Miami or a designated www.Regulations.gov; by mail or hand- allows members to make electronic representative. delivery to: Director, Regulations updates and changes to their SGLI and (2) Persons and vessels desiring to Management (00REG), Department of FSGLI coverage amounts and their SGLI enter, transit through, anchor in, remain Veterans Affairs, 810 Vermont Ave. beneficiary designations 24 hours a day, within or transit in excess of wake NW., Room 1068, Washington, DC 7 days a week. In addition, this speed within any of the regulated area 20420; or by fax to (202) 273–9026 (this electronic system helps to eliminate may contact the Captain of the Port is not a toll-free telephone number). common errors made by members when Miami by telephone at (305) 535–8701, Comments should indicate that they are completing the paper forms. While the or a designated representative via VHF– submitted in response to ‘‘RIN 2900– electronic system is the primary means FM radio on channel 16 to request AP98—Electronic Submission of Certain for insured members to manage their authorization. If authorization is Servicemembers’ Group Life Insurance, SGLI and FSGLI elections, a member granted, all persons and vessels Family Servicemembers’ Group Life may use the paper forms in emergent receiving such authorization must Insurance, and Veterans’ Group Life situations when the member cannot comply with the instructions of the Insurance Forms.’’ access the electronic system. Captain of the Port Miami or a Copies of comments received will be In addition to SOES, veterans are designated representative. available for public inspection in the currently able to apply for VGLI, (3) The Coast Guard will use all Office of Regulation Policy and reinstate their VGLI, or increase the appropriate means to notify the public Management, Room 1068, between the amount of VGLI by completing an in advance of an event of the hours of 8:00 a.m. and 4:30 p.m., online application through a Web site enforcement of these regulations to Monday through Friday (except managed by the Office of include publishing a Notice of holidays). Please call (202) 461–4902 for Servicemembers’ Group Life Insurance Enforcement in the Federal Register and an appointment (this is not a toll-free (OSGLI), https://giosgli.prudential.com/ through the local Notice to Mariners and telephone number). In addition, osgli/web/OSGLIMenu.html, as well as Broadcast Notice to Mariners. comments may be viewed online by mailing a paper copy of SGLV 8714,

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Application for Veterans’ Group Life notice of information and evidence mandates, the President’s priorities, or Insurance to OSGLI. necessary to substantiate claim via the principles set forth in this Executive In light of this modernized processing electronic communication). GPEA also Order.’’ of SGLI and VGLI, VA proposes to bars electronic signatures and electronic The economic, interagency, expressly allow for electronic records from being denied legal effect, budgetary, legal, and policy submission of certain SGLI and VGLI validity, or enforceability because they implications of this regulatory action applications, forms, and beneficiary are in electronic form. Public Law 105– have been examined and it has been designations by adding section 9.22 to 277, §1707, 112 Stat. 2681–751. part 9 of title 38, Code of Federal determined not to be a significant Regulations. New section 9.22(a)(1) Unfunded Mandates regulatory action under Executive Order would define the terms ‘‘in writing’’ and The Unfunded Mandates Reform Act 12866. VA’s impact analysis can be ‘‘written’’ for purposes of certain of 1995 requires, at 2 U.S.C. 1532, that found as a supporting document at statutes in chapter 19, subchapter III, of agencies prepare an assessment of http://www.regulations.gov, usually title 38, United States Code, to mean an anticipated costs and benefits before within 48 hours after the rulemaking intentional recording of words in visual issuing any rule that may result in the document is published. Additionally, a form and to include hard-copy expenditure by State, local, and tribal copy of the rulemaking and its impact documents containing a person’s name governments, in the aggregate, or by the analysis are available on VA’s Web site or mark written or made by that person private sector, of $100 million or more at http://www.va.gov/orpm by following and electronic applications and forms (adjusted annually for inflation) in any the link for ‘‘VA Regulations submitted through a VA approved one year. This proposed rule will have Published.’’ no such effect on State, local, and tribal electronic means that include an Regulatory Flexibility Act electronic or digital signature that governments, or on the private sector. identifies and authenticates a particular Paperwork Reduction Act The Secretary hereby certifies that the person as the source of the electronic adoption of this proposed rule would message and indicates such person’s This proposed rule contains no not have a significant economic impact provisions constituting a collection of approval of the information contained on a substantial number of small entities information under the Paperwork in the electronic document. as they are defined in the Regulatory Reduction Act of 1995 (44 U.S.C. 3501– Section 9.22(a)(2) would provide that Flexibility Act, 5 U.S.C. 601–612. This 3521). application or election forms meeting proposed rule would directly affect only the requirements of new paragraph Executive Orders 12866 and 13563 individuals and would not directly (a)(1) will satisfy the statutory affect any small entities. Therefore, requirement that such forms be Executive Orders 12866 and 13563 direct agencies to assess the costs and pursuant to 5 U.S.C. 605(b), this ‘‘written’’ or ‘‘in writing’’ for purposes proposed rule is exempt from the initial of: (1) Declining SGLI for the member or benefits of available regulatory alternatives and, when regulation is and final regulatory flexibility analysis FSGLI for the member’s insurable requirements of sections 603 and 604. spouse; (2) insuring the member under necessary, to select regulatory SGLI or the member’s spouse under approaches that maximize net benefits List of Subjects in Part 9 FSGLI in an amount less than the (including potential economic, maximum amount of such insurance; (3) environmental, public health and safety Life insurance, Military personnel, restoring or increasing coverage under effects, and other advantages; Veterans. distributive impacts; and equity). SGLI for the member or under FSGLI for Catalog of Federal Domestic Assistance the member’s insurable spouse; (4) Executive Order 13563 (Improving designating one or more beneficiaries Regulation and Regulatory Review) The Catalog of Federal Domestic for the member’s SGLI or insured’s emphasizes the importance of Assistance number and title for the VGLI; and (5) increasing the amount of quantifying both costs and benefits, program affected by this document is coverage under VGLI. This would allow reducing costs, harmonizing rules, and 64.103, Life Insurance for Veterans. members to submit such applications or promoting flexibility. Executive Order elections by mail, hand delivery, or 12866 (Regulatory Planning and Signing Authority electronic means approved by the Review) defines a ‘‘significant The Secretary of Veterans Affairs, or Secretary. regulatory action,’’ requiring review by Section 9.22(b) would state that the Office of Management and Budget designee, approved this document and applications or forms satisfying the (OMB), unless OMB waives such authorized the undersigned to sign and definition in paragraph (a)(1) may be review, as ‘‘any regulatory action that is submit the document to the Office of the submitted for purposes of applying for likely to result in a rule that may: (1) Federal Register for publication VGLI and reinstating lapsed VGLI Have an annual effect on the economy electronically as an official document of coverage. of $100 million or more or adversely the Department of Veterans Affairs. Gina These regulations are consistent with affect in a material way the economy, a S. Farrisee, Deputy Chief of Staff, the Government Paperwork Elimination sector of the economy, productivity, Department of Veterans Affairs, Act (GPEA), Public Law 105–277, tit. competition, jobs, the environment, approved this document on July 25, XVII, 112 Stat. 2681–749 (codified at 44 public health or safety, or State, local, 2017, for publication. U.S.C. 3504 note), which requires or tribal governments or communities; Dated: July 25, 2017. Federal agencies to accept electronic (2) Create a serious inconsistency or Jeffrey Martin, signatures and to allow for electronic otherwise interfere with an action taken submission, maintenance, or disclosure or planned by another agency; (3) Office Program Manager, Office of Regulation Policy & Management, Office of the Secretary, of information as a substitute for paper, Materially alter the budgetary impact of Department of Veterans Affairs. when it is practicable for agencies to do entitlements, grants, user fees, or loan so. See also 38 U.S.C. 118 (VA must programs or the rights and obligations of For the reasons stated in the submit reports to Congress in electronic recipients thereof; or (4) Raise novel preamble, VA proposes to amend 38 format) and 5103(a)(1) (VA may provide legal or policy issues arising out of legal CFR part 9 as set forth below:

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PART 9—SERVICEMEMBERS’ GROUP (1) apply for Veterans’ Group Life consider comments or comment LIFE INSURANCE AND VETERANS’ Insurance; and contents located outside of the primary GROUP LIFE INSURANCE (2) reinstate Veterans’ Group Life submission (i.e. on the Web, cloud, or Insurance. other file sharing system). For ■ 1. The authority citation for part 9 [FR Doc. 2017–18677 Filed 9–5–17; 8:45 am] additional submission methods, please continues to read as follows: BILLING CODE 8320–01–P contact the person identified in the FOR Authority: 38 U.S.C. 501, 1965–1980A, FURTHER INFORMATION CONTACT section. unless otherwise noted. For the full EPA public comment policy, ■ 2. By adding the following section to ENVIRONMENTAL PROTECTION information about CBI or multimedia read as follows: AGENCY submissions, and general guidance on making effective comments, please visit § 9.22 Submission of certain applications 40 CFR Part 52 http://www.epa.gov/dockets/ and forms affecting entitlement to Servicemembers’ Group Life Insurance and [EPA–R01–OAR–2017–0138; A–1–FRL– commenting-epa-dockets. 9967–26–Region 1] Veterans’ Group Life Insurance FOR FURTHER INFORMATION CONTACT: (a)(1) Definition. For purposes of this Air Plan Approval; New Hampshire; Alison C. Simcox, Air Quality Unit, U.S. section, the terms in writing and written Rules for Open Burning and Environmental Protection Agency, EPA mean an intentional recording of words Incinerators New England Regional Office, 5 Post in visual form and include: Office Square—Suite 100, (Mail code (A) Hard-copy applications and forms AGENCY: Environmental Protection OEP05–2), Boston, MA 02109–3912, tel. containing a person’s name or mark Agency (EPA). (617) 918–1684, email simcox.alison@ written or made by that person; and ACTION: Proposed rule. epa.gov. (B) applications and forms submitted through a VA approved electronic SUMMARY: The Environmental Protection SUPPLEMENTARY INFORMATION: In the means that include an electronic or Agency (EPA) is proposing to approve Final Rules Section of this Federal digital signature that identifies and State Implementation Plan (SIP) Register, EPA is approving the State’s authenticates a particular person as the revisions submitted by the State of New SIP submittal as a direct final rule source of the electronic message and Hampshire on August 9, 2011, and July without prior proposal because the indicates such person’s approval of the 23, 2013. These SIP revisions establish Agency views this as a noncontroversial information submitted through such rules for open burning and establish submittal and anticipates no adverse emission standards and operating means. comments. A detailed rationale for the practices for incinerators and wood (2) With regard to the following approval is set forth in the direct final waste burners that are not regulated actions, applications or forms that rule. If no adverse comments are pursuant to federal incinerator satisfy the definition in paragraph (a)(1) received in response to this action rule, will be deemed to satisfy the standards. We are also proposing to approve revisions to the definitions of no further activity is contemplated. If requirement in the referenced statutes EPA receives adverse comments, the that an application, election, or ‘‘Incinerator’’ and ‘‘Wood Waste Burner,’’ submitted by the State on July direct final rule will be withdrawn and beneficiary designation be ‘‘in writing’’ all public comments received will be or ‘‘written’’: 23, 2013 and October 26, 2016, addressed in a subsequent final rule (A) Decline Servicemembers’ Group respectively. This action will have a based on this proposed rule. EPA will Life Insurance for the member or Family beneficial effect on air quality. This Servicemembers’ Group Life Insurance action is being taken in accordance with not institute a second comment period. for the member’s insurable spouse (38 the Clean Air Act. Any parties interested in commenting U.S.C. 1967(a)(2)(A) or (B)); DATES: Written comments must be on this action should do so at this time. (B) Insure the member under received on or before October 6, 2017. Please note that if EPA receives adverse Servicemembers’ Group Life Insurance ADDRESSES: Submit your comments, comment on an amendment, paragraph, or the member’s spouse under Family identified by Docket ID No. EPA–R01– or section of this rule and if that Servicemembers’ Group Life Insurance OAR–2017–0138 at http:// provision may be severed from the in an amount less than the maximum www.regulations.gov, or via email to remainder of the rule, EPA may adopt amount of such insurance (38 U.S.C. [email protected]. For comments as final those provisions of the rule that 1967(a)(3)(B)); submitted at Regulations.gov, follow the are not the subject of an adverse (C) Restore or increase coverage under online instructions for submitting comment. Servicemembers’ Group Life Insurance comments. Once submitted, comments For additional information, see the for the member or under Family cannot be edited or removed from direct final rule which is located in the Servicemembers’ Group Life Insurance Regulations.gov. For either manner of Rules Section of this Federal Register. for the member’s insurable spouse (38 submission, the EPA may publish any U.S.C. 1967(c)); comment received to its public docket. Dated: August 19, 2017. (D) Designate one or more Do not submit electronically any Deborah A. Szaro, beneficiaries for the member’s information you consider to be Acting Regional Administrator, EPA New Servicemembers’ Group Life Insurance Confidential Business Information (CBI) England. or former member’s Veterans’ Group or other information whose disclosure is [FR Doc. 2017–18775 Filed 9–5–17; 8:45 am] Life Insurance (38 U.S.C. 1970(a)); and restricted by statute. Multimedia BILLING CODE 6560–50–P (E) Increase the amount of coverage submissions (audio, video, etc.) must be under Veterans’ Group Life Insurance accompanied by a written comment. (38 U.S.C. 1977(a)(3)). The written comment is considered the (b) Applications or forms that satisfy official comment and should include the definition in paragraph (a)(1) may be discussion of all points you wish to utilized to— make. The EPA will generally not

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ENVIRONMENTAL PROTECTION agency was asked to extend the FOR FURTHER INFORMATION CONTACT: AGENCY comment period. The materials have Sean Lakeman or Nacosta C. Ward, Air been added to the docket, and EPA is Regulatory Management Section, Air 40 CFR Part 52 reopening the comment period for an Planning and Implementation Branch, [EPA–R04–OAR–2007–0085; FRL–9967–12- additional 15 days. Air, Pesticides and Toxics Management Region 4] Division, U.S. Environmental Protection DATES: Comments on the proposed rule Agency, Region 4, 61 Forsyth Street Air Plan Approval; NC; Open Burning published July 18, 2017 (82 FR 32782) SW., Atlanta, Georgia 30303–8960. Mr. and Miscellaneous Revisions must be received on or before Lakeman can be reached via telephone September 21, 2017. at (404) 562–9043 or via electronic mail AGENCY: Environmental Protection at [email protected]. Ms. Ward can Agency (EPA). ADDRESSES: Submit your comments, identified by Docket ID No. EPA–R04– be reached via telephone at (404) 562– ACTION: Proposed rule; reopening of 9140, or via electronic mail at public comment period. OAR–2007–0085 at https:// www.regulations.gov. Follow the online [email protected]. SUMMARY: The Environmental Protection instructions for submitting comments. SUPPLEMENTARY INFORMATION: EPA Agency (EPA) is reopening the comment Once submitted, comments cannot be published a proposed rulemaking on period for a proposed rulemaking notice edited or removed from Regulations.gov. July 18, 2017 (82 FR 32782), which published in the Federal Register on EPA may publish any comment received accompanied a direct final rulemaking July 18, 2017, which accompanied a to its public docket. Do not submit published on the same date (82 FR direct final rulemaking published on the electronically any information you 32767). The proposed revisions include same date. In the July 18, 2017, action, consider to be Confidential Business changes to several regulations and the EPA proposed to approve several Information (CBI) or other information addition of a new section to the revisions to the North Carolina State whose disclosure is restricted by statute. Exclusionary Rules of the North Implementation Plan (SIP) submitted by Multimedia submissions (audio, video, Carolina SIP. It was brought to EPA’s the State of North Carolina through the etc.) must be accompanied by a written attention that it inadvertently did not North Carolina Department of include the October 14, 2004 and Environmental Quality (formerly the comment. The written comment is considered the official comment and January 31, 2008, state submittals and North Carolina Department of related materials in the electronic should include discussion of all points Environment and Natural Resources), docket at the time of the publication of you wish to make. EPA will generally Division of Air Quality, on October 14, the proposed rulemaking action, and the not consider comments or comment 2004, March 24, 2006, and January 31, agency was asked to extend the contents located outside of the primary 2008. The revisions include changes to comment period. The materials have submission (i.e. on the Web, cloud, or several regulations and the addition of been added to the docket, and EPA is a new section to the Exclusionary Rules other file sharing system). For reopening the comment period for an of the North Carolina SIP. It was brought additional submission methods, the full additional 15 days. to EPA’s attention that it inadvertently EPA public comment policy, did not include the October 14, 2004, information about CBI or multimedia Dated: August 21, 2017. and January 31, 2008, state submittals submissions, and general guidance on V. Anne Heard, and related materials in the electronic making effective comments, please visit Acting Regional Administrator, Region 4. docket at the time of the publication of https://www2.epa.gov/dockets/ [FR Doc. 2017–18767 Filed 9–5–17; 8:45 am] the proposed rulemaking notice, and the commenting-epa-dockets. BILLING CODE 6560–50–P

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Notices Federal Register Vol. 82, No. 171

Wednesday, September 6, 2017

This section of the FEDERAL REGISTER Hand- or courier-delivered submittals: including capabilities to bundle contains documents other than rules or Deliver to Patriots Plaza 3, 355 E Street multiple applications into a single file; proposed rules that are applicable to the SW., Room 8–163A, Washington, DC • Foreign governments will be able to public. Notices of hearings and investigations, 20250–3700. view all export certificates for product committee meetings, agency decisions and Instructions: All items submitted by intended for their country issued by rulings, delegations of authority, filing of FSIS in PHIS, as a digital image, through petitions and applications and agency mail or electronic mail must include the statements of organization and functions are Agency name and docket number FSIS– an FSIS-controlled log-in feature, examples of documents appearing in this 2017–0008. Comments received in Foreign Country Log-in (FCL). section. response to this docket will be made New Implementation Date available for public inspection and posted without change, including any The final export rule stated that FSIS DEPARTMENT OF AGRICULTURE personal information, to http:// would begin implementing the PHIS www.regulations.gov. Export Component on June 29, 2017. Food Safety and Inspection Service Docket: For access to background However, to ensure sufficient testing documents or to comments received, go and outreach to all stakeholders, FSIS is [Docket No. FSIS–2017–0008] to the FSIS Docket Room at Patriots delaying the implementation date of the Plaza 3, 355 E Street SW., Room PHIS Export Component to June 29, Public Health Information System 164–A, Washington, DC 20250–3700 2018. On March 27, 2017, FSIS held a (PHIS) Export Component Country between 8:00 a.m. and 4:30 p.m., PHIS Export Component technical Implementation Monday through Friday. webinar to share information and solicit comments on implementation plans. AGENCY: Food Safety and Inspection FOR FURTHER INFORMATION CONTACT: During and after the webinar, FSIS Service, USDA. Rachel Edelstein, Deputy Assistant received requests from industry to delay Administrator, Office of Policy and ACTION: Notice and request for implementation of the system, to ensure Program Development; Telephone: (202) comments. that all stakeholders are prepared and 205–0495, or by Fax: (202) 720–2025. the system is performing effectively. SUMMARY: The Food Safety and Background After considering these requests, FSIS Inspection Service (FSIS) is announcing agreed to extend the implementation and requesting comment on its plan to On June 29, 2016, the Food Safety and date for an additional year (June 29, implement the Public Health Inspection Service (FSIS) published the 2018). More information from the March Information System (PHIS) Export final rule, ‘‘Electronic Export 27 webinar, including audio and Component. In response to stakeholder Application and Certification Charge; transcripts, can be found on FSIS’s PHIS feedback and to ensure sufficient testing Flexibility in the Requirements for Export Component Web page at https:// and outreach, FSIS is extending the Export Inspection Marks, Devices, and www.fsis.usda.gov/wps/portal/fsis/ implementation date of the PHIS Export Certificates; Egg Products Export topics/international-affairs/exporting- Component to June 29, 2018. FSIS will Certification’’ (81 FR 42225). The rule products/phis-export-component. first implement the PHIS Export can be found online at https:// Country Rollout Schedule Component with a limited number of www.fsis.usda.gov/wps/wcm/connect/ foreign countries and will expand 3538b05e-151c-4d82-8664- On June 29, 2018, FSIS will implementation to add countries 096452a32778/2009- implement the PHIS Export Component incrementally. 0026.pdf?MOD=AJPERES, and FSIS with a limited number of countries, and notified the World Trade Organization then gradually expand implementation DATES: Submit comments on or before of the rule (G/TBT/N/USA/678/Add.1). to additional countries. Countries will October 6, 2017. The final rule provided for an electronic be added incrementally in groups. This ADDRESSES: FSIS invites interested export application and certification Notice announces the first group FSIS persons to submit comments on issues system—the Public Health Information intends to include (June 2018; see below discussed and outlined in this notice. System (PHIS) Export Component—in for the Group 1 country list). FSIS will Comments may be submitted by one of the meat, poultry, and egg product announce future groups in advance on the following methods: regulations. the PHIS Export Component Web page Federal eRulemaking Portal: This When the PHIS Export Component is at https://www.fsis.usda.gov/wps/ Web site provides the ability to type incrementally deployed to specific portal/fsis/topics/international-affairs/ short comments directly into the countries, as outlined below, it will exporting-products/phis-export- comment field on this Web page or provide the following improvements: component. Initially, only meat attach a file for lengthier comments. Go • FSIS will electronically inventory (including Siluriformes) and poultry to http://www.regulations.gov/. Follow and track export certificate information, products will be included in the PHIS the on-line instructions at that site for which will enable FSIS Inspection Export Component; egg products and submitting comments. Program Personnel (IPP) to review exact casings will be added at a later date, Mail, CD–ROMs: Send to Docket images (i.e., portable document format which FSIS will announce in advance Clerk, U.S. Department of Agriculture, (PDF)) of export certification documents through the Federal Register, FSIS Food Safety and Inspection Service, prior to approval; Constituent Update, or other Patriots Plaza 3, 1400 Independence • Exporters will be able to appropriate means. Avenue SW., Mailstop 3782, Room electronically submit, track, and manage Beginning on June 29, 2018, FSIS 8–163B, Washington, DC 20250–3700. applications for export certificates, intends to include Australia, New

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Zealand, and the United Arab Emirates important data necessary to certify and application at any point in the approval (UAE) in Group 1 of the PHIS Export facilitate the export of product. process prior to IPP approving the Component. These countries are Beginning on June 29, 2018, export application in PHIS. Once an familiar with technological changes to applicants for export certification to application is withdrawn or cancelled certification systems; use English; and, countries included in the Export by the applicant in PHIS, that in combination, import a moderate Component (e.g. Australia, New application is no longer valid for export amount of the major product classes Zealand, UAE, and 16 listed countries) and is removed from the PHIS user under FSIS’s jurisdiction, giving FSIS will complete either (1) an electronic interface. Applicants will still be sufficient data to assess system export application in PHIS (i.e. charged for all applications whether performance. Selection of these individual application or batch of they are processed or withdrawn. countries reflects FSIS’s consideration applications), or (2) send a paper export For all countries not yet included in application (FSIS Form 9060–6) and any of public comments received on topics the Export Component, applicants required supplemental documents to the presented at an April 2, 2015, should follow current export FSIS proxy (Urbandale, IA) for data conference call, which recommended application procedures. implementing one or more smaller entry into PHIS. Applicants who choose volume, relatively simple certification to use paper applications can email or Of note, to make the application (FSIS countries before moving to higher mail the completed application, and any Form 9060–6) more user-friendly, volume, complex certification countries. additional information required by the prepare for its use in both a paper and FSIS welcomes public comment on the foreign country, to FSIS for entry into electronic format, better align with selection of these three countries for PHIS at: commonly accepted international initial implementation, including Email: FSCExport.Recon@ (Codex Alimentarius, CAC/GL 38–2001) feedback on the feasibility of fsis.usda.gov. guidance and ensure importing country accommodating these countries’ Mail: U.S. Department of Agriculture, requirements are met, FSIS has revised certification requirements through the Food Safety and Inspection Service, the data elements within FSIS form PHIS Export Component process. FMD, Financial Services Center, P.O. 9060–6: Application for Export In Group 1, FSIS is also including 16 Box 9205, Des Moines, IA 50306–9948. Certificate. Industry is not to use this countries that do not maintain meat or Applicants who choose to use paper revised application until June 29, 2018. poultry requirements in the FSIS Export applications can only use fax to send Furthermore, FSIS is eliminating a Library: Afghanistan, Andorra, the completed application (FSIS Form previously approved form associated Bahamas, Bolivia, Burundi, Cape Verde, 9060–6) to FSIS when no additional with the 9060–6—the Product List (FSIS Cook Islands, Ethiopia, Gambia, Guinea, supplemental documents (e.g. letterhead Form 9080–4). Certain limited data Liberia, Mozambique, Paraguay, San certificates) are required by the elements related to product information Marino, Tanzania and Uganda. importing country in the FSIS Export will be moved from FSIS Form 9080–4 Additional countries without export Library. Faxes should be sent to: 1–844– to FSIS Form 9060–6 (HACCP Category; library requirements will be added to 378–1048. Maturity Less than 30 months (beef each group as the Export Component As is done currently, in order for FSIS only); Frozen/Shelf-Stable). rollout proceeds. FSIS may accelerate or to be able to issue a certificate stating Electronic Export Application Fee decelerate the schedule, depending on that a shipment meets the country’s the system’s performance. Based on requirements, applicants are required to The PHIS Export Component will FSIS’s experience with implementing submit complete documentation, based provide new service options to other components of PHIS, unforeseen on requirements found in the FSIS exporters, enabling them to implementation issues may arise, such Export Library, to receive the requested electronically submit, track, and manage as the system’s performance, training certification. their export applications. Therefore, to concerns, or questions from importing Regardless of the method the cover the costs of providing the countries or FSIS IPP. In the first applicant chooses to submit the electronic application and certification country group, FSIS will be working application, the end result of the export service, FSIS established a formula- with foreign governments on a moderate certification process and IPP verification based fee for electronic export amount of product, rather than on high activities will be the same. Starting no applications submitted in PHIS, under product volumes that could more sooner than January 1, 2019, FSIS will the authority of the Agricultural severely and unnecessarily disrupt assess fees for electronic export Marketing Act (7 U.S.C. 1622(h)) and commerce with major trading partners. certificate applications, as is discussed implementing FSIS regulations (9 CFR Starting with low or mid-range volume below. 350.7; 350.3(b); 362.2(b); 362.5). countries will allow FSIS to build a The application process will not The final export rule stated that the foundation for more efficient, change how reimbursable services are formula-based fee for electronic export subsequent implementation with charged by FSIS IPP, as described in the applications would apply on June 29, higher-volume countries that have more 12,000 Series of FSIS Directives on 2017; however, to ensure system complex certification processes, for Voluntary Inspection (https:// performance and the accuracy of which effective outreach and www.fsis.usda.gov/wps/portal/fsis/ estimates in the fee formula, FSIS will implementation of the PHIS Export topics/regulations/directives/12000- not begin assessing the fee prior to Component will be critical. series). When requested, FSIS provides reimbursable inspection services to January 1, 2019, and will recalculate the Application for Export Certificate accommodate business needs, such as fee based on the best available estimates FSIS regulations (9 CFR 322.2 and obtaining export certifications necessary for costs and number of applications. 381.105) require that the FSIS to meet requirements of importing The updated fee will be published in Application for Export Certificate (FSIS countries that are not imposed by FSIS, the Federal Register no later than 30 Form 9060–6) be submitted to obtain an and are in addition to FSIS days prior to its assessment. FSIS Export Certificate of requirements. As stated in the final export rule, the Wholesomeness (FSIS Form 9060–5). In PHIS, export applicants can final electronic export application fee FSIS Form 9060–6 provides FSIS with withdraw or cancel an export formula is as follows:

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The formula elements, summarized FSIS Export Certificate of continuation page), a new addendum to below, are the sum of labor and IT costs, Wholesomeness provide more space for additional divided by the total number of export On June 29, 2018, the PHIS Export attestations, when required by the applications. Component will have the ability to importing country. These updated certification documents will be Labor Costs digitally sign export certificates (FSIS Form 9060–5) from the FSIS certifying implemented with the PHIS Export Æ Technical Support: This cost official. This feature will provide an Component, on June 29, 2018. includes Service Desk support such as additional layer of security for the Country-specific letterhead resolving user problems with the exporter and the importing country’s certificates, and other required application services, identifying web government. At the time the signature is supplemental documentation, will not browser compatibility issues, and fees applied, PHIS will execute security be produced by PHIS. Applicants will from establishments and facilities that checks to validate that the digital complete any required supplemental request this service. signature is that of the FSIS certifying documents (e.g. letterhead certificates) Æ Export Library Maintenance: This official. The digital signature will and upload them to the electronic cost includes funding two full-time include the printed name of the FSIS application in PHIS, or include the employees to provide Export Library certifying official, and the time and date supplemental documents with the functions, includes the writing, testing, that the signature was applied. This export package they send to the FSIS and maintenance of complex business feature, along with other security proxy. rules for evaluating the export features of the PHIS export component, Batch Processing application that is submitted into the such as FSIS-controlled security paper PHIS export system. The business rules on which certificates will be printed, The PHIS Export Component will allow the system to determine product will provide maximum assurance that allow exporters to bundle multiple eligibility before the system accepts the export certificates are authentic. applications, including any application and transmits it to FSIS may also provide certificates supplemental documents (e.g. letterhead inspection program personnel. The signed by FSIS certifying officials with certificates) required by the importing business rules also facilitate the type of an ink signature, as is done currently. country, into a single file, known as export certification required by the The export certificate, signed either batch processing. To maintain system foreign government that will be issued digitally or with an ink signature, will functionality, FSIS reserves the right to when the application is accepted. be printed from PHIS on security paper place limits on batch processing as (81⁄2″ × 11″), and given to the exporter. needed or required by PHIS. FSIS IT Cost FSIS will scan copies of all signed intends to test batch processing with Æ Ongoing Operations & certification documents (e.g. 9060–5, industry users before implementation to Maintenance: This cost includes supplemental letterhead certificates) ensure functionality. Upon improvements and necessary repairs to into PHIS before releasing the signed implementation, FSIS will provide help keep the system responsive to users’ original certification documents to the desk support for batch processing issues needs, including modifying the exporter. Unless specified that a digital (see FSIS’s PHIS Export Component application based on changes in signature is required or allowed in the Web page at https://www.fsis.usda.gov/ requirements or user needs, adding FSIS Export Library, FSIS certifying wps/portal/fsis/topics/international- functionality based on foreign officials will sign all export documents affairs/exporting-products/phis-export- regulatory changes, upkeep of the with an ink signature, as is done component for updates). currently. Any supplemental system to ensure a secure operating Level 2 eAuthentication/Foreign documents, such as letterhead environment that protects the data, and Country Log-In costs to operate the system components. certificates, will be printed on standard 1 2″ × ″ When the PHIS Export Component is This cost may increase in future years 8 ⁄ 11 white copy paper. Of note, FSIS has made limited implemented, foreign government based on General Services revisions to data elements in the FSIS officials will have the capability to view Administration (GSA) schedule Form 9060–5 to better align with all export certificates issued by FSIS in increases in labor rates and other commonly accepted international PHIS, as a digital image, for product factors. Æ (Codex Alimentarius, CAC/GL 38–2001) destined for the government’s country, Level 2 eAuthentication: This cost guidance and to ensure importing through an FSIS-controlled log-in is currently zero, but may increase in country requirements are met. When feature (Foreign Country Log-in, FCL). future years based on a variety of additional space for products or In addition, the original certificates will factors, including the number of export statements is necessary with a 9060–5, be printed on paper and will arrive with business customers annually. PHIS will also generate FSIS Form the shipment, whether FSIS inspection Number of Export Applications: This 9060–5A (product continuation page), personnel apply the signature digitally estimate is the approximate total which is an existing addendum that or with ink. Importing government number of export applications FSIS has aligned with the revised 9060– officials will be able to compare digital submitted to FSIS annually. 5; and FSIS Form 9060–5B (remarks certificate copies in the FCL with the

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original certification documents arriving USDA Nondiscrimination Statement have the option to password protect at the country’s port of entry, to verify their accounts. No agency, officer, or employee of the that the digital certificate copies align USDA shall, on the grounds of race, Done at Washington, DC, on: August 31, with the original certificates arriving color, national origin, religion, sex, 2017. with the shipment. A Level 2 gender identity, sexual orientation, Paul Kiecker, eAuthentication account is necessary to disability, age, marital status, family/ Acting Administrator. access the FCL. An eAuthentication parental status, income derived from a [FR Doc. 2017–18848 Filed 9–5–17; 8:45 am] account is the way for a user to interact public assistance program, or political with USDA Web site portals and BILLING CODE 3410–DM–P beliefs, exclude from participation in, applications using a verified identity for deny the benefits of, or subject to each User ID and profile. Prior to discrimination any person in the United DEPARTMENT OF AGRICULTURE implementation of the PHIS Export States under any program or activity Component, FSIS will provide further conducted by the USDA. Food Safety and Inspection Service guidance on this process. To file a complaint of discrimination, [Docket No. FSIS–2017–0028] USDA Export Stamp complete the USDA Program Discrimination Complaint Form, which Availability of FSIS Compliance The USDA export stamp bears the may be accessed online at http:// Guideline for Minimizing the Risk of export certificate number, and is used to www.ocio.usda.gov/sites/default/files/ Shiga Toxin-Producing Escherichia link the consignment to the docs/2012/Complain_combined_6_8_ Coli (STEC) and Salmonella in Raw corresponding export certificate. 12.pdf, or write a letter signed by you Beef (Including Veal) Processing Beginning on the applicability date of or your authorized representative. Operations June 29, 2018, FSIS is changing the Send your completed complaint form number of digits in the serial number AGENCY: Food Safety and Inspection or letter to USDA by mail, fax, or email: that appears on both the export stamp Service, USDA. and the corresponding export certificate Mail: U.S. Department of Agriculture, ACTION: Notice of availability and from six to seven numbers. Use of an Director, Office of Adjudication, 1400 request for comment. alternative, alpha-numeric unique Independence Avenue SW., identifier in place of the USDA export Washington, DC 20250–9410. SUMMARY: The Food Safety and stamp will be implemented with the Fax: (202) 690–7442. Inspection Service (FSIS) is announcing PHIS Export Component on June 29, Email: [email protected]. the availability of and requesting 2018. Persons with disabilities who require comments on the updated compliance guideline for small and very small eCert alternative means for communication (Braille, large print, audiotape, etc.) businesses on reducing STEC and In the future, FSIS also intends to should contact USDA’s TARGET Center Salmonella in beef and veal operations. support electronic export certification at (202) 720–2600 (voice and TDD). The new guideline will assist small (eCert) in PHIS. eCert is the government- and very small beef (including veal) to-government transmission of Additional Public Notification processing establishments understand certification data and is the electronic FSIS will announce this notice online and comply with the regulatory equivalent of a paper certificate. When through the FSIS Web page located at requirements associated with developed and implemented, electronic http://www.fsis.usda.gov/federal- controlling STEC and Salmonella in raw export certification will allow FSIS to register. non-intact beef products and beef transfer certification data directly to the FSIS will also make copies of this products intended for non-intact use. foreign government’s competent Federal Register publication available The guideline also includes information authority’s certification system. through the FSIS Constituent Update, for establishments and retail stores on developing and maintaining records Group 1 (June 29, 2018) which is used to provide information regarding FSIS policies, procedures, associated with the production of • Export Library: regulations, Federal Register notices, ground beef. 1. Australia FSIS public meetings, and other types of DATES: Submit Comments on or before 2. New Zealand information that could affect or would November 6, 2017. 3. UAE be of interest to constituents and ADDRESSES: A downloadable version of • Non-Export Library: stakeholders. The Update is the compliance guideline is available to 1. Afghanistan communicated via Listserv, a free view and print at https:// 2. Andorra electronic mail subscription service for www.fsis.usda.gov/wps/portal/fsis/ 3. Bahamas industry, trade groups, consumer topics/regulatory-compliance/ 4. Bolivia interest groups, health professionals, compliance-guides-index once copies of 5. Burundi and other individuals who have asked the guideline have been published. 6. Cape Verde to be included. The Update is also FSIS invites interested persons to available on the FSIS Web page. In 7. Cook Islands submit comments on this guidance. addition, FSIS offers an electronic mail Comments may be submitted by one of 8. Ethiopia subscription service which provides the following methods: 9. Gambia automatic and customized access to Federal eRulemaking Portal: This 10. Guinea selected food safety news and Web site provides the ability to type 11. Liberia information. This service is available at short comments directly into the 12. Mozambique http://www.fsis.usda.gov/subscribe. comment field on this Web page or 13. Paraguay Options range from recalls to export attach a file for lengthier comments. Go 14. San Marino information to regulations, directives, to http://www.regulations.gov/. Follow 15. Tanzania and notices. Customers can add or the on-line instructions at that site for 16. Uganda delete subscriptions themselves, and submitting comments.

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Mail, including CD–ROMs: Send to contaminated with STEC unless further assistance under the Small Business Docket Clerk, U.S. Department of processed to destroy this pathogen (64 Regulatory Flexibility Act (SBRFA). Agriculture, Food Safety and Inspection FR 2803). Salmonella does not present However, all FSIS regulated beef Service, Patriots Plaza 3, 1400 the same severe health consequences as establishments may be able to apply the Independence Avenue SW., Mailstop STEC, and FSIS does not have a zero recommendations in this guideline. 3782, Room 8–163B, Washington, DC tolerance for Salmonella in raw non- Additional Public Notification 20250–3700. intact beef products. However, because Hand- or courier-delivered submittals: STEC and Salmonella are hazards that Public awareness of all segments of Deliver to Patriots Plaza 3, 355 E Street have historically occurred in the rulemaking and policy development is SW., Room 8–163A, Washington, DC production of non-intact beef products, important. Consequently, FSIS will 20250–3700. establishments that produce these announce this Federal Register Instructions: All items submitted by products or products intended for non- publication on-line through the FSIS mail or electronic mail must include the intact use must conduct a hazard Web page located at: http:// Agency name, FSIS, and document title: analysis and determine if these www.fsis.usda.gov/federal-register. FSIS Compliance Guideline for pathogens need to be addressed by its FSIS also will make this publication Minimizing the Risk of Shiga toxin- Hazard Analysis and Critical Control available through the FSIS Constituent producing Escherichia coli (STEC) and Point (HACCP) system. FSIS is making Update, which is used to provide Salmonella in Raw Beef (including available the updated compliance information regarding FSIS policies, Veal) Processing Operations 2017. guideline to assist establishments that procedures, regulations, Federal Comments received will be made produce raw non-intact beef products in Register notices, FSIS public meetings, available to the public and posted designing a HACCP system to prevent, and other types of information that without change, including any personal control, and reduce STEC and could affect or would be of interest to information, at http:// Salmonella to acceptable levels in these our constituents and stakeholders. The www.regulations.gov. products. Constituent Update is available on the Docket: For access to background The guideline helps establishments FSIS Web page. Through the Web page, documents or to comments received, go understand the adulterant status of FSIS is able to provide information to a to the FSIS Docket Room at Patriots STEC in beef products, how the much broader, more diverse audience. Plaza 3, 355 E Street SW., Room product’s intended use impacts the In addition, FSIS offers an email 164–A, Washington, DC 20250–3700 hazard analysis, and to develop ongoing subscription service which provides between 8:00 a.m. and 4:30 p.m., verification measures to demonstrate automatic and customized access to Monday through Friday. that the HACCP system is functioning as selected food safety news and intended to reduce STEC to below FOR FURTHER INFORMATION CONTACT: information. This service is available at: detectable levels. In addition, the Roberta Wagner, Assistant http://www.fsis.usda.gov/subscribe. guideline provides updated information Administrator, Office of Policy and Options range from recalls to export for establishments responding to STEC Program Development; Telephone: (202) information, regulations, directives, and positive results to strengthen their food 205–0495. notices. Customers can add or delete safety systems so that additional subscriptions themselves, and have the SUPPLEMENTARY INFORMATION: positive results do not occur in the option to password protect their Background product. While the guideline focuses accounts. primarily on STEC policy, the STEC and Salmonella are pathogens procedures described in this document USDA Non-Discrimination Statement that are associated with foodborne to reduce STEC will also assist No agency, officer, or employee of the illness from consumption of non-intact establishments in reducing Salmonella. USDA shall, on the grounds of race, beef products (e.g., ground beef, FSIS is also providing information in color, national origin, religion, sex, mechanically tenderized steaks). the updated guidance to assist federal gender identity, sexual orientation, Although the percent positive rates of establishments and retail facilities to disability, age, marital status, family/ STEC and Salmonella have decreased, develop and maintain grinding records parental status, income derived from a outbreaks and illnesses continue to as required by the final rule, Records To public assistance program, or political occur from these products (https:// Be Kept By Official Establishments and beliefs, exclude from participation in, www.cdc.gov/ecoli/2016- Retail Stores That May Grind Raw Beef deny the benefits of, or subject to outbreaks.html). Products (80 FR 79231). discrimination any person in the United Raw non-intact beef products present This guideline incorporates all of the States under any program or activity a significant public health risk because above policy updates and includes the conducted by the USDA. they are frequently consumed after most current Agency thinking, and preparation (e.g., cooking hamburger to combines and replaces information from How To File a Complaint of a rare or medium rare state) that does the following previously issued Discrimination not destroy STEC that has been guidance documents: To file a complaint of discrimination, introduced below the product’s surface. (1) Draft Guidance for Small and Very complete the USDA Program Given the low infectious dose of STEC Small Establishments on Sampling Beef Discrimination Complaint Form, which associated with foodborne disease Products for Escherichia coli O157:H7 may be accessed online at http:// outbreaks and the very severe (August 12, 2008); and www.ocio.usda.gov/sites/default/files/ consequences of an STEC infection, (2) Sanitation Guidance for Beef docs/2012/Complain_combined_6_8_ including serious, life-threatening Grinders (January 2012). 12.pdf, or write a letter signed by you human illnesses (hemorrhagic colitis The target audiences for this or your authorized representative. and hemolytic uremic syndrome), raw compliance guideline are small and very Send your completed complaint form non-intact beef products and those beef small establishments in support of the or letter to USDA by mail, fax, or email: products intended for non-intact use are Small Business Administration’s Mail: U.S. Department of Agriculture, adulterated within the meaning of the initiative to provide such Director, Office of Adjudication, 1400 Federal Meat Inspection Act when establishments with compliance Independence Avenue SW.,

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Washington, DC 20250–9410, Fax: (202) Instructions: All items submitted by Round Agreements amended the Trade 690–7442, Email: program.intake@ mail or email are to include the Agency Agreements Act of 1979. Pursuant to usda.gov. name and docket number FSIS–2017– section 491 of the Trade Agreements Act Persons with disabilities who require 0021. Comments received in response to of 1979, as amended, the President is alternative means for communication this docket will be made available for required to designate an agency to be (Braille, large print, audiotape, etc.), public inspection and posted without ‘‘responsible for informing the public of should contact USDA’s TARGET Center change, including any personal the sanitary and phytosanitary (SPS) at (202) 720–2600 (voice and TDD). information to http:// standard-setting activities of each Done, at Washington, DC, August 31, 2017. www.regulations.gov. international standard-setting Please state that your comments refer organization’’ (19 U.S.C. 2578). The Paul Kiecker, to Codex and, if your comments relate main international standard-setting Acting Administrator. to specific Codex committees, please organizations are Codex, the World [FR Doc. 2017–18847 Filed 9–5–17; 8:45 am] identify the committee(s) in your Organisation for Animal Health, and the BILLING CODE 3410–DM–P comments and submit a copy of your International Plant Protection comments to the delegate from that Convention. The President, pursuant to particular committee. Proclamation No. 6780 of March 23, DEPARTMENT OF AGRICULTURE Docket: For access to background 1995, (60 FR 15845), designated the U.S. Food Safety and Inspection Service documents or comments received, visit Department of Agriculture as the agency the FSIS Docket Room at Patriots Plaza responsible for informing the public of [Docket No. FSIS–2017–0021] 3, 355 E Street SW., Room 8–164, the SPS standard-setting activities of Washington, DC 20250–3700, between each international standard-setting International Standard-Setting 8:00 a.m. and 4:30 p.m., Monday organization. The Secretary of Activities through Friday. A complete list of U.S. Agriculture has delegated to the Office AGENCY: Office of Food Safety, USDA. delegates and alternate delegates can be of Food Safety the responsibility to found in Attachment 2 of this notice. inform the public of the SPS standard- ACTION: Notice. FOR FURTHER INFORMATION CONTACT: setting activities of Codex. The Office of SUMMARY: This notice informs the public Mary Frances Lowe, United States Food Safety has, in turn, assigned the of the sanitary and phytosanitary Manager for Codex Alimentarius, U.S. responsibility for informing the public standard-setting activities of the Codex Department of Agriculture, Office of of the SPS standard-setting activities of Alimentarius Commission (Codex), in Food Safety, South Agriculture Codex to the U.S. Codex Office (USCO). accordance with section 491 of the Building, 1400 Independence Avenue Codex was created in 1963 by two Trade Agreements Act of 1979, as SW., Room 4861, Washington, DC United Nations organizations, the Food amended, and the Uruguay Round 20250–3700; Telephone: (202) 205– and Agriculture Organization (FAO) and the World Health Organization (WHO). Agreements Act. This notice also 7760; Fax: (202) 720–3157; Email: Codex is the principal international provides a list of other standard-setting [email protected]. organization for establishing standards activities of Codex, including For information pertaining to for food. Through adoption of food commodity standards, guidelines, codes particular committees, contact the standards, codes of practice, and other of practice, and revised texts. This delegate of that committee. Documents guidelines developed by its committees notice, which covers Codex activities pertaining to Codex and specific and by promoting their adoption and during the time periods from June 1, committee agendas are accessible via implementation by governments, Codex 2016, to May 31, 2017, and June 1, 2017, the Internet at http:// seeks to protect the health of consumers, to May 31, 2018, seeks comments on www.codexalimentarius.org/meetings- ensure fair practices in the food trade, standards under consideration and reports/en/. The U.S. Codex Office also and promote coordination of food maintains a Web site at http:// recommendations for new standards. standards work undertaken by www.fsis.usda.gov/wps/portal/fsis/ ADDRESSES: FSIS invites interested international governmental and topics/international-affairs/us-codex- persons to submit their comments on nongovernmental organizations. In the alimentarius. this notice. Comments may be United States, U.S. Codex activities are submitted by one of the following SUPPLEMENTARY INFORMATION: managed and carried out by the United methods: Background States Department of Agriculture • Federal eRulemaking Portal: This (USDA); the Food and Drug Web site provides the ability to type The World Trade Organization (WTO) Administration (FDA), Department of short comments directly into the was established on January 1, 1995, as Health and Human Services (HHS); the comment field on this Web page or the common international institutional National Oceanic and Atmospheric attach a file for lengthier comments. Go framework for the conduct of trade Administration (NOAA), Department of to http://www.regulations.gov. Follow relations among its members in matters Commerce (DOC); and the the on-line instructions at the Web site related to the Uruguay Round Trade Environmental Protection Agency for submitting comments. Agreements. The WTO is the successor (EPA). • Mail, including CD–ROMs, etc.: organization to the General Agreement As the agency responsible for Mail to the U.S. Department of on Tariffs and Trade (GATT). United informing the public of the SPS Agriculture (USDA), FSIS, 1400 States membership in the WTO was standard-setting activities of Codex, the Independence Avenue SW., Mailstop approved and the Uruguay Round Office of Food Safety publishes this 3782, Room 8–163B, Washington, DC Agreements Act (Uruguay Round notice in the Federal Register annually. 20250–3700. Agreements) was signed into law by the Attachment 1 (Sanitary and • Hand- or courier-delivered items: President on December 8, 1994, Public Phytosanitary Activities of Codex) sets Deliver to OPPD, RIMS, Docket Law 103–465, 108 Stat. 4809. The forth the following information: Clearance Unit, Patriots Plaza 3, 355 E Uruguay Round Agreements became 1. The SPS standards under Street SW., Room 8–164, Washington, effective, with respect to the United consideration or planned for DC 20250–3700. States, on January 1, 1995. The Uruguay consideration; and

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2. For each SPS standard specified: Codex Officials (including U.S. considered proposals for new work by a. A description of the consideration delegates and alternate delegates). A list the Task Force on Antimicrobial or planned consideration of the of forthcoming Codex sessions may be Resistance; the Regular Review of Codex standard; found at: http:// Work Management (electronic working b. Whether the United States is www.codexalimentarius.org/meetings- groups); FAO/WHO Scientific Support participating or plans to participate in reports/en/. for Codex; FAO/WHO Capacity the consideration of the standard; Development and Trust Fund Activities; Additional Public Notification c. The agenda for United States Relations between Codex and Other participation, if any; and Public awareness of all segments of International Organizations; financial d. The agency responsible for rulemaking and policy development is and budgetary issues; Election of the representing the United States with important. FSIS will announce this Chairperson, Vice-Chairpersons, and respect to the standard. Federal Register publication on-line Members of the Executive Committee; TO OBTAIN COPIES OF THE through the FSIS Web page located at: and designation of Countries STANDARDS LISTED IN http://www.fsis.usda.gov/federal- responsible for appointing the ATTACHMENT 1, PLEASE CONTACT register. Chairpersons of Codex Subsidiary THE CODEX DELEGATE, U.S. CODEX FSIS also will make copies of this Bodies. OFFICE, OR VISIT THE CODEX publication available through the FSIS Before the Commission session, the ALIMENTARIUS WEBSITE: http:// Constituent Update, which is used to www.fao.org/fao-who- Executive Committee met at its 73rd provide information regarding FSIS Session, July 10–13, 2017. It was codexalimentarius/standards/en/. policies, procedures, regulations, This notice also solicits public composed of the chairperson; vice- Federal Register notices, FSIS public chairpersons; seven members elected comment on standards that are currently meetings, and other types of information under consideration or planned for from the Commission from each of the that could affect or would be of interest following geographic regions: Africa, consideration and recommendations for to our constituents and stakeholders. new standards. The delegate, in Asia, Europe, Latin America and the The Update is available on the FSIS Caribbean, Near East, North America, conjunction with the responsible Web page. Through the Web page, FSIS agency, will take the comments received and South-West Pacific; and regional is able to provide information to a much coordinators from the six regional into account in participating in the broader, more diverse audience. In consideration of the standards and in committees. Canada was the elected addition, FSIS offers an email representative from North America; the proposing matters to be considered by subscription service which provides Codex. United States participated as an advisor. automatic and customized access to The Executive Committee conducted a The U.S. delegate will facilitate public selected food safety news and participation in the United States critical review of the elaboration of information. This service is available at: Codex standards and considered Government’s activities relating to http://www.fsis.usda.gov/subscribe. Codex. The U.S. delegate will maintain Revitalization of the FAO/WHO Options range from recalls to export Regional Coordinating Committees; a list of individuals, groups, and information, regulations, directives, and organizations that have expressed an Implementation Status of the 2014–2019 notices. Customers can add or delete Strategic Plan and Preparation of the interest in the activities of the Codex subscriptions themselves, and have the Committees and will disseminate 2020–2025 Strategic Plan; Committees option to password protect their Working by Correspondence; Codex and information regarding U.S. delegation accounts. activities to interested parties. This Sustainable Development Goals; FAO/ information will include the status of Done at Washington, DC, on August 31, WHO Scientific Support for Codex each agenda item; the U.S. 2017. work; Relations between FAO and WHO Government’s position or preliminary Mary Frances Lowe, Policies, Strategies and Guidelines and position on the agenda items; and the U.S. Manager for Codex Alimentarius. Codex Work; and financial and time and place of planning meetings budgetary issues. and debriefing meetings following the Attachment 1: U.S. Participation: Yes. Codex committee sessions. In addition, Sanitary and Phytosanitary Activities of Responsible Agency: USDA/FSIS/ the U.S. Codex Office makes much of Codex USCO. the same information available through Codex Alimentarius Commission and Codex Committee on Residues of its Web page at http:// Veterinary Drugs in Foods www.fsis.usda.gov/wps/portal/fsis/ Executive Committee topics/international-affairs/us-codex- The Codex Alimentarius Commission The Codex Committee on Residues of alimentarius. If you would like to access convened for its 40th Session July 17– Veterinary Drugs in Foods (CCRVDF) or receive information about specific July 22, 2017, in Geneva, Switzerland. determines priorities for the committees, please visit the Web page or At that session, the Commission consideration of residues of veterinary notify the appropriate U.S. delegate or adopted standards recommended by drugs in foods and recommends the U.S. Codex Office, Room 4861, Committees at Step 8 or Step 5/8, and Maximum Residue Limits (MRLs) for South Agriculture Building, 1400 it advanced the work of Committees by veterinary drugs. The Committee also Independence Avenue SW., adopting draft standards at Step 5. The develops codes of practice, as may be Washington, DC 20250–3700 (uscodex@ Commission also considered proposals required, and considers methods of fsis.usda.gov). for new work as well as proposed sampling and analysis for the The information provided in standards, codes of practice, determination of veterinary drug Attachment 1 describes the status of amendments to the Procedural Manual, residues in food. A veterinary drug is Codex standard-setting activities by the and related matters forwarded to the defined as any substance applied or Codex Committees for the time periods Commission by the general subject administered to any food producing from June 1, 2016, to May 31, 2017, and committees, commodity committees, animal, such as meat or milk producing June 1, 2017, to May 31, 2018. and regional coordinating committees. animals, poultry, fish, or bees, whether Attachment 2 provides a list of U.S. In particular, the Commission used for therapeutic, prophylactic or

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diagnostic purposes, or for modification resulting from carry-over of veterinary Adopted at Step 5, 5/8 & 8: of physiological functions or behavior. drugs in feed; • Proposed draft and draft MLs for A Codex Maximum Residue Limit • Database of countries’ needs for lead in selected processed fruits and (MRL) for residues of veterinary drugs is MRLs; vegetables (revision of MLs, the maximum concentration of residue • Analysis of the results of the global accompanied by proposed revocations resulting from the use of a veterinary survey to provide information to the of corresponding existing MLs when the drug (expressed in mg/kg or ug/kg on a CCRVDF to move compounds from the Commission adopts final new MLs). fresh weight basis) that is recommended database on countries’ needs for MRLs Adopted at Step 5/8: by the Codex Alimentarius Commission to the JECFA priority list; • Proposed draft code of practice • to be permitted or recognized as Discussion paper on the evaluation (COP) for the prevention and reduction acceptable in or on a food. Residues of of the rationale for the decline in new of arsenic contamination in rice; a veterinary drug include the parent compounds to be included in the • Annex on ergot and ergot alkaloids compounds or their metabolites in any CCRVDF priority list for evaluation by in cereal grains (annex to the COP for JECFA; the prevention and reduction of edible portion of the animal product, • and include residues of associated Discussion paper on edible offal mycotoxin contamination in cereals); impurities of the veterinary drug tissues (possible definition and edible and concerned. An MRL is based on the type offal tissues of interest in international • Proposed draft COP for the and amount of residue considered to be trade); and prevention and reduction of mycotoxin • Discussion paper on the revision of without any toxicological hazard for contamination in spices. the criteria for the use of multi-residue human health as expressed by the The Committee will continue working analytical methods for the Acceptable Daily Intake (ADI) or on the on: determination and identification of basis of a temporary ADI that utilizes an • MLs for total aflatoxins in ready to veterinary drugs in foods. eat peanuts (establishment of MLs); additional safety factor. When Work on the following items has been establishing an MRL, consideration is • MLs for lead in selected discontinued: commodities in the General Standard also given to residues that occur in food • Proposed draft MRL for ivermectin for Contaminants and Toxins in Food of plant origin or the environment. (cattle muscle); Furthermore, the MRL may be reduced • and Feed; Discussion paper on unintended • to be consistent with official presence of residues of veterinary drugs MLs for cadmium in chocolate and recommended or authorized usage, in food commodities resulting from the cocoa-derived products (establishment approved by national authorities, of the of MLs); carry-over of drug residues; and • veterinary drugs under practical • MLs for mycotoxins in spices; Discussion paper on the • conditions. MLs for methylmercury in fish; establishment of a rating system to • An ADI is an estimate made by the establish priority for CCRVDF work. Revision of the COP for the Joint FAO/WHO Expert Committee on U.S. Participation: Yes. prevention and reduction of dioxins and Food Additives (JECFA) of the amount Responsible Agencies: HHS/FDA/ dioxin-like polychlorinated biphenyls of a veterinary drug, expressed on a Center for Veterinary Medicine; USDA/ in food and feed; • body weight basis, which can be FSIS. Code of Practice for the reduction of ingested daily in food over a lifetime 3-MCPD and glycidyl esters in refined Codex Committee on Contaminants in without appreciable health risk. oils and products made with refined Foods The Committee convened for its 23rd oils; • Session in Houston, Texas, October 17– The Codex Committee on Guidelines (best practice) for risk 21, 2016. The relevant document is Contaminants in Foods (CCCF) analysis of chemicals in advertently REP17/RVDF. The following items were establishes or endorses permitted present in food at low levels; • considered for adoption by the 40th maximum levels (MLs) or guideline Establishment of ML for Session of the Commission in July 2017: levels for contaminants and naturally hydrocyanic acid in fermented cooked Adopted at Step 5/8: occurring toxicants in food and feed; cassava-based products and occurrence • Proposed draft MRLs for Lasalocid prepares priority lists of contaminants of mycotoxins in these products; sodium (chicken, turkey, quail and and naturally occurring toxicants for • Structured approach to prioritize pheasant kidney, liver, muscle, risk assessment by the Joint FAO/WHO commodities not in the General skin+fat); ivermectin (cattle fat, kidney, Expert Committee on Food Additives; Standard for Contaminants and Toxins liver, muscle); and teflubenzuron considers and elaborates methods of in Food and Feed for which new MLs (salmon filet, muscle). analysis and sampling for the for lead could be established; Adopted at Step 5: determination of contaminants and • Aflatoxins and sterigmatocystin in • Proposed draft Risk Management naturally occurring toxicants in food cereals; Recommendation for gentian violet. and feed; considers and elaborates on • Development of a COP for the The Committee will continue to work standards or codes of practice for related prevention and reduction of cadmium on the following items: subjects; and considers other matters contamination in cocoa; • Proposed draft MRLs for zilpaterol assigned to it by the Commission in • Forward work plan for CCCF; and hydrochloride (cattle fat, kidney, liver, relation to contaminants and naturally • Priority list of contaminants and muscle); occurring toxicants in food and feed. naturally occurring toxicants proposed • Draft Priority List of Veterinary The Committee convened for its 11th for evaluation by JECFA. drugs requiring evaluation or re- Session in Rio de Janeiro, Brazil, April U.S. Participation: Yes. evaluation by JECFA; 3–7, 2017. The relevant document is Responsible Agencies: HHS/FDA; • Discussion paper on MRLs for REP17/CF. The following items were USDA/FSIS. groups of fish species; considered for adoption by the 40th Codex Committee on Food Additives • Request for scientific advice to the Session of the Commission in July 2017: FAO and WHO to address the issue of Adopted: The Codex Committee on Food unavoidable and unintended residues of • MLs for lead and arsenic in fish oils Additives (CCFA) establishes or approved veterinary drugs in foods (amendment-inclusion of fish oils). endorses acceptable MLs for individual

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food additives; prepares a priority list of The Committee will continue working in certain animal feeding stuffs moving food additives for risk assessment by the on: in international trade where this is Joint FAO/WHO Expert Committee on • Draft and proposed draft food justified for reasons of protection of Food Additives (JECFA); assigns additive provisions of the GSFA with an human health; preparing priority lists of functional classes to individual food electronic working group (eWG) led by pesticides for evaluation by the Joint additives; recommends specifications of the United States); FAO/WHO Meeting on Pesticide identity and purity for food additives for • Proposals for additions and changes Residues (JMPR); considering methods adoption by the Codex Alimentarius to the Priority List of Substances of sampling and analysis for the Commission; considers methods of Proposed for Evaluation by JECFA: determination of pesticide residues in analysis for the determination of Æ The Committee noted that there are food and feed; considering other matters additives in food; and considers and no specifications for sodium sorbate in relation to the safety of food and feed elaborates standards or codes of practice (INS 201). The Committee agreed that if containing pesticide residues; and for related subjects, such as the labeling a commitment is not made to provide establishing maximum limits for of food additives when sold as such. sufficient data for the development of environmental and industrial The 49th Session of the Committee specifications at its next session (CCFA contaminants showing chemical or convened in Macao SAR, China, March 50, 2018) sodium sorbate will be taken other similarity to pesticides in specific 20–24, 2017. The relevant document is off of the priority list and existing food items or groups of food. REP17/FA. Immediately before the adopted provisions for this additive in The 49th Session of the Committee Plenary Session there was a two-day the GSFA and Codex Commodity met in Beijing, China, April 24–29, physical Working Group on the General Standards will be revoked. 2017. The relevant document is REP17/ Standard for Food Additives (GSFA) • Alignment of the food additive PR. The following items were chaired by the United States. provisions of commodity standards and considered at the 40th Session of the The following were considered by the relevant provisions of the GSFA; revised Codex Alimentarius Commission in July 40th Session of the Commission in July approach to listing commodity 2017: 2017: standards in Table 3 of the GSFA; and Adopted at Step 8 & 5/8: Adopted at Step 5/8: guidance for commodity committees in • Draft and proposed draft Maximum • Proposed draft specifications for the the alignment (eWG led by Australia Residue Limits (MRLs) for pesticides in identity and purity of food additives; and the United States); food and feed; and • Revision of the Class Names and the • • Draft and proposed draft Revision Proposed draft amendments to the International Numbering System for of the Classification of Food and Feed Class Names and International Food Additives (eWG led by Iran & (Vegetable Commodity Groups); Numbering System (INS) for Food Belgium); • • Proposed draft Table 2 with Additives (CAC/GL 36–1989). New or revised provisions of the examples of representative commodities Adopted at Step 8 & 5/8: GSFA with a physical working group for vegetable commodity groups, for • Draft and proposed draft food (pWG) led by the United States; additive provisions of the GSFA. • inclusion in the Principles and Discussion on the use of nitrates Guidance for the Selection of Adopted: (INS 251, 252) and nitrites (INS 249, • Representative Commodities for the Amendment to the Introduction of 250) (eWG led by the European Union the List of Codex Specifications for Food Extrapolation of MRLs for Pesticides to and the Netherlands); Commodity Groups; Additives (CAC/MISC 6); • Discussion paper on the use of the • • Draft and proposed draft Revision Revised food additive provisions of terms ‘‘unprocessed’’ and ‘‘plain’’ in the of the Classification of Food and Feed the GSFA related to the alignment of the GSFA (Russian Federation); and (Grasses); and standards for frozen fish products and of • Discussion paper on the ‘‘Future • Proposed draft Table 3 with the Standards for Certain Canned Citrus Strategies for CCFA’’ (Australia, Canada, examples of representative commodities Fruits (CODEX STAN 254–2007), China, Iran, and United States). Preserved Tomatoes (CODEX STAN 13– The Committee also agreed to hold a for grasses, for inclusion in the 1981), Processed Tomato Concentrates two-day physical Working Group on the Principles and Guidance for the (CODEX STAN 57–1981), and Table GSFA immediately preceding the 50th Selection of Representative Olives (CODEX STAN 66–1981), and the Session of the CCFA in 2018, to be Commodities for the Extrapolation of EDTA provisions of the Standard for chaired by the United States. That group MRLs for Pesticides to Commodity Canned Shrimps or Prawns (CODEX will discuss: Groups. STAN 37–1981); and • The recommendations of the eWG Adopted at Step 5: • • Revised food additive sections of on the GSFA on food additive Proposed draft Revision of the the Standards for Preserved Tomatoes provisions to be circulated for comment; Classification of Food and Feed (Seeds (CODEX STAN 13–1981), Processed • New proposals and proposed for Beverages and Sweets). Tomato Concentrates (CODEX STAN revisions of food additive provisions in Adopted at Step 8: • 57–1981), Quick Frozen Fin-Fish, the GSFA; and Draft Guidelines on Performance Uneviscerated and Eviscerated (CODEX • Recommendations on the use of Criteria for Methods of Analysis for the STAN 36–1981), Quick Frozen Shrimps food additives in processed cheese. Determination of Pesticide Residues in or Prawns (CODEX STAN 92–1981), U.S. Participation: Yes. Food and Feed. Quick Frozen Lobsters (CODEX STAN Responsible Agency: HHS/FDA. The Committee will continue working 95–1981), Quick Frozen Blocks of Fish on: Filets (CODEX STAN 190–1995), Quick Codex Committee on Pesticide Residues • Draft MRLs for pesticides; Frozen Fish Fillet, Quick Frozen Fish The Codex Committee on Pesticide • Proposed draft MRLs for pesticides; Sticks (Fish Fingers), Fish Portions and Residues (CCPR) is responsible for • Proposed draft and draft revisions Fish Fillets—Breaded and in Batter establishing maximum residue limits of the Classification of Food and Feed (CODEX STAN 166–1989), and Fresh (MRLs)for pesticide residues in specific for selected commodity groups, and Quick Frozen Raw Scallop Products food items or in groups of food; including seeds for beverages and (CODEX STAN 315–2014). establishing MRLs for pesticide residues sweets;

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• Discussion paper on the possible • Follow-up work on the review and • Draft Principles and Guidelines for review of the International Estimate of update of Codex Stan 234–1999; Monitoring the Performance of National Short-Tern Intake (IESTI) Equations; • Future Work on database for Codex Food Control Systems. • Establishment Codex Schedules and Methods of Analysis and Sampling The Committee will continue working Priority Lists of Pesticides; Plans; on the following items: • • Information on National • Information document on Practical New work on guidance on the use Registrations of Pesticides; and Examples on the Selection of of systems equivalence; • • Discussion paper on the Appropriate Sampling Plans; New work on guidance on paperless Establishment of a Codex Database of • Proposals to amend the Guidelines use of electronic certificates (Revision of National Registrations of Pesticides. on Measurement Uncertainty; and Guidelines for Design, Production, U.S. Participation: Yes. Issuance and Use of Generic Official • Proposal to amend the General Certificates); Responsible Agencies: EPA; USDA/ Guidelines on Sampling. FSIS. • New work on guidance on U.S. Participation: Yes. regulatory approaches to third party Codex Committee on Methods of Responsible Agencies: HHS/FDA; assurance schemes in food safety and Analysis and Sampling USDA/Grain Inspection, Packers and fair practices in the food trade; The Codex Committee on Methods of Stockyards Administration. • Discussion paper on food integrity Analysis and Sampling (CCMAS) Codex Committee on Food Import and and food authenticity; • defines the criteria appropriate to Codex Export Inspection and Certification Discussion paper on consideration Methods of Analysis and Sampling; Systems of emerging issues and future directions serves as a coordinating body for Codex for the work of the Codex Committee on with other international groups working The Codex Committee on Food Import Food Import and Export Inspection and on methods of analysis and sampling and Export Inspection and Certification Certification Systems; and quality assurance systems for Systems (CCFICS) is responsible for • Framework for the preliminary laboratories; specifies, on the basis of developing principles and guidelines for assessment and identification of priority final recommendations submitted to it food import and export inspection and areas for CCFICs; and by the bodies referred to above, certification systems, with a view to • Inter-sessional physical working reference methods of analysis and harmonizing methods and procedures groups: trial broadcast via Webinar. sampling appropriate to Codex that protect the health of consumers, U.S. Participation: Yes. standards which are generally ensure fair trading practices, and Responsible Agencies: USDA/FSIS; applicable to a number of foods; facilitate international trade in HHS/FDA. considers, amends if necessary, and foodstuffs; developing principles and endorses as appropriate, methods of guidelines for the application of Codex Committee on Food Labelling analysis and sampling proposed by measures by the competent authorities The Codex Committee on Food Codex commodity committees, except of exporting and importing countries to Labelling (CCFL) drafts provisions on for methods of analysis and sampling provide assurance, where necessary, labeling applicable to all foods; for residues of pesticides or veterinary that foodstuffs comply with considers, amends, and endorses draft drugs in food, the assessment of requirements, especially statutory specific provisions on labeling prepared microbiological quality and safety in health requirements; developing by the Codex Committees drafting food, and the assessment of guidelines for the utilization, as and standards, codes of practice, guidelines; specifications for food additives; when appropriate, of quality assurance and studies specific labeling problems elaborates sampling plans and systems to ensure that foodstuffs assigned by the Codex Alimentarius procedures, as may be required; conform with requirements and promote Commission. The Committee also considers specific sampling and the recognition of these systems in studies problems associated with the analysis problems submitted to it by the facilitating trade in food products under advertisement of food with particular Commission or any of its Committees; bilateral/multilateral arrangements by reference to claims and misleading and defines procedures, protocols, countries; developing guidelines and descriptions. guidelines or related texts for the criteria with respect to format, The Committee will convene its 44th assessment of food laboratory declarations, and language of such Session in Asuncion, Paraguay, October proficiency, as well as, quality official certificates as countries may 16–20, 2017. The Committee will assurance systems for laboratories. require with a view towards continue to discuss the following items: The 38th Session of the Committee international harmonization; making • Revision of the General Standard met in Budapest, Hungary, May 8–12, recommendations for information for the Labelling of Prepackaged Foods 2017. The relevant document is REP17/ exchange in relation to food import/ (GSLPF): Date Marking (proposed draft); MAS. The following items were export control; consulting as necessary • Guidance for the labelling of non- considered by the Commission at its with other international groups working retail containers; 40th Session in July 2017: on matters related to food inspection • Consumer preference claims Adopted: and certification systems; and (discussion paper); • Methods of Analysis and Sampling considering other matters assigned to it • Front-of-pack labelling (discussion in Codex Standards; and by the Commission in relation to food paper); and • Amendment to the Procedural inspection and certification systems. • Future work (discussion paper). Manual to refer to the sum of The 23rd Session of the Committee U.S. Participation: Yes. components. convened in Mexico City, Mexico, May Responsible Agencies: HHS/FDA; The Committee will continue working 1–5, 2017. The relevant document is USDA/FSIS. on: REP17/FICS. There following items • Criteria for endorsement of were considered by the Commission at Codex Committee on Food Hygiene biological methods to detect chemicals its 40th Session in July 2017: The Codex Committee on Food of concern; Adopted at Step 8: Hygiene (CCFH):

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• Develops basic provisions on food • Matters arising from other • Revision of the Codex Standard for hygiene, applicable to all food or to international organizations on the Follow-Up Formula (Section A: specific food types; standardization of fresh fruits and proposed draft essential composition • Considers and amends or endorses vegetables; and quality factors; Section B: certain provisions on food hygiene contained in • Draft Standard for Aubergines; essential composition and quality Codex commodity standards and codes • Draft Standard for Garlic; factors—young children); • of practice developed by other Codex Draft Standard for Kiwifruit; • Review of other sections of the • commodity committees; Draft Standard for Ware Potatoes; Standard for Follow-up Formula; • • Draft Standard for Fresh Dates; • Considers specific food hygiene • Proposed draft Definition for Bio- problems assigned to it by the Proposals for new work on Codex fortification; Commission; standards for fresh fruits and vegetables; • Proposed draft Nutrient Reference • Proposed layout for Codex standard • Suggests and prioritizes areas where Values-Non-Communicable Diseases for fresh fruits and vegetables there is a need for microbiological risk (NRV–NCD) for EPA and DHA long (outstanding issues); chain omega-3 fatty acids; assessment at the international level and • Discussion paper on glossary of develops questions to be addressed by • Proposed draft Guidelines for terms used in the layout for Codex Ready-to-Use Therapeutic Foods; the risk assessors; and standards for fresh fruits and vegetables; • Considers microbiological risk • Claim for ‘‘free’’ of trans fatty acids; and • management matters in relation to food • Mechanism/framework for Other Business. considering technological justification/ hygiene and in relation to the FAO/ U.S. Participation: Yes. WHO risk assessments. Responsible Agencies: USDA/ consider or confirm technological The Committee convened for its 48th Agricultural Marketing Service (AMS); justification for certain food additives; • Methods of analysis for provisions Session in Los Angeles, CA, November HHS/FDA. 7–11, 2016. The relevant document is in the standard for infant formula and REP 17/FH. The following items were Codex Committee on Nutrition and formulas for special medical purposes Foods for Special Dietary Uses intended for infants; and considered by the 40th Session of the • Commission in July 2017: The Codex Committee on Nutrition Consideration of possible Guidance Adopted at Step 5/8: and Foods for Special Dietary Uses on Digestible Indispensable Amino Acid • Proposed draft Revision of the Code (CCNFSDU) is responsible for studying Score for protein quality assessment. of Hygienic Practice for Fresh Fruits and nutrition issues referred to it by the U.S. Participation: Yes. Responsible Agencies: HHS/FDA; Vegetables. Codex Alimentarius Commission. The USDA/Agricultural Research Service Endorsed with modifications: Committee also drafts general (ARS). • Proposed draft Regional Code of provisions, as appropriate, on Hygienic Practice for Street-Vended nutritional aspects of all foods and Ad hoc Codex Intergovernmental Task Foods in Asia. develops standards, guidelines, or Force on Antimicrobial Resistance The Committee will continue working related texts for foods for special dietary The Ad hoc Codex Intergovernmental on: uses in cooperation with other • Task Force on Antimicrobial Resistance Proposed draft Revision of the committees where necessary; considers, General Principles of Food Hygiene and (TFAMR) is responsible for (1) amends if necessary, and endorses reviewing and revising, as appropriate, its HACCP Annex; provisions on nutritional aspects • Proposed draft Guidance on the Code of Practice to Minimize and proposed for inclusion in Codex Contain Antimicrobial Resistance (CAC/ Histamine Control; standards, guidelines, and related texts. • New work proposals/forward work RCP 61–2005) to address the entire food The Committee convened for its 38th chain, in line with the mandate of plan; and Session in Hamburg, Germany, • Discussion paper on future work on Codex; and (2) considering the December 5–9, 2016. The reference development of Guidance on Integrated Shiga Toxin-Producing Escherichia coli document is REP 17/NFSDU. The (STEC). Surveillance of Antimicrobial following items were considered by the Resistance, taking into account the U.S. Participation: Yes. Commission at its 40th Session in July Responsible Agencies: HHS/FDA; guidance developed by the WHO 2017: Advisory Group on Integrated USDA/FSIS. Adopted: • Proposed amendments to section 6, Surveillance of Antimicrobial Codex Committee on Fresh Fruits and Resistance (AGISAR) and relevant Vegetables paragraph 33 of the nutritional risk analysis principles in the Codex World Organisation for Animal Health The Codex Committee on Fresh Fruits Procedural Manual to refer to the Joint (OIE) documents. The objective of the and Vegetables (CCFFV) is responsible Expert Meeting on Nutrition (JEMNU) as Task Force is to develop science-based for elaborating worldwide standards and a primary source of scientific advice to guidance on the management of codes of practice, as may be appropriate the Committee; foodborne antimicrobial resistance, for fresh fruits and vegetables; for • Editorial amendments to the taking full account of the WHO Global consulting as necessary, with other Guidelines on Nutrition Labelling; Action Plan on Antimicrobial international organizations in the • Editorial amendments to various Resistance, in particular objectives 3 standards development process to avoid CCNFSDU standards with respect to and 4, the work and standards of duplication. flavoring; and relevant international organizations, The Committee will convene its 20th • Nutrient Reference Values- such as FAO, WHO, and OIE, and the Session in Kampala, Uganda, October 2– Requirements (NRV–R) for Vitamins D One-Health approach, to ensure 6, 2017. and E and the conversion factors for members have the necessary guidance to The committee will continue to Vitamin E equivalents. enable coherent management of discuss the following items: The Committee will continue working antimicrobial resistance along the food • Matters arising from the Codex on: chain. The Task Force is expected to Alimentarius Commission and other • NRV–R’s for older infants and complete its work within three (or a Committees; young children; maximum of four) sessions.

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The Task force will convene for its 1st to the conformity of named fish oils • Standard for Canned Stone Fruits. Session in the Republic of Korea, with the requirements (especially the Proposals for new work were received November 27—December 1, 2017. fatty acid profile) and its effect on trade; by CCEXEC and approved by CAC for U.S. Participation: Yes. • Alignment of food additives cashew kernels, chili sauce, mango Responsible Agencies: FDA/USDA. provisions in standards for fats and oils chutney, dried sweet potato, gochujang, (except fish oils) and technological dried fruits, and canned mixed fruits. Codex Committee on Fats and Oils justification for use of emulsifiers; The Commission authorized CCPFV The Codex Committee on Fats and • Considering proposals for new to work by correspondence until CAC Oils (CCFO) is responsible for substances to be added to the list of 41 (2018) to prioritize the proposals for elaborating worldwide standards for fats acceptable previous cargoes; new work, prepare a work plan, and and oils of animal, vegetable, and • Providing relevant information (if prepare recommendations on the marine origin, including margarine and available from Member countries) to establishment of electronic working olive oil. JECFA on the 23 substances on the list groups. The Committee convened for its 25th of acceptable previous cargoes currently U.S. Participation: Yes. Session in Kuala Lumpur, Malaysia, on the list; and Responsible Agencies: USDA/ February 27–March 3, 2017. The • Discussion paper on the Agricultural Marketing Service; HHS/ relevant document is REP17/FO-Rev. applicability of the fatty acid FDA. The following items were considered by composition of all oils listed in Table 1 Codex Committee on Sugars the Commission at its 40th Session in in relation to the fatty acid composition July 2017: of corresponding crude (unrefined) form The Codex Committee on Sugars Adopted at Step 8: in the Standard for Named Vegetable (CCS) elaborates worldwide standards • Draft Standard for Fish Oils. Oils. for all types of sugars and sugar Adopted at Step 5/8: U.S. Participation: Yes. products. • Proposed draft Revision to the Responsible Agencies: HHS/FDA; The Committee has been re-activated Standard for Olive Oils and Olive USDA/Agricultural Research Service electronically to work by Pomace Oils (Codex Stan 210–1999): (ARS). correspondence on a draft Standard for Revision of the Limits for Campesterol; Non-Centrifuged Dehydrated Sugar and Codex Committee on Processed Fruits Cane Juice. • Proposed draft Revision to the and Vegetables The following was considered by the Standard for Named Vegetable Oils: The Codex Committee on Processed Commission at its 40th Session in July Revision of Quality Parameters for Fruits and Vegetables (CCPFV) is 2017. Peanut Oil. responsible for elaborating worldwide • Draft Standard for Non-Centrifuged Adopted at Step 5: standards and related texts for all types Dehydrated Sugar Cane Juice (scope and • Proposed draft Revision to the of processed fruits and vegetables definition of the product). Standard for Named Vegetable Oils: including, but not limited to canned, The Commission agreed to extend the Addition of Palm Oil with High Oleic dried, and frozen products, as well as work on development of this standard Acid. fruit and vegetable juices and nectars. for one year. Adopted: The Committee convened for its 28th Responsible Agencies: HHS/FDA. • Amendment to the Sections on Session in Washington, DC, September U.S. Participation: Yes. Flavourings of Codex Standard 19–1981 12–16, 2016. The relevant document is (Section 3.3), Codex Stan 210–1999 Codex Committee on Cereals Pulses & REP17/PFV. The following items were Legumes (Section 4.1), and Codex Stan 256–2007; considered for adoption by the 40th and Session of the Commission in July 2017: The Codex Committee on Cereals, • Amendment to Section 2 in the Adopted at Step 5/8: Pulses and Legumes (CCCPL) elaborates Appendix of the Standard for Named • Annex on Canned Pineapples, for worldwide standards and/or codes of Vegetable Oils: fatty acid range of crude inclusion on the Standard for Certain practice, as appropriate, for cereals rice bran oil. Canned Fruits; and pulses and legumes and their products. Approved as new work: • Annexes for Certain Quick Frozen The Committee has been reactivated • Revision of the Standard for Named Vegetables, for inclusion in the to work by correspondence to draft an Vegetable Oils: Essential composition of Standard for Quick Frozen Vegetables. international Codex Standard for sunflower seed oils; Adopted: Quinoa. The following item was • Revision of the Standard for Named • Amendment to the Scope of the considered by the Commission at its Vegetable Oils: Inclusion of walnut oil, Standard for Certain Canned Fruits; 40th Session in July 2017: almond oil, hazelnut oil, pistachio oil, • Amendments to the food additive Adopted at Step 5: flaxseed oil, and avocado oil; provisions in Codex standards for • Standard for Quinoa • Revision of the Standard for Named processed fruits and vegetables (subject The Commission agreed to establish Vegetable Oils: Replacement of acid to endorsement by CCFA); an eWG chaired by the Plurinational value with free fatty acids for virgin • Standard for Canned Chestnuts and State of Bolivia and co-chaired by the palm oil and inclusion of free fatty acids Canned Chestnut Puree; United States and to continue the work for crude palm kernel oil; and • Standard for Pickled Fruits and to address the outstanding issues. • Revision of the Standard for Olive Vegetables; The Commission also requested that Oils and Pomace Olive Oils (Codex Stan • Standard for Jams, Jellies, and the CCCF consider including quinoa in 33–1981). Marmalades; the MLs for lead and cadmium in The Committee will continue working • Standard for Canned Applesauce; cereals in the GSCTFF, in accordance on: • Standard for Canned Fruit Cocktail; with the recommendations of the 73rd • Gathering information on technical • Standard for Canned Tropical Fruit session of CCEXEC. difficulties in the implementation of the Salad; No additional work is ongoing in this fish oil standard, specifically on • Standard Pickled Cucumbers; Committee. It will again be adjourned monitoring its application with respect • Standard for Kimchi; and sine die once the work on the

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international Codex Standard for strengthening of food control platform, prioritization of needs in the Quinoa is completed. infrastructures; recommend to the region and comments for future Responsible Agencies: HHS/FDA. Commission the development of consideration); U.S. Participation: Yes. worldwide standards for products of • Use of Codex Standards in the Region; Codex Committee on Milk and Milk interest to the region, including • Proposed draft Standard on Dried Products products considered by the Committees to have an international market Meat; The Codex Committee on Milk and potential in the future; develop regional • Discussion paper and project Milk Products (CCMMP) elaborates standards for food products moving document on a Harmonized Food Law; worldwide standards, codes and related exclusively or almost exclusively in and texts for milk and milk products. The intra-regional trade; draw the attention • Discussion paper/project on a Committee was reactivated to work by of the Commission to any aspects of the Regional Standard for a Fermented Non- correspondence on a general standard Commission’s work of particular Alcoholic Cereal Based Drink for processed cheese and a Draft significance to the region; promote (Mahewu). Standard for Dairy Permeate Powders. coordination of all regional food U.S. Participation: Yes (as observer). Consensus has not been reached on the standards work undertaken by Responsible Agency: USDA/FSIS/ general standard for processed cheese. international governmental and non- USCO. In 2016, the Commission agreed to governmental organizations within each Coordinating Committee for Asia discuss this item at the Commission region; exercise a general coordinating session in 2017, noting the offer of New role for the region and such other The Committee (CCASIA) convened Zealand as host country of CCMMP to functions as may be entrusted to them its 20th Session in New Delhi, India, collate any substantial new ideas by the Commission; and promote the September 26–30, 2016. The relevant provided by members in the interim. No use of Codex standards and related texts document is REP 17/Asia. The following new proposals were received, and the by members. items were considered by the 40th Commission discontinues work on this There are six regional coordinating Session of the Commission in July 2017. standard at its 2017 session. The draft committees: Adopted at Step 5/8: • Proposed draft Regional Standard Standard for Dairy Permeate Powders Coordinating Committee for Africa was adopted by the Commission at Step for Laver Products; and Coordinating Committee for Asia • 8 at its 2017 session. Coordinating Committee for Europe Proposed draft Regional Code of U.S. Participation: Yes. Coordinating Committee for Latin Hygienic Practice for Street-Vended Responsible Agencies: USDA/AMS. America and the Caribbean Foods in Asia. Adopted: Certain Codex Commodity Committees Coordinating Committee for the Near • East Amendments to the CCASIA Several Codex Alimentarius Coordinating Committee for North Regional Standards. Commodity Committees have adjourned America and the South West Pacific The committee will continue to work sine die. The following Committees fall on the following items: into this category: Coordinating Committee for Africa • Report on the status of the • Cocoa Products and Chocolate— The Committee (CCAFRICA) Implementation of the Activities of the adjourned 2001 convened its 22nd Session January 16– Strategic Plan Relevant to CCASIA; • U.S. Participation: Yes. 20, 2017, in Nairobi, Kenya. The Discussion paper and project Responsible Agency: HHS/FDA. relevant document is REP 17/Africa. document on the Development of a • Fish and Fishery Products— The following items were considered by Regional Standard for Rice Based Low adjourned 2016 the 40th Session of the Commission in Alcohol Beverages (cloudy types); • U.S. Participation: Yes. July 2017. Discussion paper and project Responsible Agency: HHS/FDA/ Adopted at Step 5/8: document on the Development of a NOAA. • Proposed draft Regional Standard Regional Standard for Soybean Products • Meat Hygiene—adjourned 2003 for Unrefined Shea Butter. Fermented with the Bacterium Bacillus U.S. Participation: Yes. Adopted at Step 5: Subtilis; Responsible Agency: USDA/FSIS. • Proposed draft Regional Standard • Discussion paper and project • Natural Mineral Waters—adjourned for Fermented Cooked Cassava Based document on the Development of a 2008 Products; and Regional Standard for Quick Frozen U.S. Participation: Yes. • Proposed draft Regional Standard Dumpling (Jiaozi); Responsible Agency: HHS/FDA. for Gnetum Spp leaves. • Discussion paper and the project • Vegetable Proteins—adjourned The Committee will continue to work document on the Development of a 1989 on the following items: Regional Standard/Code of Practice for U.S. Participation: Yes. • Proposed draft Regional Standard Zongzi; Responsible Agency: USDA/ARS. for Unrefined Shea Butter; • Emerging Issues as priorities for the • Proposed draft Regional Standard FAO/WHO Regional Coordinating CCASIA region; and for Fermented Cooked Cassava Based • Information sharing on the Food Committees Products; Safety Control Systems. The FAO/WHO Regional • Proposed draft Regional Standard U.S. Participation: Yes (as observer). Coordinating Committees define the for Gnetum Spp leaves; Responsible Agency: USDA/FSIS/ problems and needs of the regions • Priority Setting criteria for the USCO. concerning food standards and food establishment of work priorities as laid Coordinating Committee for Europe control; promote within the Committee down in the Codex Procedural Manual; contacts for the mutual exchange of • Comments on the preparation of the The Committee (CCEUROPE) information on proposed regulatory new global Codex Strategic Plan; convened its 30th Session in Astana, initiatives and problems arising from • Food quality and safety situation in Kazakhstan, October 3–7, 2016. The food control and stimulate the countries of the Region (on-line relevant document is REP 17/EURO.

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The Committee will continue to work • Proposed draft Regional Standard 690–1201, Fax: (202) 690–1527, on the following items: for Zaatar for adoption at step 5. Email: [email protected]. • Survey on critical and emerging U.S. Participation: No. issues; Responsible Agency: USDA/FSIS/ Codex Committee on Residues of • On-line Platform and information USCO. Veterinary Drugs in Foods sharing on the Food Safety Control Kevin Greenlees, Ph.D., DABT, Senior Systems; Coordinating Committee for North Advisor for Science and Policy, Office • Survey on the use of Codex America and the South West Pacific of New Animal Drug Evaluation, Standards; (CCNASWP) • Relevant languages of the Codex The Committee (CCNASWP) HFV–100, Center for Veterinary Alimentarius Commission in the work convened its 14th Session in Port Vila, Medicine, U.S. Food and Drug of CCEUROPE; and Vanuatu, September 19–22, 2016. The Administration, 7500 Standish Place, • Consider funding translation and relevant document is REP 17/NASWP. Rockville, MD 20855, Phone: (240) interpretation services into Russian for The following items were considered by 402–0638, Fax: (240) 276–9538, the effective operation of CCEUROPE. the 40th Session of the Commission in [email protected]. U.S. Participation: Yes (as observer). July 2017. U.S. Delegates and Alternate Delegates Responsible Agency: USDA/FSIS/ The Committee will continue to work USCO. on the following items: WORLDWIDE GENERAL CODEX • Coordinating Committee for Latin New work on the development of a SUBJECT COMMITTEES Regional Standard for Kava as a America and the Caribbean Contaminants in Foods beverage when mixed with cold water; The Coordinating Committee for Latin • Recommendation that Vanuatu be (Host Government—The Netherlands) America and the Caribbean (CCLAC) re-appointed as Coordinator for North U.S. Delegate convened its 20th Session in Vina del America and the South West Pacific; Mar, Chile, November 21–25, 2016. The • Proposed draft Regional Standard Dr. Lauren Posnick Robin, Branch Chief, relevant document is REP 17/LAC. The for Fermented Noni-Juice; Plant Products Branch, Division of following item was considered by the • Development of on-line platform for 40th Session of the Commission in July Plant Products and Beverages, Office information on sharing food quality and of Food Safety (HFS–317), Center for 2017. safety systems. Adopted: Food Safety and Applied Nutrition, • U.S. Participation: Yes. U.S. Food and Drug Administration, Proposed draft Regional Standard Responsible Agency: USDA/FSIS/ for Yacon. 5001 Campus Drive, College Park, MD USCO. 20740, Phone: +1 (240) 402–1369, The Committee will continue to work Contact: [email protected]. on the following items: U.S. Codex Office, United States • Monitoring of the Strategic Plan for Department of Agriculture, Room Alternate Delegate the CCLA; 4861, South Agriculture Building, • Critical and Emerging Issues and 1400 Independence Avenue SW., Terry Dutko, Ph.D., Laboratory Director, prioritization of CCLAC issues within Washington, DC 20250–3700, Phone: Office of Public Health Science, Food the framework of Codex Mandate; (202) 205–7760, Fax: (202) 720–3157, Safety and Inspection Service, 4300 • Comments on the Food Safety Email: [email protected]. Goodfellow Building, 105D Federal, Control Systems Platform; St. Louis, MO 63120–0005, Phone: +1 • Cross-cutting topics for the region ATTACHMENT 2 (314) 263–2680 Ext. 344, and proposed draft standards and U.S. CODEX ALIMENTARIUS discussions seeking regional support; [email protected]. OFFICIALS and Food Additives • Proposal for the Development of a CODEX CHAIRPERSONS FROM THE Standard for Yams. UNITED STATES (Host Government—China) U.S. Participation: Yes (as observer). Codex Committee on Food Hygiene U.S. Delegate Responsible Agency: USDA/FSIS/ USCO. Emilio Esteban, DVM, MBA, MPVM, Paul S. Honigfort, Ph.D., Supervisory Ph.D., Executive Associate for Consumer Safety Officer, Division of Coordinating Committee for the Near Laboratory Services, Office of Public Food Contact Notifications (HFS– East Health Science, Food Safety and 275), Office of Food Additive Safety, The Coordinating Committee for the Inspection Service, U.S. Department U.S. Food and Drug Administration, Near East (CCNEA) held its 9th Session of Agriculture, 950 College Station 5001 Campus Drive, College Park, MD at FAO Headquarters in Rome, Italy, Road, Athens, GA 30605, Phone: (706) 20740, Phone: +1 (240) 402–1206, May 15–19, 2017. The relevant 546–3429, Fax: (706) 546–3428, Fax: +1 (301) 436–2965, document is REP 17/NE. Email: [email protected]. [email protected]. The Committee forwarded the following items to the 40th Session of Codex Committee on Processed Fruits Alternate Delegate the Codex Alimentarius Commission for and Vegetables consideration: Richard Boyd, Chief, Contract Services Daniel Folmer, Ph.D., Chemist, Center • Proposed draft Regional Standard Branch, Specialty Crops Inspection for Food Safety and Applied for Doogh for adoption at step 5/8 and Division, Specialty Crops Program, Nutrition, U.S. Food and Drug endorsement by the Codex Committee Agricultural Marketing Service, U.S. Administration, 5001 Campus Drive, on Food Additives (CCFA) and the Department of Agriculture, 1400 Room 3017 HFS–265, College Park, Codex Committee on Food Labeling Independence Avenue SW., Mail Stop MD 20740, Phone: +1 (240) 402–1274, (CCFL) of the relevant provisions within 0247, Room 0726-South Building, [email protected]. the draft standard; Washington, DC 20250, Phone: (202)

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Food Hygiene Drive, (HFS–820), College Park, MD 301–504–0632 (fax), (Host Government—United States) 20740, Phone: +1 (240) 402–2371, [email protected]. Fax: +1 (301) 436–2636, Pesticide Residues U.S. Delegate [email protected]. (Host Government—China) Jenny Scott, Senior Advisor, Office of Alternate Delegate Food Safety, Center for Food Safety U.S. Delegate and Applied Nutrition, U.S. Food and Jeffrey Canavan, Deputy Director, Captain David Miller, Chief, Chemistry Drug Administration, 5001 Campus Labeling and Program Delivery Staff, & Exposure Branch, and Acting Chief, Drive, HFS–300, Room 3B–014, Food Safety and Inspection Service, Toxicology & Epidemiology Branch, College Park, MD 20740–3835, Phone: U.S. Department of Agriculture, 1400 Health Effects Division, William +1 (240) 402–2166, Fax: +1 (301) 436– Independence Avenue SW., Mail Stop Jefferson Clinton Building, 1200 2632, [email protected]. 5273, Patriots Plaza 3, 8th Floor– 161A, Washington, DC 20250, Phone: Pennsylvania Avenue NW., Alternate Delegates +1 (301) 504–0860, Fax: +1 (202) 245– Washington, DC 20460, Phone: +1 William Shaw, Director, Risk, 4792, [email protected]. (703) 305–5352, Fax: +1 (703) 305– 5147, [email protected]. Innovation & Management Staff, Food General Principles Safety and Inspection Service, 355 E Alternate Delegate Street SW., Room 8–142, Patriots (Host Government—France) Dr. Pat Basu, Senior Leader, Chemistry, Plaza III, Washington, DC 20024, Delegate Note: A member of the Toxicology & Related Sciences, Office Phone: +1 (301) 504–0852, Email: Steering Committee heads the of Public Health Science, Food Safety [email protected]. delegation to meetings of the General and Inspection Service, U.S. Andrew Chi Yuen Yeung, Ph.D., Branch Principles Committee. Chief, Egg and Meat Products Branch, Department of Agriculture, 1400 Division of Dairy, Egg and Meat Methods of Analysis and Sampling Independence Ave. SW., Room 3805, Washington, DC 20250–3766, Phone: Products, Office of Food Safety, (Host Government—Hungary) +1 (202) 690–6558, Fax: +1 (202) 690– Center for Food Safety and Applied U.S. Delegate Nutrition, U.S. Food and Drug 2364, [email protected]. Administration, 5001 Campus Drive, Gregory Noonan, Director, Division of Residues of Veterinary Drugs in Foods College Park, MD 20740, United Bioanalytical Chemistry, Division of (Host Government—United States) States of America, Phone: +1 (240) Analytical Chemistry, Center for Food 402–1541, Fax: +1 (301) 436–2632, Safety and Applied Nutrition, Food U.S. Delegate [email protected]. and Drug Administration, 5001 Brandi Robinson, MPH, CPH ONADE Campus Drive, College Park, MD International Coordinator, Center for Food Import and Export Certification 20740, Phone: +1 (240) 402–2250, and Inspection Systems Veterinary Medicine, U.S. Food and Fax: +1 (301) 436–2332, Drug Administration, 7500 Standish (Host Government—Australia) [email protected]. Place, HFV–100, Rockville, MD U.S. Delegate Alternate Delegate 20855, Phone: +1 (240) 402–0645, Mary Stanley, Senior Advisor, Office of Dr. Timothy Norden, Chief Scientist, [email protected]. International Coordination, Food Grain Inspection, Packers and Alternate Delegate Safety and Inspection Service, U.S. Stockyards Administration (GIPSA), Charles Pixley, DVM, Ph.D., Director, Department of Agriculture, Room Technology & Science Division, U.S. Laboratory Quality Assurance Staff, 3151, South Agriculture Building, Department of Agriculture, 10383 N. Office of Public Health Science, Food 1400 Independence Avenue SW., Ambassador Dr., Kansas City, MO Safety and Inspection Service, U.S. Washington, DC 20250, Phone: +1 64153, USA, Phone: +1 (816) 891– Department of Agriculture, 950 (202) 720–0287, Fax: +1 (202) 690– 0470, Fax: +1 (816) 872–1253, College Station Road, Athens, GA 3856, [email protected]. [email protected]. 30605, Phone: +1 (706) 546–3559, Alternate Delegate Nutrition and Foods for Special Dietary Fax: +1 (706) 546–3452, Caroline Smith DeWaal, International Uses [email protected]. Food Safety Policy Manager, Office of (Host Government—Germany) WORLDWIDE COMMODITY CODEX the Center Director, Center for Food U.S. Delegate COMMITTEES (ACTIVE) Safety and Applied Nutrition, U.S. Food and Drug Administration, 5001 Douglas Balentine, Director, Office of Cereals, Pulses and Legumes Campus Drive, Room 4A011, College Nutrition, Center for Food Safety and (Host Government—United States) Applied Nutrition, U.S. Food and Park, MD, USA 20740–3835, Phone: U.S. Delegate +1 (240) 402–1242, Caroline.DeWaal@ Drug Administration, 5001 Campus fda.hhs.gov. Drive, Room 4C096, College Park, MD, Dr. Henry Kim, Office of Food Safety, USA 20740–3835, Phone: +1 (240) Senior Policy Analyst, Center for Food Labelling 402–2373, Douglas.Balentine@ Food Safety and Applied Nutrition, (Host Government—Canada) fda.hhs.gov. U.S. Food and Drug Administration, 5001 Campus Drive (HFS–317), U.S. Delegate Alternate Delegate College Park, MD, USA 20740–3835, Felicia B. Billingslea, Director, Food Pamela R. Pehrsson, Ph.D., Research Phone: +1 (240) 402–2023, Labeling and Standards Staff, Office Leader, USDA, Agricultural Research [email protected]. of Nutrition, Labeling, and Dietary Service, Nutrient Data Laboratory, Supplements, Center for Food Safety Room 105, Building 005, BARC-West, Alternate Delegate and Applied Nutrition, U.S. Food and 10300 Baltimore Avenue, Beltsville, Patrick McCluskey, Supervisory Drug Administration, 5001 Campus MD 20705, 301–504–0630 (voice), Agricultural Marketing Specialist,

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United States Department of (844) 804–4701, Sugars Agriculture, Grain Inspection, Packers Christopher.D.Thompson@ (Host Government—Colombia) and Stockyards Administration, ams.usda.gov. 10383 N. Ambassador Drive, Kansas U.S. Delegate Alternate Delegate City, MO 64153, Phone: +1 (816) 659– Dr. Chia-Pei Charlotte Liang, Chemist, 8403, [email protected]. John F. Sheehan, Director, Division of Office of Food Safety, Center for Food Dairy, Egg and Meat Product Safety, Fats and Oils Safety and Applied Nutrition, U.S. Office of Food Safety, Center for Food Food and Drug Administration, 5001 (Host Government—Malaysia) Safety and Applied Nutrition, U.S. Campus Drive, College Park, MD U.S. Delegate Food and Drug Administration (HFS– 20740, Phone: +1 (240) 402–2785, 3 15), Harvey W. Wiley Federal [email protected]. Dr. Paul South, Director, Division of Building, 5001 Campus Drive, College Plant Products and Beverages, Office Park, MD 20740, Phone: +1 (240) 402– WORLDWIDE COMMODITY CODEX of Food Safety (HFS–317), Center for 1488, Fax: +1 (301) 436–2632, COMMITTEES (ADJOURNED) Food Safety and Applied Nutrition, [email protected]. U.S. Food and Drug Administration, Cocoa Products and Chocolate 5001 Campus Drive, College Park, Processed Fruits and Vegetables (adjourned sine die 2001) MD, USA 20740–3835, Phone: +1 (Host Government—United States) (Host Government—Switzerland) (240) 402–1640, Fax: +1 (301) 436– U.S. Delegate 2632, [email protected]. U.S. Delegate Michelle Smith, Ph.D., Senior Policy Alternate Delegate Dorian LaFond, International Standards Coordinator, Fruit and Vegetables Analyst, Office of Food Safety, Center Robert A. Moreau, Ph.D., Research Program, Specialty Crop Inspection for Food Safety and Applied Leader, Eastern Regional Research Division, Agricultural Marketing Nutrition, U.S. Food and Drug Center, Agricultural Research Service, Service, U.S. Department of Administration (HFS–317), Harvey W. U.S. Department of Agriculture, 600 Agriculture, Stop 0247, South Wiley Federal Building, 5001 Campus East Mermaid Lane, Wyndmoor, PA Agriculture Building, 1400 Drive, College Park, MD 20740–3835, 19038, Phone: +1 (215) 233–6428, Independence Avenue SW., Phone: +1 (240) 402–2024, Fax: +1 Fax: +1 (215) 233–6406, Washington, DC 20250–0247, Phone: (301) 436–2632, Michelle.Smith@ [email protected]. +1 (202) 690–4944, Fax: +1 (202) 690– fda.hhs.gov. Fresh Fruits and Vegetables 1527, [email protected]. Fish and Fishery Products (adjourned (Host Government—Mexico) Alternate Delegate sine die 2016) U.S. Delegate Dr. Yinqing Ma, Branch Chief, (Host Government—Norway) Dorian LaFond, International Standards Beverages Branch, Division of Plant U.S. Delegate Coordinator, Fruit and Vegetables Products and Beverages, Office of Dr. William R. Jones, Deputy Director, Program, Specialty Crop Inspection Food Safety (HFS–317), Center for Office of Food Safety (HFS–300), U.S. Division, Agricultural Marketing Food Safety and Applied Nutrition, Food and Drug Administration, 5001 Service, U.S. Department of U.S. Food and Drug Administration, Campus Drive, College Park, MD Agriculture, Mail Stop 0247, South 5001 Campus Drive, College Park, MD 20740, Phone: +1 (240) 402–2300, Agriculture Building, 1400 20740, Phone: +1 (240) 402–2479, Fax: +1 (301) 436–2601, Independence Avenue SW., Fax: +1 (301) 436–2632, Yinqing.Ma@ [email protected]. Washington, DC 20250–0247, Phone: fda.hhs.gov. Alternate Delegate +1 (202) 690–4944, Fax: +1 (202) 690– Spices and Culinary Herbs 1527, [email protected]. Steven Wilson, Deputy Director, Office (Host Government—India) of International Affairs and Seafood Alternate Delegate U.S. Delegate Inspection, National Marine Fisheries David T. Ingram, Ph.D., Consumer Service, NOAA, U.S. Department of Safety Officer, Office of Food Safety, Dorian LaFond, International Standards Coordinator, Fruit and Vegetables Commerce, 1315 East-West Highway, Fresh Produce Branch, Division of Silver Spring, Maryland 20910, Produce Safety, Center for Food Program, Specialty Crop Inspection Division, Agricultural Marketing Phone: +1 (301) 427–8312, Safety and Applied Nutrition, U.S. [email protected]. Food and Drug Administration, 5001 Service, U.S. Department of Campus Drive, Room 3E027, College Agriculture, Mail Stop 0247, South Meat Hygiene (adjourned sine die 2003) Agriculture Building, 1400 Park, MD, USA 20740–3835, Phone: (Host Government—New Zealand) +1 (240) 402–0335, David.Ingram@ Independence Avenue SW., U.S. Delegate fda.hhs.gov. Washington, DC 20250–0247, Phone: +1 (202) 690–4944, Fax: +1 (202) 690– Vacant Milk and Milk Products 1527, [email protected]. Natural Mineral Waters (adjourned sine (Host Government—New Zealand) Alternate Delegate die 2008) U.S. Delegate George C. Ziobro, Ph.D., Egg and Meat (Host Government—Switzerland) Christopher Thompson, Dairy Products Branch, HFS–316, Division Standardization Branch, Mail Stop of Diary, Egg, and Meat Products, U.S. Delegate 0230, Room 2742, Agricultural Office of Food Safety Center for Food Dr. Yinqing Ma, Branch Chief, Marketing Service, U.S. Department of Safety and Applied Nutrition, 5001 Beverages Branch, Division of Plant Agriculture, 1400 Independence Campus Drive, College Park, MD Products and Beverages, Office of Avenue SW., Washington, DC 20250, 20740, Phone: +1 (240) 402–1965, Food Safety (HFS–317), Center for Phone: +1 (202) 720–9382, Fax: +1 [email protected]. Food Safety and Applied Nutrition,

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U.S. Food and Drug Administration, COMMISSION ON CIVIL RIGHTS Records and documents discussed 5001 Campus Drive, College Park, MD during the meeting will be available for 20740, Phone: +1 (240) 402–2479, Notice of Public Meeting of the public viewing prior to and after the Fax: +1 (301) 436–2632, Yinqing.Ma@ Minnesota Advisory Committee meeting at https://facadatabase.gov/ committee/meetings.aspx?cid=256. fda.hhs.gov. AGENCY: U.S. Commission on Civil Please click on the ‘‘Meeting Details’’ Rights. Vegetable Proteins (adjourned sine die and ‘‘Documents’’ links. Records 1989) ACTION: Announcement of meeting. generated from this meeting may also be (Host Government—Canada) SUMMARY: Notice is hereby given, inspected and reproduced at the Regional Programs Unit, as they become U.S. Delegate pursuant to the provisions of the rules and regulations of the U.S. Commission available, both before and after the meeting. Persons interested in the work Vacant on Civil Rights (Commission) and the Federal Advisory Committee Act of this Committee are directed to the AD HOC INTERGOVERNMENTAL (FACA) that a meeting of the Minnesota Commission’s Web site, http:// TASK FORCES (DISSOLVED) Advisory Committee (Committee) to the www.usccr.gov, or may contact the Regional Programs Unit at the above Animal Feeding (Dissolved 2013) Commission will be held at 11:00 a.m. (Central Time) September 11, 2017. The email or street address. (Host Government—Switzerland) purpose of the meeting is for the Agenda U.S. Delegate Committee to discuss and likely vote on I. Welcome project topic of study. II. Approval of Minutes Daniel G. McChesney, Ph.D., Director, DATES: The meeting will be held on III. Discussion on Draft Report on Office of Surveillance & Compliance, Wednesday, September 6, 2017, at 11:00 ‘‘Responses to 21st Century Policing Center for Veterinary Medicine, U.S. p.m. CDT. in Minnesota’’ Food and Drug Administration, 7529 PUBLIC CALL INFORMATION: IV. Public Comment Standish Place, Rockville, MD 20855, Dial: 877–718–5106 V. Next Steps Phone: +1 (240) 402–7140, Fax: +1 Conference ID: 4885819 VI. Adjournment Exceptional Circumstance: Pursuant (240) 453–6880, Daniel.McChesney@ FOR FURTHER INFORMATION CONTACT: fda.hhs.gov. to 41 CFR 102–3.150, the notice for this Carolyn Allen at [email protected] or meeting is given less than 15 calendar Alternate Delegate (312) 353–8311. days prior to the meeting because of the SUPPLEMENTARY INFORMATION: This exceptional circumstance of DFO Dr. Patty Bennett, Humane Handling meeting is available to the public capacity that required rescheduling Enforcement Coordinator, Office of through the following toll-free call-in meeting to this date. Field Operations Food Safety and number: 877–718–5106, conference ID Dated: August 30, 2017. Inspection Service, U.S. Department number: 4885819. Any interested David Mussatt, of Agriculture, 1400 Independence member of the public may call this Avenue, Room 3155–S, Washington, number and listen to the meeting. Supervisory Chief, Regional Programs Unit. DC 20250, Phone: +1 (202) 720–5397, Callers can expect to incur charges for [FR Doc. 2017–18757 Filed 9–5–17; 8:45 am] [email protected]. calls they initiate over wireless lines, BILLING CODE P and the Commission will not refund any Antimicrobial Resistance (Re- incurred charges. Callers will incur no established 2016) charge for calls they initiate over land- DEPARTMENT OF COMMERCE (Host Government—Republic of Korea) line connections to the toll-free telephone number. Persons with hearing International Trade Administration U.S. Delegate impairments may also follow the United States Travel and Tourism Donald A. Prater, DVM, Assistant proceedings by first calling the Federal Advisory Board Charter Renewal Commissioner for Food Safety Relay Service at 1–800–977–8339 and Integration, Office of Foods and providing the Service with the AGENCY: United States Travel and Veterinary Medicine, Food and Drug conference call number and conference Tourism Advisory Board, International ID number. Trade Administration, Commerce. Administration, 10903 New Members of the public are entitled to Hampshire Avenue, Silver Spring, ACTION: Notice. make comments during the open period MD 20993, Tel: +1–301–348–3007, at the end of the meeting. Members of SUMMARY: The Chief Financial Officer Email: [email protected]. the public may also submit written and Assistant Secretary of Commerce for Alternate Delegate comments; the comments must be Administration, with the concurrence of received in the Regional Programs Unit the General Services Administration, Neena Anandaraman, DVM, MPH, within 30 days following the meeting. renewed the Charter for the United Veterinary Science Policy Advisor, Written comments may be mailed to the States Travel and Tourism Advisory Office of Chief Scientist, U.S. U.S. Commission on Civil Rights, Board on August 17, 2017. Department of Agriculture, DCWA2– Regional Programs Unit, 55 West DATES: The Charter for the United States 339 Whitten Building, 1200 Monroe Street, Suite 410, Chicago, IL Travel and Tourism Advisory Board was Independence Avenue SW., 60603. They may be faxed to the renewed on August 17, 2017. Washington, DC 20024, Tel: +1–202– Commission at (312) 353–8324, or FOR FURTHER INFORMATION CONTACT: 260–8789, Email: emailed Carolyn Allen at callen@ Brian Beall, the United States Travel [email protected]. usccr.gov. Persons who desire and Tourism Advisory Board, Room additional information may contact the [FR Doc. 2017–18832 Filed 9–5–17; 8:45 am] 10003, 1401 Constitution Avenue NW., Regional Programs Unit at (312) 353– Washington, DC, 20230, telephone: 202– BILLING CODE 3410–DM–P 8311. 482–5634, email: [email protected].

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SUPPLEMENTARY INFORMATION: The Chief DEPARTMENT OF COMMERCE information from the Commission Financial Officer and Assistant contact Mary Messer, Office of Secretary of Commerce for International Trade Administration Investigations, U.S. International Trade Administration, with the concurrence of Commission at (202) 205–3193. the General Services Administration, Initiation of Five-Year (Sunset) SUPPLEMENTARY INFORMATION: renewed the United States Travel and Reviews Tourism Advisory Board on August 17, AGENCY: Enforcement and Compliance, Background 2017. This Notice is published in International Trade Administration, The Department’s procedures for the accordance with the Federal Advisory Department of Commerce. Committee Act (FACA) (Title 5, United conduct of Sunset Reviews are set forth SUMMARY: In accordance with the Tariff States Code, Appendix 2, section 9). It in its Procedures for Conducting Five- Act of 1930, as amended (the Act), the has been determined that the Committee Year (‘‘Sunset’’) Reviews of Department of Commerce (the is necessary and in the public interest. Antidumping and Countervailing Duty Department) is automatically initiating The Committee was established Orders, 63 FR 13516 (March 20, 1998) the five-year reviews (Sunset Reviews) pursuant to Commerce’s authority under and 70 FR 62061 (October 28, 2005). of the antidumping and countervailing 15 U.S.C. 1512, established under the Guidance on methodological or duty (AD/CVD) order(s) listed below. Federal Advisory Committee Act analytical issues relevant to the The International Trade Commission (FACA), as amended, 5 U.S.C., App. and Department’s conduct of Sunset (the Commission) is publishing with the concurrence of the General Reviews is set forth in Antidumping concurrently with this notice its notice Services Administration. The Proceedings: Calculation of the of Institution of Five-Year Reviews Committee provides advice to the Weighted-Average Dumping Margin and which covers the same order(s). Secretary on government policies and Assessment Rate in Certain programs that affect the U.S. travel and DATES: Applicable (September 1, 2017). Antidumping Duty Proceedings; Final tourism industry. FOR FURTHER INFORMATION CONTACT: The Modification, 77 FR 8101 (February 14, Department official identified in the 2012). Dated: August 28, 2017. Initiation of Review section below at Initiation of Review Brian Beall, AD/CVD Operations, Enforcement and Designated Federal Officer, United States Compliance, International Trade In accordance with section 751(c) of Travel and Tourism Advisory Board. Administration, U.S. Department of the Act and 19 CFR 351.218(c), we are [FR Doc. 2017–18820 Filed 9–5–17; 8:45 am] Commerce, 1401 Constitution Avenue initiating Sunset Reviews of the BILLING CODE 3510–DR–P NW., Washington, DC 20230. For following AD and CVD order(s):

DOC Case No. ITC Case No. Country Product Department contact

A–570–905 ...... 731–TA–1104 ...... PRC Polyester Staple Fiber (2nd Review) ...... Matthew Renkey (202) 482–2312. A–570–864 ...... 731–TA–895 ...... PRC Pure Magnesium In Granular Form (3rd Review) ... Robert James (202) 482–0649.

Filing Information to the accuracy and completeness of that submitting factual information in these 2 As a courtesy, we are making information. Parties are hereby segments. To the extent that other information related to sunset reminded that revised certification regulations govern the submission of proceedings, including copies of the requirements are in effect for company/ factual information in a segment (such pertinent statute and Department’s government officials as well as their as 19 CFR 351.218), these time limits regulations, the Department’s schedule representatives in these segments.3 The will continue to be applied. Parties are for Sunset Reviews, a listing of past formats for the revised certifications are also advised to review the final rule revocations and continuations, and provided at the end of the Final Rule. concerning the extension of time limits current service lists, available to the The Department intends to reject factual for submissions in AD/CVD public on the Department’s Web site at submissions if the submitting party does proceedings, available at http:// the following address: http:// not comply with the revised enforcement.trade.gov/frn/2013/ enforcement.trade.gov/sunset/. All certification requirements. 1309frn/2013-22853.txt, prior to submissions in these Sunset Reviews On April 10, 2013, the Department submitting factual information in these must be filed in accordance with the modified two regulations related to AD/ segments.5 CVD proceedings: The definition of Department’s regulations regarding Letters of Appearance and factual information (19 CFR format, translation, and service of Administrative Protective Orders documents. These rules, including 351.102(b)(21)), and the time limits for Pursuant to 19 CFR 351.103(d), the electronic filing requirements via the submission of factual information 4 Department will maintain and make Enforcement and Compliance’s (19 CFR 351.301). Parties are advised to available a public service list for these Antidumping and Countervailing Duty review the final rule, available at http:// proceedings. Parties wishing to Centralized Electronic Service System enforcement.trade.gov/frn/2013/ participate in any of these five-year (ACCESS), can be found at 19 CFR 1304frn/2013-08227.txt, prior to reviews must file letters of appearance 351.303.1 This notice serves as a reminder that 2 See section 782(b) of the Act. as discussed at 19 CFR 351.103(d)). To any party submitting factual information 3 See Certification of Factual Information To facilitate the timely preparation of the Import Administration During Antidumping and in an AD/CVD proceeding must certify public service list, it is requested that Countervailing Duty Proceedings, 78 FR 42678 (July those seeking recognition as interested 17, 2013) (Final Rule) (amending 19 CFR 1 See also Antidumping and Countervailing Duty 351.303(g)). parties to a proceeding submit an entry Proceedings: Electronic Filing Procedures; 4 See Definition of Factual Information and Time Administrative Protective Order Procedures, 76 FR Limits for Submission of Factual Information: Final 5 See Extension of Time Limits, 78 FR 57790 39263 (July 6, 2011). Rule, 78 FR 21246 (April 10, 2013). (September 20, 2013).

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of appearance within 10 days of the Dated: August 30, 2017. provide timely aggregated summaries publication of the Notice of Initiation. James Maeder, about the imports. The Steel Import Because deadlines in Sunset Reviews Senior Director perfoming the duties of License is the tool used to collect the can be very short, we urge interested Deputy Assistant Secretary for Antidumping necessary information. The Census parties who want access to proprietary and Countervailing Duty Operations. Bureau currently collects import data information under administrative [FR Doc. 2017–18763 Filed 9–5–17; 8:45 am] and disseminates aggregate information protective order (APO) to file an APO BILLING CODE 3510–DS–P about steel imports. However, the time application immediately following required to collect, process, and publication in the Federal Register of disseminate this information through this notice of initiation. The DEPARTMENT OF COMMERCE Census can take up to 90 days after importation of the product, giving Department’s regulations on submission International Trade Administration of proprietary information and interested parties and the public far less time to respond to injurious sales. eligibility to receive access to business Proposed Information Collection; proprietary information under APO can Comment Request; Steel Import II. Method of Collection be found at 19 CFR 351.304–306. License The license application can be Information Required From Interested AGENCY: International Trade submitted electronically via the Parties Administration, Commerce. Commerce Web site (http:// Domestic interested parties, as ACTION: Notice. enforcement.trade.gov/steel/license/) or defined in section 771(9)(C), (D), (E), (F), completed electronically and emailed or SUMMARY: The Department of faxed to the Department. and (G) of the Act and 19 CFR Commerce, as part of its continuing 351.102(b), wishing to participate in a effort to reduce paperwork and III. Data Sunset Review must respond not later respondent burden, invites the general OMB Control Number: 0625–0245. than 15 days after the date of public and other Federal agencies to Form Number(s): ITA–4141P. publication in the Federal Register of take this opportunity to comment on this notice of initiation by filing a notice proposed and/or continuing information Type of Review: Regular submission. of intent to participate. The required collections, as required by the Affected Public: Business or other for- contents of the notice of intent to Paperwork Reduction Act of 1995. profit organizations. participate are set forth at 19 CFR DATES: Written comments must be Estimated Number of Respondents: 351.218(d)(1)(ii). In accordance with the submitted on or before November 6, 3,500. Department’s regulations, if we do not 2017. Estimated Time per Response: 10 receive a notice of intent to participate minutes. from at least one domestic interested ADDRESSES: Direct all written comments party by the 15-day deadline, the to Jennifer Jessup, Departmental Estimated Total Annual Burden Department will automatically revoke Paperwork Clearance Officer, Hours: 92,878. the order without further review.6 Department of Commerce, Room 6616, Estimated Total Annual Cost to 14th and Constitution Avenue NW., Public: 0. If we receive an order-specific notice Washington, DC 20230 (or via the of intent to participate from a domestic IV. Request for Comments Internet at [email protected]). interested party, the Department’s FOR FURTHER INFORMATION CONTACT: Comments are invited on: (a) Whether regulations provide that all parties the proposed collection of information wishing to participate in a Sunset Requests for additional information or is necessary for the proper performance Review must file complete substantive copies of the information collection of the functions of the agency, including responses not later than 30 days after instrument and instructions should be whether the information shall have the date of publication in the Federal directed to Julie Al-Saadawi, Office of practical utility; (b) the accuracy of the Register of this notice of initiation. The Policy, Enforcement and Compliance, agency’s estimate of the burden required contents of a substantive 1401 Constitution Ave. NW., (including hours and cost) of the response, on an order-specific basis, are Washington, DC 20230 (202) 482–2105, proposed collection of information; (c) set forth at 19 CFR 351.218(d)(3). Note Fax: (202) 501–7952 or via email ways to enhance the quality, utility, and that certain information requirements [email protected]. clarity of the information to be differ for respondent and domestic SUPPLEMENTARY INFORMATION: collected; and (d) ways to minimize the parties. Also, note that the Department’s I. Abstract burden of the collection of information information requirements are distinct The President’s Proclamation on Steel on respondents, including through the from the Commission’s information Safeguards mandated that the use of automated collection techniques requirements. Consult the Department’s Departments of Commerce and Treasury or other forms of information regulations for information regarding institute an import licensing system to technology. the Department’s conduct of Sunset facilitate the monitoring of certain steel Reviews. Consult the Department’s Comments submitted in response to imports in 2002. regulations at 19 CFR part 351 for this notice will be summarized and/or Regulations were established that definitions of terms and for other included in the request for OMB implemented the Steel Import general information concerning approval of this information collection; Monitoring and Analysis (SIMA) System antidumping and countervailing duty they also will become a matter of public and expanded on the licensing system proceedings at the Department. record. in 2006 for steel that was part of those This notice of initiation is being safeguards. The import license Sheleen Dumas published in accordance with section information is necessary to assess Departmental PRA Lead, Office of the Chief 751(c) of the Act and 19 CFR 351.218(c). import trends of steel products. Information Officer. In order to effectively monitor steel [FR Doc. 2017–18819 Filed 9–5–17; 8:45 am] 6 See 19 CFR 351.218(d)(1)(iii). imports, Commerce must collect and BILLING CODE 3510–DS–P

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DEPARTMENT OF COMMERCE 7208.40.30.60, 7208.51.00.30, Therefore, for the final results, we 7208.51.00.45, 7208.51.00.60, continue to find that these eight International Trade Administration 7208.52.00.00, 7208.53.00.00, companies did not have any reviewable [A–580–836] 7208.90.00.00, 7210.70.30.00, entries of subject merchandise during 7210.90.90.00, 7211.13.00.00, the POR. Consistent with our practice, Certain Cut-to-Length Carbon-Quality 7211.14.00.30, 7211.14.00.45, we will issue appropriate instructions to Steel Plate Products From the 7211.90.00.00, 7212.40.10.00, U.S. Customs and Border Protection Republic of Korea: Final Results of 7212.40.50.00, 7212.50.00.00, (CBP) based on our final results. 7225.40.30.50, 7225.40.70.00, Antidumping Duty Administrative Changes Since the Preliminary Results Review; 2015–2016 7225.50.60.00, 7225.99.00.90, 7226.91.50.00, 7226.91.70.00, Based on our analysis of comments AGENCY: Enforcement and Compliance, 7226.91.80.00, and 7226.99.00.00. While received, we revised the preliminary International Trade Administration, the HTSUS subheadings are provided margin calculations for Dongkuk Steel Department of Commerce. for convenience and customs purposes, Mill Co., Ltd. (DSM) and Hyundai Steel SUMMARY: On March 3, 2017, the the written description is dispositive. A Company (Hyundai Steel). These Department of Commerce (the full description of the scope of the order revisions resulted in changes to the Department) published the preliminary is contained in the Issues and Decision margins for DSM and the respondents results of the administrative review of Memorandum.3 not selected for individual examination, the antidumping duty order on certain Analysis of Comments Received but no changes to the margin for cut-to-length carbon-quality steel plate Hyundai Steel, for the final results of products (CTL plate) from the Republic All issues raised in the case and this review.6 of Korea (Korea). Based on our analysis rebuttal briefs by parties in this review of the comments received, we continue are addressed in the Issues and Decision Final Results of the Administrative to find that subject merchandise has Memorandum, which is hereby adopted Review been sold at less than normal value. by this notice. A list of the issues raised We determine that the following is attached in the Appendix to this DATES: Applicable September 6, 2017. weighted-average dumping margins notice. The Issues and Decision FOR FURTHER INFORMATION CONTACT: exist for the respondents for the period Memorandum is a public document and Yang Jin Chun or Thomas Schauer, AD/ February 1, 2015, through January 31, is on file electronically via Enforcement 2016. CVD Operations, Office I, Enforcement and Compliance’s Antidumping and and Compliance, International Trade Countervailing Duty Centralized Weighted- Administration, U.S. Department of Electronic Service System (ACCESS). average Commerce, 1401 Constitution Avenue ACCESS is available to registered users Producer/exporter dumping NW., Washington, DC 20230; telephone: margin at https://access.trade.gov and to all (percent) (202) 482–5760 or (202) 482–0410, parties in the Central Records Unit, respectively. room B–8024 of the main Department of BDP International ...... 2.03 SUPPLEMENTARY INFORMATION: Commerce building. In addition, a Bookuk Steel Co., Ltd ...... 2.03 complete version of the Issues and Dongkuk Steel Mill Co., Ltd .. 1.84 Background Decision Memorandum can be accessed Hyundai Steel Company ...... 2.05 On March 3, 2017, the Department directly at http://enforcement.trade.gov/ Samsung C&T Engineering published the Preliminary Results of the frn/index.html. & Construction Group ...... 2.03 administrative review.1 The period of Samsung C&T Trading and review is February 1, 2015, through Final Determination of No Shipments Investment Group ...... 2.03 Sung Jin Steel Co., Ltd ...... 2.03 January 31, 2016. We invited interested We preliminarily found that Daewoo parties to comment on the Preliminary International Corp., GS Global Corp., Disclosure Results and received case and rebuttal Hyosung Corporation, Hyundai Glovis briefs from interested parties.2 Co., Ltd., Hyundai Mipo Dockyard Co., We intend to disclose the calculations The Department conducted this Ltd., Samsung C&T Corporation, performed to parties in this proceeding review in accordance with section 751 Samsung Heavy Industries, and SK within five days after public of the Tariff Act of 1930, as amended Networks Co., Ltd. did not have any announcement of the final results in (the Act). reviewable entries of subject accordance with 19 CFR 351.224(b). merchandise during the POR.4 After the Scope of the Order Preliminary Results, we received no Assessment Rates The products covered by the comments or additional information Pursuant to section 751(a)(2)(A) of the antidumping duty order are certain CTL with respect to these eight companies.5 Act and 19 CFR 351.212(b)(1), the plate. Imports of CTL plate are currently Department will determine, and CBP classified in the Harmonized Tariff 3 See the Memorandum, ‘‘Issues and Decision shall assess, antidumping duties on all Schedule of the United States (HTSUS) Memorandum for the Final Results of Antidumping appropriate entries of subject Duty Administrative Review of Certain Cut-to- under subheadings 7208.40.30.30, Length Carbon-Quality Steel Plate Products from the Republic of Korea; 2015–2016,’’ dated 7, 2017. We denied this request. See Issues and 1 See Certain Cut-to-Length Carbon-Quality Steel concurrently with and hereby adopted by this Decision Memorandum at Comment 8. Plate Products from the Republic of Korea: notice (Issues and Decision Memorandum). 6 See Issues and Decision Memorandum for Preliminary Results of Antidumping Duty 4 See Preliminary Results, 82 FR at 12432 and further details on the changes we made for these Administrative Review; 2015–2016, 82 FR 12431 accompanying Preliminary Decision Memorandum final results. See also the Memoranda, ‘‘Certain Cut- (March 3, 2017) (Preliminary Results). at 3. to-Length Carbon-Quality Steel Plate Products from 2 See the case briefs from Nucor Corporation and 5 In its case brief, Samsung C&T Corporation the Republic of Korea: Final Analysis Memorandum Hyundai Steel Company dated April 3, 2017, the requested that the Department issue a final for Dongkuk Steel Mill Co., Ltd.,’’ and ‘‘Certain Cut- redacted case brief from Samsung C&T Corporation determination of no shipments for Samsung C&T to-Length Carbon-Quality Steel Plate Products from dated April 7, 2017, and the rebuttal briefs from Engineering & Construction Group and Samsung the Republic of Korea: Final Results Analysis Nucor Corporation, Hyundai Steel Company, and C&T Trading and Investment Group. See Samsung Memorandum for Hyundai Steel Company,’’ dated Dongkuk Steel Mill Co., Ltd. dated April 10, 2017. C&T Corporation’s redacted case brief dated April concurrently with this notice.

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merchandise in accordance with the complete segment of this proceeding, Individual Examination final results of this review. the cash deposit rate will be the rate Discussion of the Issues For DSM and Hyundai Steel, we established for the most recent period Comment 1: Differential Pricing calculated importer-specific assessment for the producer of the merchandise; (4) Comment 2: Major-Input Rule rates on the basis of the ratio of the total the cash deposit rate for all other Comment 3: Cost Differences Not Associated With Physical Characteristics amount of antidumping duties manufacturers or exporters will Comment 4: Cost of Prime Products 8 calculated for each importer’s examined continue to be 0.98 percent, the all- Comment 5: Affiliated-Party Inputs sales and the total entered value of the others rate determined in the less-than- Comment 6: Overrun Sales sales in accordance with 19 CFR fair-value (LTFV) investigation, adjusted Comment 7: Marine Insurance 351.212(b)(1).7 For entries of subject for the export-subsidy rate in the Comment 8: Reviewable Entries merchandise during the period of companion countervailing duty [FR Doc. 2017–18824 Filed 9–5–17; 8:45 am] review produced by DSM or Hyundai investigation. These cash deposit BILLING CODE 3510–DS–P Steel for which it did not know its requirements, when imposed, shall merchandise was destined for the remain in effect until further notice. United States, we will instruct CBP to DEPARTMENT OF COMMERCE liquidate unreviewed entries at the all- Notification to Importers others rate if there is no rate for the This notice serves as a final reminder International Trade Administration intermediate company(ies) involved in to importers of their responsibility the transaction. For the companies under 19 CFR 351.402(f)(2) to file a [A–201–836] which were not selected for individual certificate regarding the reimbursement Light-Walled Rectangular Pipe and examination, BDP International, Bookuk of antidumping duties prior to Tube From Mexico: Preliminary Steel Co., Ltd., Samsung C&T liquidation of the relevant entries Results of Antidumping Duty Engineering & Construction Group, during this review period. Failure to Administrative Review; 2015–2016 Samsung C&T Trading and Investment comply with this requirement could Group, and Sung Jin Steel Co., Ltd., we result in the Secretary’s presumption AGENCY: Enforcement and Compliance, will instruct CBP to apply the rates that reimbursement of antidumping International Trade Administration, listed above to all entries of subject duties occurred and the subsequent Department of Commerce. merchandise produced and/or exported assessment of double antidumping SUMMARY: The Department of Commerce by these firms. For the eight companies duties. (the Department) is conducting an that we determined had no reviewable Notification Regarding Administrative administrative review of the entries of the subject merchandise in Protective Orders antidumping duty order on light-walled this review period, we will instruct CBP rectangular pipe and tube (LWRPT) This notice also serves as a reminder to liquidate any applicable entries of from Mexico. The period of review is to parties subject to administrative subject merchandise at the all-others August 1, 2015, through July 31, 2016. protective order (APO) of their rate. We intend to issue liquidation The review covers one producer/ responsibility concerning the instructions to CBP 15 days after exporter of the subject merchandise, disposition of proprietary information publication of the final results of these Productos Laminados de Monterrey S.A. disclosed under APO in accordance reviews. de C.V (Productos Laminados). We with 19 CFR 351.305(a)(3). Timely preliminarily determine that sales of Cash Deposit Requirements written notification of the return or subject merchandise by Productos The following deposit requirements destruction of APO materials or Laminados and affiliated reseller, will be applicable upon publication of conversion to judicial protective order is Aceros Cuatros Caminos S.A. de C.V. this notice for all shipments of CTL hereby requested. Failure to comply (A4C) (collectively, Prolamsa), were not plate from Korea entered, or withdrawn with the regulations and the terms of an made at less than normal value during from warehouse, for consumption on or APO is a violation subject to sanction. the period of review. Interested parties after the date of publication, as provided This notice is published in are invited to comment on these by section 751(a)(2)(C) of the Act: (1) accordance with sections 751(a)(1) and preliminary results. The cash deposit rate for the companies 777(i)(1) of the Act and 19 CFR listed above will be equal to the 351.221(b)(5). DATES: Applicable September 6, 2017. weighted-average dumping margins Dated: August 30, 2017. FOR FURTHER INFORMATION CONTACT: established in the final results of this Gary Taverman. Madeline Heeren, AD/CVD Operations, Office VI, Enforcement and Compliance, administrative review; (2) for Deputy Assistant Secretary for Antidumping merchandise exported by producers or and Countervailing Duty Operations, International Trade Administration, exporters not covered in this review but performing the non-exclusive functions and U.S. Department of Commerce, 1401 covered in a prior completed segment of duties of the Assistant Secretary for Constitution Avenue NW., Washington, the proceeding, the cash deposit rate Enforcement and Compliance. DC 20230; telephone: (202) 482–9179. will continue to be the company- Appendix SUPPLEMENTARY INFORMATION: specific rate published for the most recent period; (3) if the exporter is not List of Topics Discussed in the Issues and Background a firm covered in this review, a prior Decision Memorandum These preliminary results of review review, or the original investigation but Summary are made in accordance with section the producer has been covered in a prior Background 733(b) of the Tariff Act of 1930, as Scope of the Order amended (the Act). On October 14, Rates for Respondents Not Selected for 7 In these final results, the Department applied 2016, the Department published the the assessment rate calculation method adopted in 8 notice of initiation for the Antidumping Proceedings: Calculation of the See, e.g., Certain Cut-to-Length Carbon-Quality 1 Weighted-Average Dumping Margin and Steel Plate Products from the Republic of Korea: administrative review. For a complete Assessment Rate in Certain Antidumping Duty Final Results of Antidumping Duty Administrative Proceedings; Final Modification, 77 FR 8101 Review and New Shipper Review; 2014–2015, 81 FR 1 See Initiation of Antidumping and (February 14, 2012). 62712, 62714 (September 12, 2016). Countervailing Duty Administrative Reviews, 81 FR

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description of the events that followed Weighted- Assessment Rates average the initiation of the review, see the Producer/exporter Upon issuance of the final results, the Preliminary Decision Memorandum.2 A margin (percent) Department will determine, and U.S. list of topics included in the Customs and Border Protection (CBP) Preliminary Decision Memorandum is Productos Laminados de shall assess, antidumping duties on all included as Appendix II to this notice. Monterrey S.A. de C.V./ appropriate entries covered by this The Preliminary Decision Memorandum Aceros Cuatros Caminos review.11 If a respondent’s weighted- is a public document and is on file S.A. de C.V ...... 0.00 average dumping margin is not zero or electronically via Enforcement and de minimis in the final results of this Compliance’s Antidumping and Disclosure and Public Comment review and the respondent reported Countervailing Duty Centralized The Department will disclose to reliable entered values, we will Electronic Service System (ACCESS). parties to the proceeding any calculate importer-specific ad valorem ACCESS is available to registered users calculations performed in connection assessment rates for the merchandise at https://access.trade.gov and to all with these preliminary results of review based on the ratio of the total amount of parties in the Central Records Unit, within five days after the date of dumping calculated for the examined located in room B8094 of the main publication of this notice.4 Interested sales made during the period of review Department of Commerce building. In parties may submit case briefs not later to each importer to the total entered addition, a complete version of the than 30 days after the date of value of those same sales in accordance Preliminary Decision Memorandum can publication of this notice in the Federal with 19 CFR 351.212(b)(1). If the be accessed directly at http:// Register.5 Rebuttal briefs, limited to respondent has not reported reliable enforcement.trade.gov/frn/. The signed issues raised in the case briefs, may be entered values, we will calculate a per- and the electronic versions of the filed not later than five days after the unit assessment rate for each importer 6 Preliminary Decision Memorandum are date for filing case briefs. Parties who by dividing the total amount of dumping for the examined sales made identical in content. submit case briefs or rebuttal briefs in this proceeding are encouraged to during the period of review to that Scope of the Order submit with each argument: (1) A importer by the total sales quantity statement of the issue; (2) a brief associated with those transactions. The products covered by the scope of summary of the argument; and (3) a Where an importer-specific ad valorem the order are LWRPT from Mexico. For table of authorities.7 Case and rebuttal assessment rate is zero or de minimis, a complete description of the scope, see briefs should be filed using ACCESS.8 we will instruct CBP to liquidate the Appendix I of this notice. Interested parties who wish to request appropriate entries without regard to antidumping duties in accordance with Methodology a hearing must submit a written request to the Assistant Secretary for 19 CFR 351.106(c)(2). If the The Department is conducting this Enforcement and Compliance within 30 respondent’s weighted-average dumping review in accordance with section days of the date of publication of this margin is zero or de minimis in the final 751(a)(1)(B) of the Act. For a full notice.9 Requests should contain: (1) results of review, we will instruct CBP description of the methodology The party’s name, address and not to assess duties on any of its entries telephone number; (2) the number of in accordance with the Final underlying the preliminary results, see { } the Preliminary Decision Memorandum. participants; and (3) a list of issues Modification for Reviews, i.e., ‘‘ w here parties intend to discuss. Issues raised the weighted-average margin of Preliminary Results of Review in the hearing will be limited to those dumping for the exporter is determined raised in the respective case and to be zero or de minimis, no We preliminarily determine that, for 12 rebuttal briefs. If a request for a hearing antidumping duties will be assessed.’’ the period August 1, 2015, through July is made, the Department intends to hold Regarding entries of subject 31, 2016, the following weighted- the hearing at the U.S. Department of merchandise during the period of 3 average dumping margin exists: Commerce, 1401 Constitution Avenue review that were produced by Prolamsa NW., Washington, DC 20230, at a date and for which they did not know that and time to be determined.10 Parties the merchandise was destined for the should confirm by telephone the date, United States, we will instruct CBP to 71061 (October 14, 2016) (Initiation Notice) as time, and location of the hearing two liquidate un-reviewed entries at the all- corrected in Initiation of Antidumping and days before the scheduled date. others rate of 3.76 percent, as Countervailing Duty Administrative Reviews, 81 FR Unless extended, the Department established in the less-than-fair-value 78778 (November 9, 2016) (Correction Notice). investigation of the order, if there is no 2 See Memorandum, ‘‘Decision Memorandum for intends to issue the final results of this Preliminary Results of Antidumping Duty administrative review, which will rate for the intermediate company(ies) 13 Administrative Review: Light-Walled Rectangular include the results of our analysis of all involved in the transaction. For a full Pipe and Tube from Mexico; 2015–2016,’’ dated issues raised in the case briefs, within concurrently with this notice. 120 days of publication of these 11 See 19 CFR 351.212(b)(1). 3 The Department has preliminarily determined to preliminary results in the Federal 12 See Antidumping Proceedings: Calculation of collapse, and treat as a single entity, affiliates Register, pursuant to section the Weighted-Average Dumping Margin and Assessment Rate in Certain Antidumping Productos Laminados de Monterrey S.A. de C.V. 751(a)(3)(A) of the Act. and Aceros Cuatro Caminos S.A. de C.V. For our Proceedings: Final Modification, 77 FR 8101, 8102 analysis of the collapsing criteria, see (February 14, 2012) (Final Modification for Reviews). Memorandum, ‘‘Analysis Memorandum for 4 See 19 CFR 351.224(b). 13 See Light-Walled Rectangular Pipe and Tube Productos Laminados de Monterrey S.A. de C.V. 5 See 19 CFR 351.309(c)(1)(ii). from Mexico, the People’s Republic of China, and 6 See 19 CFR 351.309(d)(1). and Aceros Cuatro Caminos S.A. de C.V. in the the Republic of Korea: Antidumping Duty Orders; 7 Preliminary Results of the 2015/2016 See 19 CFR 351.309(c)(2) and (d)(2). Light-Walled Rectangular Pipe and Tube from the Administrative Review of the Antidumping Duty 8 See 19 CFR 351.303. Republic of Korea: Notice of Amended Final order on Light-Walled Rectangular Pipe and Tube 9 See 19 CFR 351.310(c). Determination of Sales at Less Than Fair Value, 73 from Mexico,’’ dated concurrently with this notice. 10 See 19 CFR 351.310(d). FR 45403, (August 5, 2008) (Order).

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discussion of this matter, see Notification to Interested Parties 6. Date of Sale 14 7. Export Price/Constructed Export Price Assessment Policy Notice. We are issuing and publishing this We intend to issue liquidation 8. Normal Value notice in accordance with sections A. Home Market Viability as Comparison instructions to CBP 15 days after 751(a)(1) and 777(i)(1) of the Act. publication of the final results of this Market Dated: August 30, 2017. B. Level of Trade review. C. Sales to Affiliates Gary Taverman, Cash Deposit Requirements D. Cost of Production Deputy Assistant Secretary for Antidumping 1. Calculation of Cost of Production The following cash deposit and Countervailing Duty Operations, 2. Test of Comparison Market Sales Prices requirements will be effective upon performing the non-exclusive functions and 3. Results of the Cost of Production Test publication of the final results of this duties of the Assistant Secretary for E. Calculation of Normal Value Based on administrative review for all shipments Enforcement and Compliance. Comparison Market Prices of the subject merchandise entered, or Appendix I F. Price-to-Constructed Value Comparison withdrawn from warehouse, for 9. Currency Conversion consumption on or after the publication Scope of the Order 10. Recommendation date of the final results of this The scope of this order covers certain [FR Doc. 2017–18825 Filed 9–5–17; 8:45 am] administrative review, as provided by welded carbon-quality light-walled steel pipe BILLING CODE 3510–DS–P section 751(a)(2)(C) of the Act: (1) The and tube, of rectangular (including square) cash deposit rate for Prolamsa will be cross section, having a wall thickness of less equal to the weighted-average dumping than 4 mm. DEPARTMENT OF COMMERCE margin established in the final results of The term carbon-quality steel includes both carbon steel and alloy steel which International Trade Administration this administrative review; (2) for contains only small amounts of alloying previously reviewed or investigated elements. Specifically, the term carbon- Antidumping or Countervailing Duty companies not listed above, the cash quality includes products in which none of Order, Finding, or Suspended deposit rate will continue to be the the elements listed below exceeds the Investigation; Advance Notification of company-specific rate published for the quantity by weight respectively indicated; Sunset Reviews most recently completed segment of this 1.80 percent of manganese, or 2.25 percent of proceeding in which they were silicon, or 1.00 percent of copper, or 0.50 AGENCY: Enforcement and Compliance, reviewed; (3) if the exporter is not a firm percent of aluminum, or 1.25 percent of chromium, or 0.30 percent of cobalt, or 0.40 International Trade Administration, covered in this review, a prior review, percent of lead, or 1.25 percent of nickel, or Department of Commerce. or in the investigation but the producer 0.30 percent of tungsten, or 0.10 percent of is, the cash deposit rate will be the rate molybdenum, or 0.10 percent of niobium, or Background established for the most recently 0.15 percent of vanadium, or 0.15 percent of completed segment of this proceeding zirconium. Every five years, pursuant to Tariff for the producer of the merchandise; The description of carbon-quality is Act of 1930, as amended (the Act), the and (4) the cash deposit rate for all other intended to identify carbon-quality products Department of Commerce (the producers or exporters will continue to within the scope. The welded-carbon quality Department) and the International Trade rectangular pipe and tube subject to the order be the all-others rate of 3.76 percent. Commission automatically initiate and is currently classified under the Harmonized conduct a review to determine whether These cash deposit requirements, when Tariff Schedule of the United States (HTSUS) imposed, shall remain in effect until revocation of a countervailing or subheadings 7306.61.50.00 and antidumping duty order or termination further notice. 7306.61.70.60. This tariff classification is provided for convenience and Customs of an investigation suspended under Notification to Importers purposes; however, the written description of section 704 or 734 of the Act would be This notice also serves as a reminder the scope of the order is dispositive. likely to lead to continuation or to importers of their responsibility recurrence of dumping or a under 19 CFR 351.402(f)(2) to file a Appendix II countervailable subsidy (as the case may certificate regarding the reimbursement be) and of material injury. of antidumping duties prior to List of Topics Discussed in the Preliminary Decision Memorandum Upcoming Sunset Reviews for October liquidation of the relevant entries 2017 during this review period. Failure to 1. Background comply with this requirement could 2. Scope of the Order Pursuant to section 751(c) of the Act, 3. Affiliation and Collapsing of Affiliates result in the Department’s presumption 4. Comparisons to Normal Value the following Sunset Reviews are that reimbursement of antidumping A. Determination of Comparison Method scheduled for initiation in October 2017 duties occurred and the subsequent B. Results of the Differential Pricing and will appear in that month’s Notice assessment of double antidumping Analysis of Initiation of Five-Year Sunset Reviews duties. 5. Product Comparisons (Sunset Reviews).

Department contact

Antidumping Duty Proceedings Silicomanganese from China (A–570–828) (4th Review) ...... Robert James (202) 482–0649. Silicomanganese from Ukraine (A–823–805) (4th Review) ...... Robert James (202) 482–0649.

14 See Antidumping and Countervailing Duty Proceedings: Assessment of Antidumping Duties, 68 FR 23954 (May 6, 2003) (Assessment Policy Notice).

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Countervailing Duty Proceedings specifications and management Archipelago, American Samoa No Sunset Review of countervailing measures and make any appropriate Archipelago, and Hawaii Archipelago duty orders is scheduled for initiation in recommendations. Fishery Ecosystem Plan (FEP) Advisory October 2017. DATES: The meeting will be held Panels (AP) to discuss and make Wednesday, September 20, 2017, from 9 recommendations on fishery Suspended Investigations a.m. to 11 a.m. management issues in the Western Pacific Region. No Sunset Review of suspended ADDRESSES: The meeting will be held DATES: investigations is scheduled for initiation via webinar: http:// The CNMI Mariana Archipelago in October 2017. mafmc.adobeconnect.com/spinydogmc- FEP AP will meet on Wednesday, The Department’s procedures for the 2017/. Call-in information is provided September 20, 2017, between 5 p.m. and conduct of Sunset Reviews are set forth upon logging onto the webinar. 8 p.m. The American Samoa in 19 CFR 351.218. The Notice of Council address: Mid-Atlantic Fishery Archipelago FEP AP will meet on Initiation of Five-Year (Sunset) Reviews Management Council, 800 N. State St., Thursday, September 21, 2017, between provides further information regarding Suite 201, Dover, DE 19901; telephone: 4:30 p.m. and 6:30 p.m. The Guam what is required of all parties to (302) 674–2331. Mariana Archipelago FEP AP will meet participate in Sunset Reviews. on Friday, September 22, 2017, between FOR FURTHER INFORMATION CONTACT: Pursuant to 19 CFR 351.103(c), the 5 p.m. and 8 p.m. The Hawaii Christopher M. Moore, Ph.D. Executive Department will maintain and make Archipelago FEP AP will meet on Director, Mid-Atlantic Fishery available a service list for these Friday, September 29, 2017, between 1 Management Council; telephone: (302) proceedings. To facilitate the timely p.m. and 4 p.m. All times listed are 526–5255. The Council’s Web site, preparation of the service list(s), it is local island times. For specific times www.mafmc.org will also have details requested that those seeking recognition and agendas, see SUPPLEMENTARY on the proposed agenda and briefing as interested parties to a proceeding INFORMATION. materials. contact the Department in writing ADDRESSES: within 10 days of the publication of the SUPPLEMENTARY INFORMATION: The Mid- Meeting addresses: Notice of Initiation. Atlantic Fishery Management Council’s The CNMI Archipelago FEP AP will Please note that if the Department Spiny Dogfish Monitoring Committee meet at the Hyatt Regency Saipan, Royal receives a Notice of Intent to Participate will hold a public meeting to review Palm Avenue, Micro Beach Road, from a member of the domestic industry 2018 specifications and management Garapan, Saipan, CNMI 96950; within 15 days of the date of initiation, measures and make any appropriate The American Samoa Archipelago the review will continue. Thereafter, recommendations. Spiny dogfish is in FEP AP will meet at the Pacific any interested party wishing to multi-year specifications for 2016–18 Petroleum Conference Room, Utulei participate in the Sunset Review must but the specifications are reviewed Village, American Samoa 96799; provide substantive comments in annually. Public comment will be taken. The Guam Mariana Archipelago FEP response to the notice of initiation no Special Accommodations AP will meet at the Hilton Guam Resort later than 30 days after the date of & Spa, 202 Hilton Road, Tumon Bay, initiation. The meeting is physically accessible Tamuning, Guam 96913; and This notice is not required by statute to people with disabilities. Requests for The Hawaii Archipelago FEP AP will but is published as a service to the sign language interpretation or other meet at the Council Office, 1164 Bishop international trading community. auxiliary aid should be directed to M. St. Suite 1400, Honolulu, HI 96813. Jan Saunders, (302) 526–5251, at least 5 Dated: August 30, 2017. days prior to the meeting date. FOR FURTHER INFORMATION CONTACT: James Maeder, Kitty M. Simonds, Executive Director, Senior Director perfoming the duties of Dated: August 31, 2017. Western Pacific Fishery Management Deputy Assistant Secretary for Antidumping Tracey L. Thompson, Council; telephone: (808) 522–8220. and Countervailing Duty Operations. Acting Deputy Director, Office of Sustainable SUPPLEMENTARY INFORMATION: Public [FR Doc. 2017–18762 Filed 9–5–17; 8:45 am] Fisheries, National Marine Fisheries Service. comment periods will be provided in BILLING CODE 3510–DS–P [FR Doc. 2017–18871 Filed 9–5–17; 8:45 am] the agenda. The order in which agenda BILLING CODE 3510–22–P items are addressed may change. The meetings will run as late as necessary to DEPARTMENT OF COMMERCE complete scheduled business. DEPARTMENT OF COMMERCE National Oceanic and Atmospheric Schedule and Agenda for the CNMI Administration National Oceanic and Atmospheric Mariana Archipelago FEP AP Meeting Administration RIN 0648–XF670 Wednesday, September 20, 2017, 5 RIN 0648–XF676 p.m.–8 p.m. Mid-Atlantic Fishery Management Council (MAFMC); Public Meeting Western Pacific Fishery Management 1. Welcome and Introductions Council; Public Meetings 2. Report on Previous Council Action AGENCY: National Marine Fisheries Items Service (NMFS), National Oceanic and AGENCY: National Marine Fisheries 3. Council Issues Atmospheric Administration (NOAA), Service (NMFS), National Oceanic and A. Ecosystem Component Species Commerce. Atmospheric Administration (NOAA), Designation ACTION: Notice; public meeting. Commerce. B. Aquaculture Management in the ACTION: Notice of a public meetings. Western Pacific Region SUMMARY: The Mid-Atlantic Fishery 4. Mariana FEP Community Activities Management Council’s Spiny Dogfish SUMMARY: The Western Pacific Fishery 5. Marianas FEP AP–CNMI Issues Monitoring Committee will hold a Management Council (Council) will A. Report of the Subpanels public meeting to review 2018 hold a meeting of its Mariana i. Island Fisheries Subpanel

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ii. Pelagic Fisheries Subpanel Schedule and Agenda for the Hawaii Council address: Gulf of Mexico iii. Ecosystems and Habitat Subpanel Archipelago FEP AP Meeting Fishery Management Council, 2203 N. Lois Avenue, Suite 1100, Tampa, FL iv. Indigenous Fishing Rights Friday, September 29, 2017, 1 p.m.–4 33607; telephone: (813) 348–1630. Subpanel p.m. B. Other Issues FOR FURTHER INFORMATION CONTACT: Dr. 6. Public Comment 1. Welcome and Introductions Assane Diagne, Economist, Gulf of 7. Discussion and Recommendations 2. Report on Previous Council Action Mexico Fishery Management Council; 8. Other Business Items [email protected], 3. Council Issues telephone: (813) 348–1630. Schedule and Agenda for the American A. Ecosystem Component Species SUPPLEMENTARY INFORMATION: Samoa Archipelago FEP AP Meeting Designation Thursday, September 21, 2017, 4:30 B. Aquaculture Management in the Wednesday, September 20, 2017; 8:30 p.m.–6:30 p.m. Western Pacific Region a.m.–5 p.m., EDT 4. Hawaii FEP Community Activities 1. Adoption of Agenda 1. Welcome and Introductions 5. Hawaii FEP AP Issues 2. Overview and Discussion of Reef Fish 2. Report on Previous Council Action A. Report of the Subpanels Amendment 42 Items i. Island Fisheries Subpanel 3. Referendum Eligibility Requirements ii. Pelagic Fisheries Subpanel 3. Council Issues 4. Other Business iii. Ecosystems and Habitat Subpanel A. Ecosystem Component Species —Meeting Adjourns— Designation iv. Indigenous Fishing Rights You may register for Ad Hoc Reef Fish B. Aquaculture Management in the Subpanel Headboat Advisory Panel meeting on Western Pacific Region B. Other Issues September 20, 2017 at: https:// C. Options for the American Samoa 6. Public Comment register.gotowebinar.com/register/ Large Vessel Prohibited Area 7. Discussion and Recommendations 8. Other Business 3170928147750540802 The Agenda is D. Modifications to the American subject to change, and the latest version Samoa Longline Fishery Permitting Special Accommodations along with other meeting materials will System These meetings are physically be posted on the Council’s file server. 4. American Samoa FEP Community To access the file server, the URL is Activities accessible to people with disabilities. Requests for sign language https://public.gulfcouncil.org:5001/ 5. American Samoa FEP AP Issues interpretation or other auxiliary aids webman/index.cgi, or go to the A. Report of the Subpanels should be directed to Kitty M. Simonds, Council’s Web site and click on the FTP i. Island Fisheries Subpanel (808) 522–8220 (voice) or (808) 522– link in the lower left of the Council Web ii. Pelagic Fisheries Subpanel 8226 (fax), at least 5 days prior to the site (http://www.gulfcouncil.org). The iii. Ecosystems and Habitat Subpanel meeting date. username and password are both iv. Indigenous Fishing Rights ‘‘gulfguest’’. Click on the ‘‘Library Authority: 16 U.S.C. 1801 et seq. Subpanel Folder’’, then scroll down to ‘‘AP B. Other Issues Dated: August 31, 2017. Meeting_Ad Hoc Reef Fish Headboat- 6. Public Comment Tracey L. Thompson, 2017–09’’. 7. Discussion and Recommendations Acting Deputy Director, Office of Sustainable The meeting will be webcast over the 8. Other Business Fisheries, National Marine Fisheries Service. internet. A link to the webcast will be [FR Doc. 2017–18870 Filed 9–5–17; 8:45 am] available on the Council’s Web site, Schedule and Agenda for the Guam http://www.gulfcouncil.org. Mariana Archipelago FEP AP Meeting BILLING CODE 3510–22–P Although other non-emergency issues Friday, September 22, 2017, 5 p.m.–8 not on the agenda may come before the p.m. DEPARTMENT OF COMMERCE Advisory Panel for discussion, in accordance with the Magnuson-Stevens 1. Hafa Adai-Welcome and National Oceanic and Atmospheric Introductions Fishery Conservation and Management Administration Act, those issues may not be the subject 2. Report on Previous Council Action of formal action during this meeting. Items RIN 0648–XF668 Actions of the Advisory Panel will be 3. Council Issues Gulf of Mexico Fishery Management restricted to those issues specifically A. Ecosystem Component Species Council; Public Meeting identified in the agenda and any issues Designation arising after publication of this notice B. Aquaculture Management in the AGENCY: National Marine Fisheries that require emergency action under Western Pacific Region Service (NMFS), National Oceanic and Section 305(c) of the Magnuson-Stevens 4. Mariana FEP Community Activities Atmospheric Administration (NOAA), Fishery Conservation and Management 5. Marianas FEP AP-Guam Issues Commerce. Act, provided the public has been A. Report of the Subpanels ACTION: Notice of a public meeting. notified of the Council’s intent to take i. Island Fisheries Subpanel action to address the emergency. ii. Pelagic Fisheries Subpanel SUMMARY: The Gulf of Mexico Fishery iii. Ecosystems and Habitat Subpanel Management Council will hold a one- Special Accommodations iv. Indigenous Fishing Rights day meeting of its Ad Hoc Reef Fish This meeting is physically accessible Subpanel Headboat Advisory Panel. to people with disabilities. Requests for B. Other Issues DATES: The meeting will convene on sign language interpretation or other 6. Public Comment Wednesday, September 20, 2017, from auxiliary aids should be directed to 7. Discussion and Recommendations 8:30 a.m. to 5 p.m. EDT. Kathy Pereira at the Gulf Council Office 8. ‘‘At the End of the Day’’—Other ADDRESSES: The meeting will take place (see ADDRESSES), at least 5 working days Business at the Gulf Council Office. prior to the meeting.

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Dated: August 31, 2017. ‘‘gulfguest’’. Click on the ‘‘Library p.m. and on September 27, 2017, from Tracey L. Thompson, Folder’’, then scroll down to ‘‘AP 8 a.m. to 3 p.m. Acting Deputy Director, Office of Sustainable Meeting_Ad Hoc Red Snapper CFH– ADDRESSES: The meeting will be held at Fisheries, National Marine Fisheries Service. 2017–09’’. The meeting will be webcast over the the Best Western Plus Hood River Inn, [FR Doc. 2017–18868 Filed 9–5–17; 8:45 am] 1108 E Marina Drive, Hood River, OR BILLING CODE 3510–22–P Internet. A link to the webcast will be available on the Council’s Web site, 97031. http://www.gulfcouncil.org. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF COMMERCE Although other non-emergency issues not on the agenda may come before the Katherine Cheney; NFMS West Coast National Oceanic and Atmospheric Advisory Panel for discussion, in Region (503) 231–6730; email: Administration accordance with the Magnuson-Stevens [email protected]. Fishery Conservation and Management RIN 0648–XF667 SUPPLEMENTARY INFORMATION: Notice is Act, those issues may not be the subject hereby given of a meeting of MAFAC’s Gulf of Mexico Fishery Management of formal action during this meeting. CBP Task Force. The MAFAC was Council; Public Meeting Actions of the Advisory Panel will be established by the Secretary of restricted to those issues specifically Commerce (Secretary) and, since 1971, AGENCY: National Marine Fisheries identified in the agenda and any issues advises the Secretary on all living Service (NMFS), National Oceanic and arising after publication of this notice marine resource matters that are the Atmospheric Administration (NOAA), that require emergency action under responsibility of the Department of Commerce. Section 305(c) of the Magnuson-Stevens Commerce. The complete MAFAC ACTION: Notice of a public meeting. Fishery Conservation and Management charter and summaries of prior MAFAC Act, provided the public has been meetings are located online at http:// SUMMARY: The Gulf of Mexico Fishery notified of the Council’s intent to take www.nmfs.noaa.gov/ocs/mafac/. The Management Council will hold a one- action to address the emergency. day meeting of its Ad Hoc Red Snapper CBP Task Force reports to MAFAC and Charter For-Hire Advisory Panel. Special Accommodations is being convened to discuss and develop recommendations for long-term DATES: The meeting will convene on This meeting is physically accessible goals to meet Columbia Basin salmon Tuesday, September 19, 2017, from 8:30 to people with disabilities. Requests for recovery, conservation needs, and a.m. to 5 p.m. EDT. sign language interpretation or other auxiliary aids should be directed to harvest opportunities. These goals will ADDRESSES: The meeting will take place Kathy Pereira at the Gulf Council Office be developed in the context of habitat at the Gulf Council office. capacity and other factors that affect Council address: Gulf of Mexico (see ADDRESSES), at least 5 working days prior to the meeting. salmon mortality. More information is Fishery Management Council, 2203 N. available at the CBP Task Force Web Lois Avenue, Suite 1100, Tampa, FL Dated: August 31, 2017. page: http:// 33607; telephone: (813) 348–1630. Tracey L. Thompson, www.westcoast.fisheries.noaa.gov/ FOR FURTHER INFORMATION CONTACT: Dr. Acting Deputy Director, Office of Sustainable columbia_river/index.html. Matt Freeman, Economist, Gulf of Fisheries, National Marine Fisheries Service. Mexico Fishery Management Council; [FR Doc. 2017–18869 Filed 9–5–17; 8:45 am] Matters To Be Considered [email protected], BILLING CODE 3510–22–P telephone: (813) 348–1630. The meeting time and agenda are subject to change. Updated information SUPPLEMENTARY INFORMATION: DEPARTMENT OF COMMERCE will be available on the CBP Task Force Tuesday, September 19, 2017; 8:30 Web page above. Meeting topics include a.m.–5 p.m., EDT: National Oceanic and Atmospheric progress reports on applying the Administration 1. Adoption of Agenda analytical framework to example species 2. Summary and Discussion of Actions RIN 0648–XF618 as prototypes and updates on within Reef Fish Amendment 41 quantitative goal setting, guiding 3. Referendum Eligibility Requirements Meeting of the Columbia Basin principles, and vision. The meeting is Process Partnership Task Force of the Marine open to the public as observers, and 4. Other Business Fisheries Advisory Committee public input will be accepted on September 27, 2017, from 1:00–1:30 —Meeting Adjourns— AGENCY: National Marine Fisheries You may register for Ad Hoc Red Service (NMFS), National Oceanic and p.m., limited to the time available. Snapper Charter For-Hire Advisory Atmospheric Administration (NOAA), Special Accommodations Panel meeting on September 19, 2017 at: Department of Commerce. https://attendee.gotowebinar.com/ ACTION: Notice of open public meeting. The meeting is physically accessible register/6575211860414571778. to people with disabilities. Requests for The Agenda is subject to change, and SUMMARY: This notice sets forth the sign language interpretation or other the latest version along with other proposed schedule and agenda of a auxiliary aids should be directed to meeting materials will be posted on the forthcoming meeting of the Marine Katherine Cheney; 503–231–6730, by Council’s file server. To access the file Fisheries Advisory Committee’s Sept. 15, 2017. server, the URL is https:// (MAFAC’s) Columbia Basin Partnership Dated: August 23, 2017. public.gulfcouncil.org:5001/webman/ Task Force (CBP Task Force). The CBP index.cgi, or go to the Council’s Web Task Force will discuss the issues Jennifer Lukens, site and click on the FTP link in the outlined in the SUPPLEMENTARY Director for the Office of Policy, National lower left of the Council Web site INFORMATION below. Marine Fisheries Service. (http://www.gulfcouncil.org). The DATES: The meeting will be held [FR Doc. 2017–18144 Filed 9–5–17; 8:45 am] username and password are both September 26, 2017, from 8 a.m. to 5 BILLING CODE 3510–22–P

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BUREAU OF CONSUMER FINANCIAL SUPPLEMENTARY INFORMATION: ACTION: Notice. PROTECTION Title of Collection: Student Loan Servicing Market Monitoring. SUMMARY: The Department of the Navy [Docket No. CFPB–2017–0023] OMB Control Number: 3170–XXXX. (DoN) announces the availability of the inventions listed below, assigned to the Agency Information Collection Type of Review: New Collection United States Government, as Activities: Submission for OMB (Request for a New OMB Control represented by the Secretary of the Review; Comment Request Number). Affected Public: Businesses and other Navy, for domestic and foreign licensing AGENCY: Bureau of Consumer Financial for-profit institutions. by the Department of the Navy. Protection. Estimated Number of Respondents: ADDRESSES: Requests for copies of the ACTION: Notice and request for comment. 10. patents cited should be directed to Estimated Total Annual Burden Naval Surface Warfare Center, Crane SUMMARY: In accordance with the Hours: 8,200. Div, Code OOL, Bldg 2, 300 Highway Paperwork Reduction Act of 1995 Abstract: The Bureau will require 361, Crane, IN 47522–5001. (PRA), the Bureau of Consumer quarterly data collection on aggregated Financial Protection (Bureau) is FOR FURTHER INFORMATION CONTACT: Mr. student loan servicing metrics and proposing a new information collection Christopher Monsey, Naval Surface borrower outcomes from student loan titled, ‘‘Student Loan Servicing Market Warfare Center, Crane Div, Code OOL, servicers. The order is intended to help Monitoring.’’ Bldg 2, 300 Highway 361, Crane, IN the Bureau carry out its market 47522–5001, Email DATES: Written comments are monitoring goals and is pursuant to the [email protected]. encouraged and must be received on or Bureau’s market monitoring authority before October 6, 2017 to be assured of SUPPLEMENTARY INFORMATION: The under Section 1022(c)(4) of the Dodd- following patents are available for consideration. Frank Wall Street and Consumer ADDRESSES: You may submit comments, licensing: Patent No. 9,685,231 (Navy Protection Act. Case No. 103033): IRREPRODUCIBLE identified by the title of the information Request for comments: The Bureau collection, OMB Control Number (see AND RE-EMERGENT UNIQUE issued a 60-day Federal Register notice STRUCTURE OR PATTERN below), and docket number (see above), on February 23, 2017, 82 FR 11440, by any of the following methods: IDENTIFIER MANUFACTURING AND • Docket Number: CFPB–2017–0002. DETECTION METHOD, SYSTEM, AND Electronic: http:// Comments were solicited and continue www.regulations.gov. Follow the APPARATUS//Patent No. 9,684,025 to be invited on: (a) Whether the (Navy Case No. 103032): DUT instructions for submitting comments. collection of information is necessary • OMB: Office of Management and CONTINUITY TEST WITH ONLY for the proper performance of the Budget, New Executive Office Building, DIGITAL IO STRUCTURES functions of the Bureau, including Room 10235, Washington, DC 20503 or APPARATUS AND METHODS whether the information will have fax to (202) 395–5806. Mailed or faxed ASSOCIATED THEREOF//Patent No. comments to OMB should be to the practical utility; (b) The accuracy of the 9,683,514 (Navy Case No. 102781): attention of the OMB Desk Officer for Bureau’s estimate of the burden of the HIGH EFFICIENCY COMBUSTOR AND the Bureau of Consumer Financial collection of information, including the CLOSED-CYCLE HEAT ENGINE Protection. validity of the methods and the INTERFACE//Patent No. 9,669,539 Please note that comments submitted assumptions used; (c) Ways to enhance (Navy Case No. 103113): MAGNETIC after the comment period will not be the quality, utility, and clarity of the DRILL SYSTEM//and Patent No. accepted. In general, all comments information to be collected; and (d) 9,680,561 (Navy Case No. 200235): received will become public records, Ways to minimize the burden of the SITUATIONAL AWARENESS AND including any personal information collection of information on POSITION INFORMATION FOR provided. Sensitive personal respondents, including through the use SATELLITE COMMUNICATION information, such as account numbers of automated collection techniques or TERMINALS. other forms of information technology. or Social Security numbers, should not Authority: 35 U.S.C. 207, 37 CFR part 404. be included. Comments submitted in response to this FOR FURTHER INFORMATION CONTACT: notice will be reviewed by OMB as part Dated: August 30, 2017. Documentation prepared in support of of its review of this request. All A.M. Nichols, this information collection request is comments will become a matter of Lieutenant Commander, Judge Advocate available at www.reginfo.gov (this link public record. General’s Corps, U.S. Navy, Federal Register becomes active on the day following Dated: August 30, 2017. Liaison Officer. publication of this notice). Select Darrin A. King, [FR Doc. 2017–18915 Filed 9–5–17; 8:45 am] ‘‘Information Collection Review,’’ under Paperwork Reduction Act Officer, Bureau of BILLING CODE 3810–FF–P ‘‘Currently under review, use the Consumer Financial Protection. dropdown menu ‘‘Select Agency’’ and [FR Doc. 2017–18776 Filed 9–5–17; 8:45 am] select ‘‘Consumer Financial Protection BILLING CODE 4810–AM–P Bureau’’ (recent submissions to OMB DEPARTMENT OF EDUCATION will be at the top of the list). The same documentation is also available at Notice Inviting Publishers To Submit http://www.regulations.gov. Requests for DEPARTMENT OF DEFENSE Tests for a Determination of Suitability additional information should be for Use in the National Reporting Department of the Navy directed to the Consumer Financial System for Adult Education Protection Bureau, (Attention: PRA Notice of Availability of Government- AGENCY: Office of Career, Technical, and Office), 1700 G Street NW., Washington, Owned Inventions; Available for Adult Education, Department of DC 20552, (202) 435–9575, or email: Licensing Education. [email protected]. Please do not ACTION: Notice. submit comments to this email box. AGENCY: Department of the Navy, DoD.

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SUMMARY: The Secretary of Education (1) Review, c/o American Institutes for your search to documents published by invites publishers to submit tests for Research, 1000 Thomas Jefferson Street the Department. review and approval for use in the NW., Washington, DC 20007. Authority: 29 U.S.C. 3292. National Reporting System for Adult (d) If you submit your application by Education (NRS); and (2) announces the mail or commercial carrier, you must Dated: August 31, 2017. date by which publishers must submit show proof of mailing consisting of one Kim R. Ford, these tests. of the following: Deputy Assistant Secretary Delegated the Duties of the Assistant Secretary for Career, DATES: Deadlines for transmittal of (1) A legibly dated U.S. Postal Service Technical, and Adult Education. applications: October 1, 2017, and April postmark. 1, 2018. (2) A legible mail receipt with the [FR Doc. 2017–18867 Filed 9–5–17; 8:45 am] BILLING CODE 4000–01–P ADDRESSES: Submit your application by date of mailing stamped by the U.S. mail (through the U.S. Postal Service or Postal Service. (3) A dated shipping label, invoice, or a commercial carrier) or deliver your DEPARTMENT OF EDUCATION application by hand or by courier receipt from a commercial carrier. service to: NRS Assessment Review, c/ (4) Any other proof of mailing [Docket No. ED–2017–ICCD–0063] o American Institutes for Research, 1000 acceptable to the Secretary of Education. Thomas Jefferson Street NW., (e) If you mail your application Agency Information Collection Washington, DC 20007. through the U.S. Postal Service, we do Activities; Submission to the Office of not accept either of the following as Management and Budget for Review FOR FURTHER INFORMATION CONTACT: John proof of mailing: and Approval; Comment Request; LeMaster, U.S. Department of (1) A private metered postmark. Study of Weighted Student Funding Education, 400 Maryland Avenue SW., (2) A mail receipt that is not dated by and School-Based Systems (Study Room 11152, Potomac Center Plaza, the U.S. Postal Service. Instruments) Washington, DC 20202–7240. (f) We do not consider applications Telephone: (202) 245–6218 or by email: postmarked after the application AGENCY: Office of Planning, Evaluation [email protected]. deadline date. If an application is and Policy Development (OPEPD), If you use a telecommunications postmarked after the October 1, 2017, Department of Education (ED). device for the deaf (TDD) or a text deadline date but before April 1, 2018, ACTION: Notice. telephone (TTY), call the Federal Relay the application will be considered Service (FRS), toll free, at 1–800–877– SUMMARY: timely for the April 1 deadline date. In accordance with the 8339. Paperwork Reduction Act of 1995, ED is Note: The U.S. Postal Service does not SUPPLEMENTARY INFORMATION: proposing a new information collection. The uniformly provide a dated postmark. Before Department’s regulations for Measuring relying on this method, you should check DATES: Interested persons are invited to Educational Gain in the National with your local post office. submit comments on or before October Reporting System for Adult Education, 6, 2017. (g) If you submit your application by 34 CFR part 462 (NRS regulations), ADDRESSES: To access and review all the include the procedures for determining hand delivery, you (or a courier service) must deliver four copies of the documents related to the information the suitability of tests for use in the collection listed in this notice, please NRS. application by hand, on or before 4:30:00 p.m., Washington, DC time, on use http://www.regulations.gov by There is a review process that will searching the Docket ID number ED– begin on October 1, 2017, and a separate the application deadline date. Accessible Format: Individuals with 2017–ICCD–0063. Comments submitted review process that will begin on April in response to this notice should be 1, 2018. Only tests submitted by the due disabilities can obtain this document in an accessible format (e.g., braille, large submitted electronically through the date will be reviewed in that review Federal eRulemaking Portal at http:// cycle. If a publisher submits a test after print, audiotape, or compact disc) on request to the contact person listed www.regulations.gov by selecting the October 1, 2017, the test will not be Docket ID number or via postal mail, under FOR FURTHER INFORMATION reviewed until the review cycle that commercial delivery, or hand delivery. CONTACT. begins on April 1, 2018. Please note that comments submitted by Criteria the Secretary Uses: In order Electronic Access to This Document: The official version of this document is fax or email and those submitted after for the Secretary to consider a test the comment period will not be suitable for use in the NRS, the test the document published in the Federal Register. Free internet access to the accepted. Written requests for must meet the criteria and requirements information or comments submitted by established in 34 CFR 462.13. official edition of the Federal Register and the Code of Federal Regulations is postal mail or delivery should be Submission Requirements: addressed to the Director of the (a) In preparing your application, you available via the Federal Digital System Information Collection Clearance must comply with the requirements in at: www.gpo.gov/fdsys. At this site you Division, U.S. Department of Education, 34 CFR 462.11. can view this document, as well as all 400 Maryland Avenue SW., LBJ, Room (b) In accordance with 34 CFR 462.10, other documents of this Department 216–34, Washington, DC 20202–4537. the deadlines for transmittal of published in the Federal Register, in applications in this fiscal year are text or Portable Document Format FOR FURTHER INFORMATION CONTACT: For October 1, 2017, and April 1, 2018. (PDF). To use PDF you must have specific questions related to collection (c) Whether you submit your Adobe Acrobat Reader, which is activities, please contact Oliver Schak, application by mail (through the U.S. available free at the site. 202–453–5643. Postal Service or a commercial carrier) You may also access documents of the SUPPLEMENTARY INFORMATION: The or deliver your application by hand or Department published in the Federal Department of Education (ED), in by courier service, you must mail or Register by using the article search accordance with the Paperwork deliver four copies of your application, feature at: www.federalregister.gov. Reduction Act of 1995 (PRA) (44 U.S.C. on or before the deadline date, to the Specifically, through the advanced 3506(c)(2)(A)), provides the general following address: NRS Assessment search feature at this site, you can limit public and Federal agencies with an

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opportunity to comment on proposed, Dated: August 30, 2017. Obtaining a Copy of the Survey: To revised, and continuing collections of Kate Mullan, obtain a free copy of the survey: (1) information. This helps the Department Acting Director, Information Collection Email Sean Greene at the U.S. Election assess the impact of its information Clearance Division, Office of the Chief Privacy Assistance Commission at sgreene@ collection requirements and minimize Officer, Office of Management. eac.gov; or (2) write to the EAC the public’s reporting burden. It also [FR Doc. 2017–18754 Filed 9–5–17; 8:45 am] (including your address and phone helps the public understand the BILLING CODE 4000–01–P number) at U.S. Election Assistance Department’s information collection Commission, 1335 East West Highway, requirements and provide the requested Suite 4300, Silver Spring, MD 20910, data in the desired format. ED is ELECTION ASSISTANCE COMMISSION Attn: Election Administration and soliciting comments on the proposed Voting Survey. information collection request (ICR) that Proposed Information Collection— FOR FURTHER INFORMATION CONTACT: Mr. is described below. The Department of 2018 Election Administration and Sean Greene at 301–563–3919, or email Education is especially interested in Voting Survey; Comment Request [email protected], U.S. Election public comment addressing the Assistance Commission 1335 East West AGENCY: following issues: (1) Is this collection U.S. Election Assistance Highway, Suite 4300, Silver Spring, MD necessary to the proper functions of the Commission (EAC). 20910. Department; (2) will this information be ACTION: Notice. SUPPLEMENTARY INFORMATION: processed and used in a timely manner; Comments: Public comments are SUMMARY: In compliance with the invited on: (a) Whether the proposed (3) is the estimate of burden accurate; Paperwork Reduction Act of 1995, the collection of information is necessary (4) how might the Department enhance EAC announces an information for the proper performance of the the quality, utility, and clarity of the collection and seeks public comment on functions of the agency, including information to be collected; and (5) how the provisions thereof. The EAC intends whether the information shall have might the Department minimize the to submit this proposed information practical utility; (b) the accuracy of the burden of this collection on the collection (2018 Election agency’s estimate of the burden of the respondents, including through the use Administration and Voting Survey) to proposed information collection; (c) of information technology. Please note the Director of the Office of ways to enhance the quality, utility, and that written comments received in Management and Budget for approval. clarity of the information to be response to this notice will be The 2018 Election Administration and collected; and (d) ways to minimize the considered public records. Voting Survey (Survey) asks election burden of the information collection on officials questions concerning voting Title of Collection: Study of Weighted respondents, including through the use and election administration. These Student Funding and School-Based of automated collection techniques or questions request information Systems (Study Instruments). other forms of information technology. concerning ballots cast; voter OMB Control Number: 1875–NEW. registration; overseas and military Needs and Uses Type of Review: A new information voting; Election Day activities; voting collection. The EAC issues the survey to meet its technology; and other important issues. obligations under the Help America Respondents/Affected Public: State, The EAC issues the survey to meet its Vote Act (HAVA) to serve as national Local, and Tribal Governments. obligations under the Help America clearinghouse and resource for the Vote Act to serve as national Total Estimated Number of Annual compilation of information with respect clearinghouse and resource for the Responses: 1,902. to the administration of Federal compilation of information with respect elections; to fulfill both the EAC and Total Estimated Number of Annual to the administration of Federal Burden Hours: 568. FVAP’s data collection requirements elections; to fulfill both the EAC’s and under the UOCAVA; and meet its NVRA Abstract: The purpose of this study is the Department of Defense Federal mandate to collect information from to investigate how districts vary in their Voting Assistance Programs’ (FVAP) states concerning the impact of that implementation of weighted student quantitative State data collection statute on the administration of Federal funding (WSF) and school-based requirements under the Uniformed and Elections. HAVA requires the EAC to budgeting (SBB); outcomes in terms of Overseas Citizens Absentee Voting Act serve as a national clearinghouse and levels of principal autonomy, (UOCAVA); and meet its National Voter resource for the compilation of transparency of resource allocation, and Registration Act (NVRA) mandate to information and review of procedures extent to which resources are collect information from states with respect to the administration of distributed based on student needs; concerning the impact of that statute on Federal Elections. This includes the interactions of WSF and SBB systems the administration of Federal Elections. obligation to study and report on with school choice policies; and DATES: Written comments must be election activities, practices, policies, challenges that districts may have faced submitted on or before 5:00 p.m. EST on and procedures, such as methods of in transitioning to and implementing November 6, 2017. voter registration, methods of these systems. Data collection will ADDRESSES: Comments on the proposed conducting provisional voting, poll include: (a) Nationally representative information collection should be worker recruitment and training, and surveys of districts andprincipals, and submitted electronically to such other matters as the Commission (b) case studies of nine districts that are [email protected]. Written determines are appropriate. In addition, implementing WSF systems, including comments on the proposed information under the NVRA, the EAC is responsible site visits, in-person interviews with collection can also be sent to the U.S. for collecting information and reporting, district officials and school staff, and Election Assistance Commission, 1335 biennially, to the United States Congress analysis of relevant extant data such as East West Highway, Suite 4300, Silver on the impact of that statute. The descriptive documents, budgets, and Spring, MD 20910, Attn: Election information the States are required to audited expenditure files. Administration and Voting Survey. submit to the EAC for purposes of the

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NVRA report are found under Title 11 (d) Number of voter registration (d) Number of poll workers used of the Code of Federal Regulations. applications received from all sources; during early voting and during Election States that respond to questions in this (e) Number of voter registration Day voting; survey concerning voter registration applications that were duplicates, (e) The age of poll workers who related matters will meet their NVRA invalid or rejected, new, changes of worked in the election; and reporting requirements under 52 U.S.C. name, address, party, and not (f) Extent to which jurisdictions had 20508 and EAC regulations. Finally, the categorized; enough poll workers available for the UOCAVA mandates that the FVAP work (f) Total number of removal/ general election. with the EAC and State Chief Election confirmation notices mailed to voters officials to develop standards for and the reason for removal; Provisional Voting reporting UOCAVA voting information (g) total number of voters removed (a) Number of provisional ballots cast, (52 U.S.C. 20302) and that the FVAP from the registration list or moved to the counted, and rejected; and will store the reported data and present inactive registration list. (b) Reasons for provisional ballot the findings within the congressionally- rejection. mandated report to the President and Uniformed and Overseas Citizens Congress. Additionally, UOCAVA Absentee Voting Act (UOCAVA) Election Technologies requires that ‘‘not later than 90 days (a) Total number and type of (a) Use of electronic and printed poll after the date of each regularly registered and eligible UOCAVA voters; books during the 2018 Federal general scheduled general election for Federal (b) Total number of Federal Post Card election; and office, each State and unit of local Applications (FPCAs) received by type (b) Type and number of voting government which administered the of voter; equipment used for the 2018 Federal election shall (through the State, in the (c) Total number of FPCAs rejected by general election for precinct, absentee, case of a unit of local government) type of voter; early vote site, accessible to disabled submit a report to the EAC on the (d) Total number of FPCAs rejected voters, provisional voting. combined number of absentee ballots after the absentee ballot request transmitted to absent uniformed deadline; Statutory Overview (2018 Federal services voters and overseas voters for (e) Total number of UOCAVA General Election) the election and the combined number absentee ballots transmitted by type of (a) Who answers the questions in each of such ballots which were returned by UOCAVA voter and mode of section of the EAVS; such voters and cast in the election, and transmission; (b) Description of the state’s voter shall make such a report available to the (f) Total number of transmitted registration database system; general public.’’ States that complete UOCAVA ballots returned by type of and timely submit the UOCAVA section (c) Description of the types of UOCAVA voter and mode of electronic data connections the state has of the survey to the EAC will fulfill their transmission; UOCAVA reporting requirement under with various other government entities; (g) Total number of transmitted 52 U.S.C. 20302. In order to fulfill the (d) Information on whether the state UOCAVA ballots counted by type of above requirements, the EAC is seeking has online voter registration, automatic UOCAVA voter and mode of return; information relating to the period from voter registration, and same day voter (h) Total number of transmitted the Federal general election day 2016 +1 registration; UOCAVA ballots rejected by type of through the November 2018 Federal (e) Type of absentee voting and early UOCAVA voter and reason for rejection; general election. The EAC will provide voting regime the state has; (i) Total number of FWABs received the data regarding UOCAVA voting to (f) Information on whether the state by type of voter; FVAP after data collection is completed. has vote centers; (j) Total number of FWABs rejected by This data sharing reduces burden on (g) If the state accepts provisional type of voter; and local election offices because FVAP ballots from voters registered in a (k) Total number of FWABs rejected does not have to conduct its own data different precinct; by reason for rejection. collection to meet its reporting (h) The type of election audit regime requirements. Domestic Civilian By-Mail Voting the state has; Title and OMB Number: 2018 Election (a) Total number of by-mail ballots (i) The type of voter identification Administration and Voting Survey; transmitted to voters; regime the state has; and OMB Number Pending. (j) The voting eligibility requirements Summary of the Collection of (b) Total number of ballots returned by voters; for individuals who have been Information: The survey requests convicted of a felony. information on a state- and county-level (c) Total number of ballots counted; and Affected Public (Respondents): State (or township-, independent city-, or local governments, the District of borough-level, where applicable) (d) Total number of ballots rejected, by reason for rejection. Columbia, Commonwealth of Puerto concerning the following categories: Rico, Guam, American Samoa, and the Voter Registration Applications (From Total Votes Cast and In-Person Voting United States Virgin Islands. the Period of Federal General Election (a) Total number of votes cast in the Affected Public: State or local Day +1, 2016 Through Federal General election, as well as in-person on government. Election Day, 2018) Election Day and during in-person early Number of Respondents: 55. (a) Total number of registered voters; voting; Responses per Respondent: 1. (b) Number of active and inactive (b) Total number of precincts in the Estimated Burden per Response: 150 registered voters; state/jurisdiction; hours per collection, 75 hours (c) Number of persons who registered (c) Number of polling places available annualized. to vote on Election Day—only for early and Election Day voting in the Estimated Total Annual Burden applicable to States with Election Day November 2018 Federal general Hours: 8,250 hours per collection, 4,125 registration; election; hours annualized.

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Frequency: Biennially. other information, call (866) 208–3676 DEPARTMENT OF ENERGY (toll free). For TTY, call (202) 502–8659. Bryan Whitener, Federal Energy Regulatory Dated: August 28, 2017. Director of National Clearinghouse on Commission Elections, U.S. Election Assistance Nathaniel J. Davis, Sr. Commission. Deputy Secretary Combined Notice of Filings #1 [FR Doc. 2017–18876 Filed 9–5–17; 8:45 am] [FR Doc. 2017–18843 Filed 9–5–17; 8:45 am] Take notice that the Commission BILLING CODE 4810–71–P BILLING CODE 6717–01–P received the following exempt wholesale generator filings: DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY Docket Numbers: EG17–146–000. Applicants: Thunder Ranch Wind Federal Energy Regulatory Federal Energy Regulatory Project, LLC. Commission Commission Description: Notice of Self- Certification of Exempt Wholesale Combined Notice of Filings Combined Notice of Filings Generator Status of Thunder Ranch Wind Project, LLC. Take notice that the Commission has Take notice that the Commission has Filed Date: 8/30/17. received the following Natural Gas received the following Natural Gas Accession Number: 20170830–5064. Pipeline Rate and Refund Report filings: Pipeline Rate and Refund Report filings: Comments Due: 5 p.m. ET 9/20/17. Filings Instituting Proceedings Filings Instituting Proceedings Docket Numbers: EG17–147–000. Docket Numbers: RP17–977–000. Docket Numbers: RP17–980–000. Applicants: Scott-II Solar LLC. Applicants: Kinetica Energy Express, Description: Notice of Self- LLC. Applicants: Northern Natural Gas Certification of Exempt Wholesale Description: § 4(d) Rate Filing: Tariff Company. Generator Status of Scott-II Solar LLC. Revision Filing to be effective 10/1/ Description: § 4(d) Rate Filing: Filed Date: 8/30/17. 2017. 20170828 Interim UAF to be effective Accession Number: 20170830–5108. Filed Date: 8/25/17. 10/1/2017. Comments Due: 5 p.m. ET 9/20/17. Accession Number: 20170825–5081. Filed Date: 8/28/17. Comments Due: 5 p.m. ET 9/6/17. Take notice that the Commission Accession Number: 20170828–5158. received the following electric rate Docket Numbers: RP17–978–000. filings: Applicants: Sabal Trail Transmission, Comments Due: 5 p.m. ET 9/11/17. LLC. Docket Numbers: RP17–981–000. Docket Numbers: ER17–2375–000. Applicants: GenOn Holdco 8, LLC. Description: § 4(d) Rate Filing: Applicants: Northwest Pipeline LLC. Negotiated Rate—Duke Energy Florida— Description: Baseline eTariff Filing: Description: § 4(d) Rate Filing: NWP Application for Market-Based Rate contract 850002 to be effective 10/1/ 2017 Winter Fuel Filing to be effective 2017. Authorization and Request for Waivers 10/1/2017. to be effective 10/1/2017. Filed Date: 8/25/17. Filed Date: 8/29/17. Accession Number: 20170825–5121. Filed Date: 8/30/17. Comments Due: 5 p.m. ET 9/6/17. Accession Number: 20170829–5037. Accession Number: 20170830–5001. Comments Due: 5 p.m. ET 9/20/17. Docket Numbers: RP17–979–000. Comments Due: 5 p.m. ET 9/11/17. Applicants: Millennium Pipeline The filings are accessible in the Docket Numbers: ER17–2376–000. Company, LLC. Commission’s eLibrary system by Applicants: GenOn Holdco 9, LLC. Description: § 4(d) Rate Filing: clicking on the links or querying the Description: Baseline eTariff Filing: Negotiated Rate Service Agmt—City of docket number. Application for Market-Based Rate Authorization and Request for Waivers Norwich to be effective 11/1/2016. Any person desiring to intervene or to be effective 10/1/2017. Filed Date: 8/25/17. protest in any of the above proceedings Filed Date: 8/30/17. Accession Number: 20170825–5233. must file in accordance with Rules 211 Comments Due: 5 p.m. ET 9/6/17. Accession Number: 20170830–5002. and 214 of the Commission’s Comments Due: 5 p.m. ET 9/20/17. The filings are accessible in the Regulations (18 CFR 385.211 and Commission’s eLibrary system by § 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER17–2377–000. clicking on the links or querying the time on the specified comment date. Applicants: GenOn Holdco 10, LLC. docket number. Protests may be considered, but Description: Baseline eTariff Filing: Any person desiring to intervene or intervention is necessary to become a Application for Market-Based Rate protest in any of the above proceedings party to the proceeding. Authorization and Request for Waivers must file in accordance with Rules 211 to be effective 10/1/2017. eFiling is encouraged. More detailed Filed Date: 8/30/17. and 214 of the Commission’s information relating to filing Regulations (18 CFR 385.211 and Accession Number: 20170830–5003. requirements, interventions, protests, Comments Due: 5 p.m. ET 9/20/17. 385.214) on or before 5:00 p.m. Eastern service, and qualifying facilities filings time on the specified comment date. can be found at: http://www.ferc.gov/ Docket Numbers: ER17–2378–000. Protests may be considered, but docs-filing/efiling/filing-req.pdf. For Applicants: Michigan Electric intervention is necessary to become a other information, call (866) 208–3676 Transmission Company, LLC. Description: § 205(d) Rate Filing: party to the proceeding. (toll free). For TTY, call (202) 502–8659. eFiling is encouraged. More detailed Filing of a Letter Agreement to be information relating to filing Dated: August 30, 2017. effective 8/31/2017. requirements, interventions, protests, Nathaniel J. Davis, Sr. Filed Date: 8/30/17. service, and qualifying facilities filings Deputy Secretary Accession Number: 20170830–5061. can be found at: http://www.ferc.gov/ [FR Doc. 2017–18844 Filed 9–5–17; 8:45 am] Comments Due: 5 p.m. ET 9/20/17. docs-filing/efiling/filing-req.pdf. For BILLING CODE 6717–01–P Docket Numbers: ER17–2379–000.

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Applicants: Arizona Public Service requirements, interventions, protests, the receipt of information submitted Company. service, and qualifying facilities filings pursuant to a rule, order, or consent Description: § 205(d) Rate Filing: can be found at: http://www.ferc.gov/ agreement promulgated under TSCA OATT Administrative Filing to be docs-filing/efiling/filing-req.pdf. For section 4 (15 U.S.C. 2603). effective 1/1/2015. other information, call (866) 208–3676 III. Docket Information Filed Date: 8/30/17. (toll free). For TTY, call (202) 502–8659. A docket, identified by the docket Accession Number: 20170830–5096. Dated: August 30, 2017. Comments Due: 5 p.m. ET 9/20/17. identification (ID) number EPA–HQ– Nathaniel J. Davis, Sr., Docket Numbers: ER17–2380–000. OPPT–2013–0677, has been established Deputy Secretary. Applicants: Arizona Public Service for this Federal Register document, Company. [FR Doc. 2017–18842 Filed 9–5–17; 8:45 am] which announces the receipt of the Description: § 205(d) Rate Filing: Rate BILLING CODE 6717–01–P information. Upon EPA’s completion of Schedule No. 217, Exhibit B.GLA to be its quality assurance review, the effective 10/30/2017. information received will be added to Filed Date: 8/30/17. ENVIRONMENTAL PROTECTION the docket identified in Unit IV., which Accession Number: 20170830–5100. AGENCY represents the docket used for the TSCA Comments Due: 5 p.m. ET 9/20/17. section 4 rule, order, and/or consent [EPA–HQ–OPPT–2013–0677; FRL–9965–21] Docket Numbers: ER17–2381–000. agreement. In addition, once completed, EPA reviews of the information received Applicants: Scott-II Solar LLC. Receipt of Information Under the Toxic will be added to the same docket. Use Description: Baseline eTariff Filing: Substances Control Act Baseline—Market-Based Rate Tariff to the docket ID number provided in Unit be effective 10/23/2017. AGENCY: Environmental Protection IV. to access the information received Filed Date: 8/30/17. Agency (EPA). and any available EPA review. Accession Number: 20170830–5101. ACTION: Notice. EPA’s dockets are available Comments Due: 5 p.m. ET 9/20/17. electronically at http:// Docket Numbers: ER17–2382–000. SUMMARY: EPA is announcing its receipt www.regulations.gov or in person at the Applicants: PJM Interconnection, of information submitted pursuant to a Office of Pollution Prevention and L.L.C. rule, order, or consent agreement issued Toxics Docket (OPPT Docket), Description: § 205(d) Rate Filing: under the Toxic Substances Control Act Environmental Protection Agency Original Service Agreement No. 4765, (TSCA). As required by TSCA, this Docket Center (EPA/DC), West William Queue No. AB1–123 to be effective 8/7/ document identifies each chemical Jefferson Clinton Bldg., Rm. 3334, 1301 2017. substance and/or mixture for which Constitution Ave., NW., Washington, Filed Date: 8/30/17. information has been received; the uses DC. The Public Reading Room is open Accession Number: 20170830–5122. or intended uses of such chemical from 8:30 a.m. to 4:30 p.m., Monday Comments Due: 5 p.m. ET 9/20/17. substance and/or mixture; and describes through Friday, excluding legal Docket Numbers: ER17–2383–000. the nature of the information received. holidays. The telephone number for the Applicants: Great Bay Solar I, LLC. Each chemical substance and/or mixture Public Reading Room is (202) 566–1744, Description: § 205(d) Rate Filing: related to this announcement is and the telephone number for the OPPT Name Change to be effective 8/30/2017. identified in Unit I. under Docket is (202) 566–0280. Please review Filed Date: 8/30/17. SUPPLEMENTARY INFORMATION. the visitor instructions and additional Accession Number: 20170830–5134. FOR FURTHER INFORMATION CONTACT: information about the docket available Comments Due: 5 p.m. ET 9/20/17. For technical information contact: at http://www.epa.gov/dockets. Docket Numbers: ER17–2384–000. John Schaeffer, Chemical Control IV. Information Received Division (7405M), Office of Pollution Applicants: PJM Interconnection, As specified by TSCA section 4(d), Prevention and Toxics, Environmental L.L.C. this unit identifies the information Protection Agency, 1200 Pennsylvania Description: § 205(d) Rate Filing: received by EPA. Original Service Agreement No. 4766, Ave., NW., Washington, DC 20460– Queue Position No. AB1–124 to be 0001; telephone number: (202) 564– Ethanedioic Acid (CASRN 144–62–7) effective 8/7/2017. 8173; email address: schaeffer.john@ 1. Chemical Uses: Ethanedioic acid is Filed Date: 8/30/17. epa.gov. used as a rust remover; in antirust metal Accession Number: 20170830–5137. For general information contact: The cleaners and coatings; as a flame- Comments Due: 5 p.m. ET 9/20/17. TSCA-Hotline, ABVI-Goodwill, 422 proofing and cross-linking agent in The filings are accessible in the South Clinton Ave., Rochester, NY cellulose fabrics; as a reducing agent in Commission’s eLibrary system by 14620; telephone number: (202) 554– mordent wool dying; as an acid dye clicking on the links or querying the 1404; email address: TSCA-Hotline@ stabilizing agent in nylon; as a scouring docket number. epa.gov. agent for cotton printing; and as a dye Any person desiring to intervene or SUPPLEMENTARY INFORMATION: stripper for wool. Ethanedioic acid is protest in any of the above proceedings also used for degumming silk; for the must file in accordance with Rules 211 I. Chemical Substances and/or Mixtures separation and recovery of rare earth and 214 of the Commission’s Information received about the elements from ore; for bleaching leather Regulations (18 CFR 385.211 and following chemical substance and/or and masonry; for cleaning aluminum 385.214) on or before 5:00 p.m. Eastern mixture is provided in Unit IV.: and wood decks; and as a synthetic time on the specified comment date. Ethanedioic acid (CASRN 144–62–7). intermediate for pharmaceuticals. Protests may be considered, but 2. Applicable Rule, Order, or Consent intervention is necessary to become a II. Authority Agreement: Testing of Certain High party to the proceeding. Section 4(d) of TSCA (15 U.S.C. Production Volume Chemicals; Second eFiling is encouraged. More detailed 2603(d)) requires EPA to publish a Group of Chemicals (HPV2), 40 CFR information relating to filing notice in the Federal Register reporting 799.5087.

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3. Information Received: The DATES: Comments must be submitted by document covers the period from May 1, following listing describes the nature of October 6, 2017. 2017 to May 31, 2017. the information received. The ADDRESSES: Comments should be DATES: Comments identified by the information will be added to the docket addressed to Cynthia Lewis, Senior specific case number provided in this for the applicable TSCA section 4 rule, Enforcement Counsel, U.S. document, must be received on or order, or consent agreement and can be Environmental Protection Agency, 5 before October 6, 2017. found by referencing the docket ID Post Office Square, Suite 100 (OES04– ADDRESSES: Submit your comments, number provided. EPA reviews of 3), Boston, MA 02109–3912; (617) 918– identified by docket identification (ID) information will be added to the same 1889, and should refer to: In re: RBF number EPA–HQ–OPPT–2016–0702, docket upon completion. Frozen Desserts Superfund Site, EPA and the specific PMN number or TME Application for Exemption from Region 1 CERCLA Docket No. 01–2017– number for the chemical related to your Testing. The docket ID number assigned 0064. comment, by one of the following to this information is EPA–HQ–OPPT– FOR FURTHER INFORMATION CONTACT: methods: A • 2007–0531. copy of the proposed settlement may be Federal eRulemaking Portal: http:// Authority: 15 U.S.C. 2601 et seq. obtained from Cynthia Lewis, Senior www.regulations.gov. Follow the online Enforcement Counsel, U.S. instructions for submitting comments. Dated: July 27, 2017. Do not submit electronically any Maria J. Doa, Environmental Protection Agency, 5 Post Office Square, Suite 100 (OES04– information you consider to be Director, Chemical Control Division, Office Confidential Business Information (CBI) of Pollution Prevention and Toxics. 3), Boston, MA 02109–3912; (617) 918– 1889; [email protected]. or other information whose disclosure is [FR Doc. 2017–18759 Filed 9–5–17; 8:45 am] restricted by statute. SUPPLEMENTARY INFORMATION BILLING CODE 6560–50–P : This • Mail: Document Control Office proposed administrative settlement for (7407M), Office of Pollution Prevention recovery of response costs under and Toxics (OPPT), Environmental ENVIRONMENTAL PROTECTION CERCLA Sections 122(h)(1), concerning Protection Agency, 1200 Pennsylvania AGENCY the RBF Frozen Desserts Superfund Site Ave. NW., Washington, DC 20460–0001. in West Hartford, Connecticut, requires • Hand Delivery: To make special [FRL–9967–10–Region 1] the settling party, H.P.D.I., LLC to pay arrangements for hand delivery or $40,000.00, in two installments, to the delivery of boxed information, please Proposed CERCLA Administrative Hazardous Substance Superfund. follow the instructions at http:// Settlement Agreement; RBF Frozen The settlement includes a covenant www.epa.gov/dockets/contacts.html. Desserts Superfund Site, West not to sue pursuant to Sections 106 and Additional instructions on Hartford, Connecticut 107(a) of CERCLA, 42 U.S.C. 9606 and commenting or visiting the docket, 9607, relating to the Site, and protection along with more information about AGENCY: Environmental Protection from contribution actions or claims as dockets generally, is available at http:// Agency (EPA). provided by Sections 113(f)(2) and www.epa.gov/dockets. ACTION: Notice of proposed settlement; 122(h)(4) of CERCLA, 42 U.S.C. FOR FURTHER INFORMATION CONTACT: For request for public comments. 9613(f)(2) and 9622(h)(4). technical information contact: Jim SUMMARY: In accordance with Section Dated: August 9, 2017. Rahai, Information Management 122(i) of the Comprehensive Bryan Olson, Division (7407M), Office of Pollution Environmental Response, Director, Office of Site Remediation and Prevention and Toxics, Environmental Compensation, and Liability Act, as Restoration. Protection Agency, 1200 Pennsylvania amended (‘‘CERCLA’’), notice is hereby [FR Doc. 2017–18872 Filed 9–5–17; 8:45 am] Ave. NW., Washington, DC 20460–0001; given of a proposed administrative BILLING CODE 6560–50–P telephone number: (202) 564–8593; settlement for recovery of response costs email address: [email protected]. under CERCLA Section 122(h)(1), For general information contact: The concerning the RBF Frozen Desserts ENVIRONMENTAL PROTECTION TSCA-Hotline, ABVI-Goodwill, 422 Superfund Site in West Hartford, AGENCY South Clinton Ave., Rochester, NY Connecticut with the following settling 14620; telephone number: (202) 554– party: H.P.D.I., LLC. The settlement [EPA–HQ–OPPT–2017–0405; FRL–9965–05] 1404; email address: TSCA-Hotline@ epa.gov. requires H.P.D.I., LLC to pay $40,000.00 Certain New Chemicals; Receipt and SUPPLEMENTARY INFORMATION: to the Hazardous Substance Superfund, Status Information for May 2017 in two installments. I. General Information For 30 days following the date of AGENCY: Environmental Protection publication of this notice, the Agency (EPA). A. Does this action apply to me? Environmental Protection Agency (EPA) ACTION: Notice. This action is directed to the public will receive written comments relating in general. As such, the Agency has not to the settlement. The United States will SUMMARY: EPA is required under the attempted to describe the specific consider all comments received and Toxic Substances Control Act (TSCA) to entities that this action may apply to. may modify or withdraw its consent to publish in the Federal Register a notice Although others may be affected, this the settlement if comments received of receipt of a premanufacture notice action applies directly to the submitters disclose facts or considerations which (PMN); an application for a test of the actions addressed in this indicate that the settlement is marketing exemption (TME), both document. inappropriate, improper, or inadequate. pending and/or expired; and a periodic EPA’s response to any comments status report on any new chemicals B. What should I consider as I prepare received will be available for public under EPA review and the receipt of my comments for EPA? inspection at 5 Post Office Square, notices of commencement (NOC) to 1. Submitting CBI. Do not submit this Boston, MA 02109–3912. manufacture those chemicals. This information to EPA through

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regulations.gov or email. Clearly mark III. What is the Agency’s authority for Under TSCA sections 5(d)(2) and the part or all of the information that taking this action? 5(d)(3), EPA is required to publish in you claim to be CBI. For CBI Under TSCA, 15 U.S.C. 2601 et seq., the Federal Register a notice of receipt information in a disk or CD–ROM that EPA classifies a chemical substance as of a PMN or an application for a TME you mail to EPA, mark the outside of the either an ‘‘existing’’ chemical or a and to publish in the Federal Register disk or CD–ROM as CBI and then ‘‘new’’ chemical. Any chemical periodic reports on the status of new identify electronically within the disk or substance that is not on EPA’s TSCA chemicals under review and the receipt CD–ROM the specific information that Inventory is classified as a ‘‘new of NOCs to manufacture those is claimed as CBI. In addition to one chemical,’’ while those that are on the chemicals. complete version of the comment that TSCA Inventory are classified as an includes information claimed as CBI, a ‘‘existing chemical.’’ For more IV. Receipt and Status Reports copy of the comment that does not information about the TSCA Inventory, As used in each of the tables in this contain the information claimed as CBI please go to: http://www.epa.gov/ unit, (S) indicates that the information must be submitted for inclusion in the opptintr/newchems/pubs/ in the table is the specific information public docket. Information so marked inventory.htm. will not be disclosed except in Anyone who plans to manufacture or provided by the submitter, and (G) accordance with procedures set forth in import a new chemical substance for a indicates that the information in the 40 CFR part 2. non-exempt commercial purpose is table is generic information because the 2. Tips for preparing your comments. required by TSCA section 5 to provide specific information provided by the When preparing and submitting your EPA with a PMN, before initiating the submitter was claimed as CBI. comments, see the commenting tips at activity. Section 5(h)(1) of TSCA For the 22 PMNs received by EPA http://www.epa.gov/dockets/ authorizes EPA to allow persons, upon during this period, Table 1 provides the comments.html. application, to manufacture (includes following information (to the extent that import) or process a new chemical II. What action is the Agency taking? such information is not claimed as CBI): substance, or a chemical substance The EPA case number assigned to the This document provides receipt and subject to a significant new use rule PMN; The date the PMN was received status reports, which cover the period (SNUR) issued under TSCA section 5(a), by EPA; the projected end date for from May 1, 2017 to May 31, 2017, and for ‘‘test marketing’’ purposes, which is EPA’s review of the PMN; the consists of the PMNs and TMEs both referred to as a test marketing submitting manufacturer/importer; the pending and/or expired, and the NOCs exemption, or TME. For more to manufacture a new chemical that the information about the requirements potential uses identified by the Agency has received under TSCA applicable to a new chemical go to: manufacturer/importer in the PMN; and section 5 during this time period. http://www.epa.gov/oppt/newchems. the chemical identity. TABLE 1—PMNS RECEIVED FROM MAY 1, 2017 TO MAY 31, 2017

Projected Case No. Received date notice end Manufacturer Use Chemical date importer

P–17–0297 ...... 5/4/2017 8/2/2017 Gelest ...... (S) Carrier for printing inks ...... (S) Trisiloxane, 1,1,1,3,5,5,5-heptamethyl- (S) Personal care ...... 3-propyl-. (S) Research ...... P–17–0298 ...... 5/2/2017 7/31/2017 GE Water & (S) The notified substance is described as (S) Formaldehyde, homopolymer, reaction Process Tech- a hydrogen sulfide scavenger used in products with n-propyl-1-propanamine. nologies. controlling hydrogen sulfide in the vapor space of fuel storage, shipping vessels and pipelines. It is designed to reduce the health, safety and environmental hazards of handling fuels containing h2s. The substance reacts selectively with (neutralizes) and removes h2s to help meet product and process specifications. P–17–0299 ...... 5/2/2017 7/31/2017 CBI ...... (G) Paint additive ...... (G) 2-propenoic acid, alkyl-, polymers with alkyl acrylate and polyethylene glycol methacrylate alkyl ether. P–17–0300 ...... 5/4/2017 8/2/2017 CBI ...... (S) Surface treatment material for use on (G) Isocyanate, polymer, pyrazole, poly- textiles. ethylene glycol derivative and fluoro al- cohol. P–17–0301 ...... 5/15/2017 8/13/2017 CBI ...... (G) Used as a surface drier in clear and (G) Manganese heterocyclic-amine pigmented coatings systems to replace carboxylate complexes. other primary driers, particularly cobalt. P–17–0303 ...... 5/12/2017 8/10/2017 CBI ...... (G) Component for tire ...... (G) Modified copolymer of buta-1,3-diene and styrene. P–17–0304 ...... 5/11/2017 8/9/2017 Hmt, LLC ...... (S) The substance is a part of a thermoset (S) See letter of support. plastic material. The thermoset plastic in combination with glass fibers will produce a composite material for con- struction of internal & external floating roofs in atmospheric storage tanks used in petrochemical plants. P–17–0305 ...... 5/15/2017 8/13/2017 Allnex USA Inc .. (S) UV curable coating resin ...... (G) Waste plastics, poly(ethylene terephthalate), depolymd. with poly- propylene glycol ether with glycerol (3:1), polymers with alkenoic acid, alkanoic acid and alkanol substituted alkane.

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TABLE 1—PMNS RECEIVED FROM MAY 1, 2017 TO MAY 31, 2017—Continued

Projected Case No. Received date notice end Manufacturer Use Chemical date importer

P–17–0306 ...... 5/19/2017 8/17/2017 CBI ...... (G) Component in foam insulation ...... (G) Fatty acid modified aromatic polyester polyol P–17–0307 ...... 5/19/2017 8/17/2017 CBI ...... (G) Component in foam insulation ...... (G) Fatty acid modified aromatic polyester polyol. P–17–0308 ...... 5/19/2017 8/17/2017 CBI ...... (S) As crosslinker in silicone sealants used (S) 2-pentanone, 2,2′,2″-[o,o′,o″- in automotive repair shops to seal var- (ethenylsilylidyne)trioxime]. ious metal parts in vehicles to metal andgGlass. (S) As crosslinker for silicone sealants used to create metal-to-metal, metal-to- glass, or metal-to-ceramic bonds in auto- motive and white goods production. P–17–0309 ...... 5/19/2017 8/17/2017 CBI ...... (S) Crosslinker for silicone sealants used to (S) 2-pentanone, 2,2′,2″-[o,o′,o″- create metal-to-metal, metal-to-glass, or (methylsilylidyne)trioxime]. metal-to-ceramic bonds in automotive and white goods production. (S) As crosslinker in silicone sealants used in automotive repair shops to seal var- ious metal parts in vehicles to metal and glass. P–17–0311 ...... 5/23/2017 8/21/2017 CBI ...... (S) Raw materials constituting the ultra- (G) Aromatic acrylate. violet curable ink. (S) Material monomer for synthesizing polymer. P–17–0312 ...... 5/24/2017 8/22/2017 CBI ...... (G) Additive for electrocoat formulas ...... (G) Organic acid, compounds with bisphenol a-epichlorohydrin-poly- propylene glycol diglycidyl ether polymer- disubstituted amine-disubstituted poly- propylene glycol reaction products. P–17–0313 ...... 5/24/2017 8/22/2017 CBI ...... (G) Additive for electrocoat formulas ...... (G) Phenol, 4,4′-(1-methylethylidene)bis-, polymer with 2-(chloromethyl)oxirane and alpha-(2-oxiranylmethyl)-omega-(2- oxiranylmethoxy)poly[oxy (methyl-1,2- ethanediyl)], reaction products with disubstituted amine and disubstituted polypropylene glycol, organic acid salts. P–17–0314 ...... 5/24/2017 8/22/2017 CBI ...... (G) Additive for electrocoat formulas ...... (G) Organic acid, 2-substituted-, com- pounds with bisphenol a-epichlorohydrin- polypropylene glycol diglycidyl ether polymer-disubstituted amine-disubstituted polypropylene glycol reaction products. P–17–0315 ...... 5/24/2017 8/22/2017 CBI ...... (G) Additive for electrocoat formulas ...... (G) Phenol, 4,4′-(1-methylethylidene)bis-, polymer with alpha-(2-substituted- methylethyl)-omega-(2-substituted- methylethoxy)poly[oxy (methyl-1,2- ethanediyl)], 2-(chloromethyl)oxirane and alpha-(2-oxiranylmethyl)-omega-(2- oxiranylmethoxy)poly [oxy (methyl-1,2- ethanediyl)], alkylphenyl ethers, reaction products with disubstituted amine, or- ganic acid salts. P–17–0316 ...... 5/24/2017 8/22/2017 CBI ...... (G) Additive for electrocoat Formulas ...... (G) Organic acid, compounds with bisphenol a-epichlorohydrin-disubstituted polypropylene glycol-polypropylene glycol diglycidyl ether polymer alkylphenyl ethers-disubstituted amine reaction prod- ucts. P–17–0317 ...... 5/24/2017 8/22/2017 CBI ...... (G) Additive for electrocoat formulas ...... (G) Organic acid, compounds with bisphenol a-epichlorohydrin-poly- propylene glycol diglycidyl ether polymer- disubstituted polypropylene glycol reac- tion products. P–17–0318 ...... 5/24/2017 8/22/2017 CBI ...... (G) Component in nutrient solutions ...... (G) Sulfuric acid mixed salt. P–17–0319 ...... 5/26/2017 8/24/2017 Inolex Chemical (S) This material will be used as an emol- (S) L-isoleucine, c12-22-alkyl esters, Company. lient for a fabric softener/conditioning ethanesulfonates. product. P–17–0321 ...... 5/30/2017 8/28/2017 CBI ...... (G) Monitoring of oil/gas well performance (G) Naphthalene trisulfonic acid sodium salt.

For the 1 TME’s received by EPA this period: The EPA case number potential uses identified by the during this period, EPA provides the assigned to the TME, the date the TME manufacturer/importer in the TME, and following information (to the extent that was received by EPA, the projected end the chemical identity. such information is not claimed as CBI) date for EPA’s review of the TME, the on the TMEs received by EPA during submitting manufacturer/importer, the

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TABLE 2—TMES RECEIVED FROM MAY 1, 2017 TO MAY 31, 2017

Projected Case No. Received date notice end Manufacturer Use Chemical date importer

T–16–0017 ...... 5/25/2016 7/9/2016 CBI ...... (G) Wax ...... (G) Modified vegetable oil.

For the 115 NOCs received by EPA The EPA case number assigned to the submitter in the NOC; and the chemical during this period, Table 2 provides the NOC; the date the NOC was received by identity. following information (to the extent that EPA; the projected date of such information is not claimed as CBI): commencement provided by the

TABLE 3—NOCS RECEIVED FROM MAY 1, 2017 TO MAY 31, 2017

Commence- Case No. Received date ment Chemical date

P–16–0330 ...... 5/1/2017 4/28/2017 (G) Hydroxy functional triglyceride polymer with glycerol mono-ester and 1,1′- methylenebis[4-isocyanatobenzene]. P–16–0338 ...... 5/1/2017 4/23/2017 (G) Xanthylium, (sulfoaryl)—bis [(substituted aryl) amino]-, sulfo derivs., inner salts, metal salts. J–16–0026 ...... 5/5/2017 5/3/2017 (G) Trichoderma reesei modified. J–17–0007 ...... 5/26/2017 5/6/2017 (G) Biofuel producing saccharomyces cerevisiae modified, genetically stable. P–08–0671 ...... 5/9/2017 4/13/2017 (S) Hexanedioic acid, polymer with 1,4-butanediol, 1,3-diisocyanatomethylbenzene and 1,2- propanediol. P–13–0285 ...... 5/2/2017 3/22/2017 (G) Substituted aromatic polyamic acid polymer. P–14–0043 ...... 5/23/2017 5/4/2017 (G) Poly[oxy(methyl-1,2-ethanediyl)], alpha.-[methyl-2-[(alkyl)amino]ethyl]-.omega.-[methyl- 2-[alkyl)amino]ethoxy]. P–15–0669 ...... 5/12/2017 5/2/2017 (S) Glycine, n,n′-1,2-ethanediylbis-, reaction products with formaldehyde, iron chloride (fecl3) and phenol, potassium salts. P–16–0184 ...... 5/10/2017 4/21/2017 (G) Mixture of polyester carboxylates. P–16–0255 ...... 5/4/2017 3/28/2017 (S) 1-butanaminium, n,n,n-tributyl-, carbonate (1:1). P–16–0256 ...... 5/4/2017 3/28/2017 (S) 1-butanamium, n,n,n-tributyl-, methyl carbonate (1:1). P–16–0257 ...... 5/4/2017 3/28/2017 (S) 1-butanaminium, n,n,n-tributyl-, ethyl carbonate (1:1). P–16–0258 ...... 5/4/2017 3/28/2017 (S) 1-butanaminium, n,n,n-tributyl-, propyl carbonate (1:1). P–16–0259 ...... 5/4/2017 3/28/2017 (S) 1-butanaminium, n,n,n-tributyl-, 1-methylethyl carbonate (1:1). P–16–0289 ...... 5/26/2017 5/4/2017 (G) Benzene dicarboxylic acid, polymer with alkane dioic acid and aliphatic diamine. P–16–0339 ...... 5/1/2017 4/23/2017 (G) Substituted triazinyl metal salt, diazotized, coupled with substituted pyridobenzimidazolesulfonic acids, substituted pyridobenzimidazolesulfonic acids, diazotized substituted alkanesulfonic acid, diazotized substituted aromatic sulfonate, diazotized substituted aromatic sulfonate, metal salts. P–16–0352 ...... 5/22/2017 5/14/2017 (S) Phenol, 2-[[[3-(decloxy)propyl]imino]methyl]-. P–16–0352 ...... 5/22/2017 5/14/2017 (S) Phenol, 2-[[[3-(octyloxy)propyl]imino]methyl]-. P–16–0439 ...... 5/1/2017 4/23/2017 (G) Carbon black, (organic acidic carbocyclic)-modified, inorganic salt. P–16–0440 ...... 5/9/2017 5/1/2017 (G) Carbon black, (organic acidic carbocyclic)-modified, metal salt. P–17–0032 ...... 5/31/2017 5/3/2017 (S) 1,3,5-napthalenetrisulfonic acid. P–17–0033 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-fluoro-, sodium salt (1:1). P–17–0034 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-fluoro-, sodium salt (1:1). P–17–0035 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3,4,5-tetrafluoro-. P–17–0036 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3,4,5-tetrafluoro-, sodium salt (1:1). P–17–0037 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-(trifluoromethyl)-. P–17–0038 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-(trifluoromethyl)-, sodium salt (1:1). P–17–0039 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-(trifluoromethyl)-, sodium salt. P–17–0040 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,5-difluoro-. P–17–0041 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,5-difluoro-, sodium salt (1:1). P–17–0042 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-fluoro-, sodium salt (1:1). P–17–0043 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,6-difluoro-, sodium salt (1:1). P–17–0044 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,6-difluoro-. P–17–0045 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,5-difluoro-, sodium salt (1:1). P–17–0046 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,5-difluoro-. P–17–0047 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4-difluoro-, sodium salt (1:1). P–17–0048 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4-difluoro-. P–17–0050 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4-difluoro-, sodium salt (1:1). P–17–0051 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4-difluoro-. P–17–0052 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4,5-trifluoro-, sodium salt (1:1). P–17–0053 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4,5-trifluoro-. P–17–0054 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3,4-trifluoro-. P–17–0055 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3,4-trifluoro-, sodium salt (1:1). P–17–0056 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4,5-trifluoro-. P–17–0057 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4,5-trifluoro-, sodium salt (1:1). P–17–0058 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3-difluoro-. P–17–0059 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3-difluoro-, sodium salt (1:1).

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TABLE 3—NOCS RECEIVED FROM MAY 1, 2017 TO MAY 31, 2017—Continued

Commence- Case No. Received date ment Chemical date

P–17–0060 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-(trifluoromethyl)-. P–17–0061 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-(trifluoromethyl)-, sodium salt (1:1). P–17–0062 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-chloro-, sodium salt (1:1). P–17–0063 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-, sodium salt (1:1). P–17–0064 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-chloro-, sodium salt (1:1). P–17–0065 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3-dichloro-. P–17–0066 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3-dichloro-, sodium salt (1:1). P–17–0067 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,5-dichloro-, sodium salt (1:1). P–17–0068 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,5-dichloro-. P–17–0069 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,5-dichloro-, sodium salt (1:1). P–17–0070 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,6-dichloro-. P–17–0071 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,6-dichloro-, sodium salt (1:1). P–17–0072 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4-dichloro-, sodium salt (1:1). P–17–0073 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4-dichloro-, sodium salt (1:1). P–17–0074 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-chloro-4-fluoro-. P–17–0075 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-chloro-4-fluoro-, sodium salt (1:1). P–17–0076 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-chloro-4-fluoro-, sodium salt (1:1). P–17–0077 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 5-chloro-2-fluoro-. P–17–0078 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-chloro-4-fluoro-. P–17–0079 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 5-chloro-2-fluoro-, sodium salt (1:1). P–17–0080 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-3-fluoro-, sodium salt (1:1). P–17–0081 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-3-fluoro-. P–17–0082 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-2-fluoro-. P–17–0083 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-2-fluoro-, sodium salt (1:1). P–17–0084 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 5-bromo-2-chloro-. P–17–0085 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 5-bromo-2-chloro-, sodium salt (1:1). P–17–0087 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-bromo-4-fluoro-, sodium salt (1:1). P–17–0088 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-bromo-4-fluoro-. P–17–0089 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-bromo-5-fluoro-. P–17–0090 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-bromo-5-fluoro-, sodium salt (1:1). P–17–0091 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-bromo-2-fluoro-, sodium salt (1:1). P–17–0092 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-bromo-3-fluoro-. P–17–0093 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-bromo-3-fluoro-, sodium salt (1:1). P–17–0094 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3,4,5-tetrafluoro-, ethyl ester. P–17–0095 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-(trifluoromethyl)-, ethyl ester. P–17–0096 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-(trifluoromethyl)-, ethyl ester. P–17–0097 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-bromo-2-fluoro-. P–17–0098 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,6-difluoro-, ethyl ester. P–17–0099 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,5-difluoro-, ethyl ester. P–17–0100 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3,4-trifluoro-, ethyl ester. P–17–0101 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-bromo-5-fluoro-, ethyl ester. P–17–0102 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,5-difluoro-, ethyl ester. P–17–0103 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 5-bromo-2-chloro-, ethyl ester. P–17–0104 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-chloro-, ethyl ester. P–17–0105 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-chloro-, ethyl ester. P–17–0114 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-chloro-4-fluoro-, ethyl ester. P–17–0122 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-bromo-2-fluoro-, ethyl ester. P–17–0123 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-bromo-4,5-difluoro-, ethyl ester. P–17–0124 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-bromo-3-fluoro-, ethyl ester. P–17–0125 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-bromo-4-fluoro-, ethyl ester. P–17–0126 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-2-fluoro-, ethyl ester. P–17–0127 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,5-dichloro-, ethyl ester. P–17–0128 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 4-chloro-3-fluoro-, ethyl ester. P–17–0129 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2-chloro-4-fluoro-, ethyl ester. P–17–0130 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 5-chloro-2-fluoro-, ethyl ester. P–17–0131 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4-difluoro-, ethyl ester. P–17–0132 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4-difluoro-, ethyl ester. P–17–0133 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4,5-trifluoro-, ethyl ester. P–17–0134 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4,5-trifluoro-, ethyl ester. P–17–0135 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3-(trifluoromethyl)-, ethyl ester. P–17–0136 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,3-difluoro-, ethyl ester. P–17–0137 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,6-dichloro-, ethyl ester. P–17–0138 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,5-dichloro-, ethyl ester. P–17–0139 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 2,4-dichloro-, ethyl ester. P–17–0140 ...... 5/3/2017 3/22/2017 (S) Benzoic acid, 3,4-dichloro-, ethyl ester. P–17–0158 ...... 5/25/2017 2/16/2017 (G) Perylene bis (diisopropylphenyl) bisimide. P–17–0161 ...... 5/22/2017 5/2/2017 (G) 2-propenoic acid, alkyl-, alkyl ester, polymer with alkyl 2-propenoate, dialkyloxoalkyl-2- propenamide, ethenylbenzene and alkyl 2-propenoate.

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TABLE 3—NOCS RECEIVED FROM MAY 1, 2017 TO MAY 31, 2017—Continued

Commence- Case No. Received date ment Chemical date

P–96–1182 ...... 5/10/2017 5/9/2017 (G) Inorganic acid, compounds with [(substituted-propyl)imino]bis[alkanol]-bisphenol a- epichlorohydrin-hexahydro-1,3-isobenzofurandione-polyethylene glycol ether with bisphenol a (2:1) polymer-disubstituted amine-alkanolamine reaction products.

Authority: 15 U.S.C. 2601 et seq. EPA’s policy is that all comments will then be submitted to OMB for Dated: August 7, 2017. received will be included in the public review and approval. At that time, EPA Megan Carroll, docket without change including any will issue another Federal Register Deputy Director, Information Management personal information provided, unless notice to announce the submission of Division, Office of Pollution Prevention and the comment includes profanity, threats, the ICR to OMB and the opportunity to Toxics. information claimed to be Confidential submit additional comments to OMB. [FR Doc. 2017–18779 Filed 9–5–17; 8:45 am] Business Information (CBI) or other Abstract: To determine compliance BILLING CODE 6560–50–P information whose disclosure is with the NAAQS, State air monitoring restricted by statute. agencies are required to use, in their air FOR FURTHER INFORMATION CONTACT: quality monitoring networks, air ENVIRONMENTAL PROTECTION Robert W. Vanderpool, Environmental monitoring methods that have been AGENCY Protection Agency, Exposure Methods formally designated by the EPA as either and Measurements Division, Air Quality reference or equivalent methods under [EPA–HQ–ORD–2005–0530; FRL–9966–53– Branch, Mail Drop D205–03, Research EPA regulations at 40 CFR part 53. A ORD] Triangle Park, NC 27711; telephone manufacturer or seller of an air Proposed Information Collection number: 919–541–7877; fax number: monitoring method (e.g. an air Request; Comment Request; 919–541–4848; email address: monitoring sampler or analyzer) that Application for Reference and [email protected] seeks to obtain such EPA designation of Equivalent Method Determination SUPPLEMENTARY INFORMATION: one of its products must carry out (Renewal) Supporting documents which explain in prescribed tests of the method. The test detail the information that the EPA will results and other information must then AGENCY: Environmental Protection be collecting are available in the public be submitted to the EPA in the form of Agency (EPA). docket for this ICR. The docket can be an application for a reference or ACTION: Notice. viewed online at www.regulations.gov equivalent method determination in or in person at the EPA Docket Center, accordance with 40 CFR part 53. The SUMMARY: The Environmental Protection WJC West, Room 3334, 1301 EPA uses this information, under the Agency (EPA) is planning to submit an Constitution Ave. NW., Washington, provisions of Part 53, to determine information collection request (ICR), DC. The telephone number for the whether the particular method should ‘‘Application for Reference and Docket Center is 202–566–1744. For be designated as either a reference or Equivalent Method Determination additional information about EPA’s equivalent method. After a method is (Renewal)’’ (EPA ICR No. 0559.13, OMB public docket, visit http://www.epa.gov/ designated, the applicant must also Control No. 2080–0005) to the Office of dockets. maintain records of the names and Management and Budget (OMB) for Pursuant to section 3506(c)(2)(A) of mailing addresses of all ultimate review and approval in accordance with the PRA, EPA is soliciting comments purchasers of all analyzers or samplers the Paperwork Reduction Act (44 U.S.C. and information to enable it to: (i) sold as designated methods under the 3501 et seq.). Before doing so, EPA is Evaluate whether the proposed method designation. If the method soliciting public comments on specific collection of information is necessary designated is a method for fine aspects of the proposed information for the proper performance of the particulate matter (PM ) and coarse collection as described below. This is a 2.5 functions of the Agency, including particulate matter (PM10–2.5), the proposed extension of the ICR, which is whether the information will have applicant must also submit a checklist currently approved through February practical utility; (ii) evaluate the signed by an ISO-certified auditor to 28, 2018. An Agency may not conduct accuracy of the Agency’s estimate of the indicate that the samplers or analyzers or sponsor and a person is not required burden of the proposed collection of sold as part of the designated method to respond to a collection of information information, including the validity of are manufactured in an ISO 9001- unless it displays a currently valid OMB the methodology and assumptions used; registered facility. Also, an applicant control number. (iii) enhance the quality, utility, and must submit a minor application to seek DATES: Comments must be submitted on clarity of the information to be approval for any proposed or before November 6, 2017. collected; and (iv) minimize the burden modifications to previously designated ADDRESSES: Submit your comments, of the collection of information on those methods. referencing Docket ID No. EPA–HQ– who are to respond, including through Form Numbers: None. ORD–2005–0530, online using the use of appropriate automated Respondents/affected entities: Private www.regulations.gov (our preferred electronic, mechanical, or other manufacturers, states. method), by email to ord-docket@ technological collection techniques or Respondent’s obligation to respond: epa.gov, or by mail to: EPA Docket other forms of information technology, Required to obtain the benefit of EPA Center, Environmental Protection e.g., permitting electronic submission of designation under 40 CFR part 53. Agency, Mail Code 28221T, 1200 responses. EPA will consider the Submission of some information that is Pennsylvania Ave. NW., Washington, comments received and amend the ICR claimed by the applicant to be DC 20460. as appropriate. The final ICR package confidential business information may

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be necessary to make a reference or Environmental Protection Agency, 1200 DATES: Comments must be received on equivalent method determination. The Pennsylvania Ave. NW., Washington, or before October 6, 2017. confidentiality of any submitted DC 20460–0001; telephone number: ADDRESSES: Submit your comments, information identified as confidential (202) 564–7642; email address: identified by docket identification (ID) business information by the applicant [email protected]. number EPA–HQ–OPP–2016–0671, by will be protected in full accordance SUPPLEMENTARY INFORMATION: This one of the following methods: with 40 CFR part 53.15 and all document extends the public comment • Federal eRulemaking Portal: http:// applicable provisions of 40 CFR part 2. period established in the Federal www.regulations.gov. Follow the online Estimated number of respondents: 22 Register document of August 3, 2017 instructions for submitting comments. (total). (82 FR 36132) (FRL–9965–53). In that Do not submit electronically any Frequency of response: Annual. document, of the names and affiliations information you consider to be Total estimated burden: 7,492 hours of additional candidates for membership Confidential Business Information (CBI) (per year). Burden is defined in 5 CFR to the SACC with a request for public or other information whose disclosure is 1320.03(b). comments by September 5, 2017. This restricted by statute. • Total estimated cost: $687,044 (per document extends the public comment Mail: OPP Docket, Environmental year), includes $140,121 annualized due date to September 17, 2017. Protection Agency Docket Center (EPA/ capital or operation & maintenance To submit comments, or access the DC), (28221T), 1200 Pennsylvania Ave. costs. docket, please follow the detailed NW., Washington, DC 20460–0001. Changes in Estimates: There is no • instructions provided under ADDRESSES Hand Delivery: To make special change in the hours in the total in the Federal Register document of arrangements for hand delivery or estimated respondent burden compared August 3, 2017. If you have any delivery of boxed information, please with the ICR currently approved by questions, consult the DFO listed under follow the instructions at http:// OMB. FOR FURTHER INFORMATION CONTACT. www.epa.gov/dockets/contacts.html. Dated: August 7, 2017. Additional instructions on Authority: 15 U.S.C. 2625 et. seq.; 5 U.S.C. commenting or visiting the docket, Timothy H. Watkins, Appendix 2 et. seq. Deputy Director, National Exposure Research along with more information about Dated: August 17, 2017. Laboratory. dockets generally, is available at http:// Wendy Cleland-Hamnett, www.epa.gov/dockets. [FR Doc. 2017–18766 Filed 9–5–17; 8:45 am] Acting Assistant Administrator, Office of FOR FURTHER INFORMATION CONTACT: BILLING CODE 6560–50–P Chemical Safety and Pollution Prevention. Michael L. Goodis, Registration Division [FR Doc. 2017–18778 Filed 9–5–17; 8:45 am] (7505P), Office of Pesticide Programs, ENVIRONMENTAL PROTECTION BILLING CODE 6560–50–P Environmental Protection Agency, 1200 AGENCY Pennsylvania Ave. NW., Washington, DC 20460–0001; main telephone [EPA–HQ–OPPT–2016–0713; FRL–9966–11] ENVIRONMENTAL PROTECTION number: (703) 305–7090; email address: AGENCY Nominations to the Augmented [email protected]. Science Advisory Committee on SUPPLEMENTARY INFORMATION: [EPA–HQ–OPP–2016–0671; FRL–9963–53] Chemicals (SACC); Extension of I. General Information Comment Period Pesticides; Draft Guidance for A. Does this action apply to me? AGENCY: Environmental Protection Pesticide Registrants on Notifications, This action is directed to the public Agency (EPA). Non-Notifications and Minor Formulation Amendments in general. Although this action may be ACTION: Notice; extension of comment of particular interest to those persons period. AGENCY: Environmental Protection who are required to submit data under Agency (EPA). SUMMARY: The U.S. Environmental the Federal Insecticide, Fungicide, and Protection Agency published a notice ACTION: Notice of availability. Rodenticide Act (FIFRA), are required to with the names and affiliations of register pesticides. Since other entities SUMMARY: The Agency is announcing additional candidates for consideration may also be interested, the Agency has the availability of and seeking public for the Science Advisory Committee on not attempted to describe all the specific comment on a draft Pesticide Chemicals (SACC) on August 3, 2017. entities that may be affected by this Registration Notice (PR Notice) entitled Public comments were requested to be action. ‘‘Pesticide Registration (PR) Notice received by the Docket Identification 2017–XX: Notifications, Non- B. What should I consider as I prepare Number: EPA–HQ–OPPT–2016–0713. notifications and Minor Formulation my comments for EPA? This document extends the public Amendments.’’ PR Notices are issued by 1. Submitting CBI. Do not submit this comment period from September 5, the Office of Pesticide Programs (OPP) information to EPA through 2017 to September 17, 2017. to inform pesticide registrants and other regulations.gov or email. Clearly mark DATES: Comments must be received on interested persons about important the part or all of the information that or before September 17, 2017. policies, procedures, and registration you claim to be CBI. For CBI ADDRESSES: Follow the detailed related decisions, and serve to provide information in a disk or CD–ROM that instructions provided under ADDRESSES guidance to pesticide registrants and you mail to EPA, mark the outside of the in the Federal Register document of OPP personnel. This particular draft PR disk or CD–ROM as CBI and then August 3, 2017 (82 FR 36132) (FRL– Notice provides updated guidance to PR identify electronically within the disk or 9965–53). Notice 98–10, in line with current CD–ROM the specific information that FOR FURTHER INFORMATION CONTACT: regulatory statutes (PRIA) to the is claimed as CBI. In addition to one Tamue Gibson, M.S., Designated Federal registrant and other interested parties complete version of the comment that Officer (DFO), Office of Science for notifications, non-notifications and includes information claimed as CBI, a Coordination and Policy (7201M), minor formulation amendments. copy of the comment that does not

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contain the information claimed as CBI PR Notice. However, the Agency is are expected to add transparency to must be submitted for inclusion in the especially requesting impacted parties draft assessment development, while public docket. Information so marked to provide through comments available simultaneously increasing throughput will not be disclosed except in information on projected cost and responsiveness to Agency needs. accordance with procedures set forth in implications of this draft updated DATES: The public face-to-face meeting 40 CFR part 2. guidance. The Paperwork Reduction Act will be held from Wednesday, 2. Tips for preparing your comments. (PRA) burdens associated with revisions September 27, 2017 through Thursday, When preparing and submitting your to the PR Notice are accounted for in the September 28, 2017, from 9:00 a.m. to comments, see the commenting tips at current ICR entitled: Application for 5:00 p.m., (Eastern time) daily. http://www.epa.gov/dockets/ New and Amended Pesticide ADDRESSES: The public meeting will be comments.html. Registration, OMB ICR 2070–0060; EPA held at Residence Inn Arlington Capital C. How can I get copies of this No. 0277.17. As noted above, no View, 2850 S. Potomac Ave., Arlington, document and other related increase or decrease in the current PRA VA 22202. information? burden inventory is anticipated. FOR FURTHER INFORMATION CONTACT: Any A copy of the draft PR notice is III. Do PR Notices contain binding member of the public wishing to obtain available in the docket under docket requirements? further information concerning the meeting may contact Dr. Suhair Shallal, identification (ID) number EPA–HQ– The PR Notice discussed in this OPP–2016–0671. Designated Federal Officer (DFO), SAB notice is intended to provide guidance Staff Office, by telephone at (202) 564– II. What guidance does this PR Notice to EPA personnel and decision makers 0257 or [email protected]. General provide? and to pesticide registrants. While the information concerning the EPA Science requirements in the statutes and Agency Advisory Board, as well as any updates This draft PR Notice provides regulations are binding on EPA and the guidance to the registrant concerning concerning the meeting announced in applicants, this PR Notice is not binding the process for notifications, non- this notice, can be found at the EPA on either EPA or pesticide registrants, notifications and minor formulation SAB Web site at http://www.epa.gov/ and EPA may depart from the guidance amendments. This proposed notice sab. where circumstances warrant and updates and clarifies the scope of without prior notice. Likewise, pesticide SUPPLEMENTARY INFORMATION: changes accepted by notification, non- registrants may assert that the guidance Background: The SAB was notification and minor formulation is not appropriate generally or not established pursuant to the amendments for all pesticide products. Environmental Research, Development, applicable to a specific pesticide or This notice supersedes both PR Notices and Demonstration Authorization Act situation. 95–2 and 98–10 in their entirety. As per (ERDAA) codified at 42 U.S.C. 4365, to 40 CFR 152.46, EPA may determine that Authority: 7 U.S.C. 136 et seq. provide independent scientific and certain minor modifications to a Dated: August 2, 2017. technical advice to the Administrator on registration having no potential to cause Richard P. Keigwin, Jr., the technical basis for Agency positions unreasonable adverse effects to the Director, Office of Pesticide Programs. and regulations. The SAB is a Federal environment may be accomplished by Advisory Committee chartered under [FR Doc. 2017–18765 Filed 9–5–17; 8:45 am] notification or without notification to the Federal Advisory Committee Act the Agency. Since the issuance of PR BILLING CODE 6560–50–P (FACA), 5 U.S.C., App. 2. The SAB will Notice 98–10, various regulatory and comply with the provisions of FACA statutory changes have taken place. In ENVIRONMENTAL PROTECTION and all appropriate SAB Staff Office particular, the Pesticide Registration AGENCY procedural policies. Pursuant to FACA Improvement Act (PRIA), the Pesticide and EPA policy, notice is hereby given Registration Improvement Renewal Act [FRL–9967–00–OA] that the SAB CAAC will hold a public (PRIA 2), Pesticide Registration meeting to receive a briefing from the Improvement Extension Act (PRIA 3), Notification of a Public Meeting of the EPA’s National Center for and pending Pesticide Registration Science Advisory Board Chemical Environmental Assessment (NCEA) on Enhancement Act of 2017 (PRIA 4) has Assessment Advisory Committee the content and presentation of resulted in a need for EPA to revise the AGENCY: Environmental Protection assessment products to be released at notification procedures. Certain actions Agency (EPA). early stages of draft development. These previously accepted under PR Notice ACTION: Notice. products represent an update to the 98–10 are now actions scheduled by the materials released for the purposes of PRIA action tables. EPA is issuing this SUMMARY: The Environmental Protection early stakeholder engagement, as notice to align the notification program Agency (EPA or Agency) Science outlined in the ‘‘IRIS enhancements’’ with the requirements of the Food Advisory Board (SAB) Staff Office (2013). These materials are expected to Quality Protection Act (FQPA) and announces a public meeting of the SAB add transparency to draft assessment PRIA and to clarify the processes for Chemical Assessment Advisory development, while simultaneously accepting minor, low risk registration Committee (CAAC) to receive a briefing increasing throughput and amendments to be accomplished from the EPA’s National Center for responsiveness to Agency needs. The through notification, non-notification or Environmental Assessment (NCEA) on CAAC will provide advice to the as accelerated amendments, previously the content and presentation of Administrator through the chartered established in PR Notice 98–10. EPA assessment products to be released at SAB. believes these changes will be useful to early stages of development of draft The NCEA continues to incorporate registrants as it presents a clarified and assessments. These products represent improvements in response to consolidated explanation for an update to the materials released for recommendations from the National accomplishing these registration the purposes of early stakeholder Research Council and the SAB to (1) changes. No significant impacts or costs engagement, as outlined in the ‘‘IRIS improve the scientific integrity of are expected as a result of this proposed enhancements’’ (2013). These materials assessments; (2) improve the

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productivity of the program; and (3) be posted without explicit permission of to Regulations.gov, including any increase transparency so issues are the copyright holder. personal information provided. For identified early in the process. Accessibility: For information on access to the docket to read background Information about this program is access or services for individuals with documents or comments received, go to available at: https://www.epa.gov/iris. disabilities, please contact Dr. Suhair Regulations.gov. Availability of Meeting Materials: Shallal at (202) 564–0257 or at Please note: All public comment Additional background on this SAB [email protected]. To request should be submitted through the activity, the meeting agenda, and other accommodation of a disability, please Federal eRulemaking portal materials for the meeting will be posted contact Dr. Shallal preferably at least ten (Regulations.gov) or by U.S. mail to the on the SAB Web site at http:// days prior to the meeting, to give EPA address listed above. www.epa.gov/sab. as much time as possible to process FOR FURTHER INFORMATION CONTACT: To Procedures for Providing Public Input: your request. request more information on the Public comment for consideration by Dated: August 21, 2017. proposed project or to obtain a copy of EPA’s federal advisory committees and Christopher Zarba, the information collection plan and panels has a different purpose from Director, EPA Science Advisory Board Staff instruments, contact Leroy A. public comment provided to EPA Office. Richardson, Information Collection program offices. Therefore, the process [FR Doc. 2017–18764 Filed 9–5–17; 8:45 am] Review Office, Centers for Disease for submitting comments to a federal Control and Prevention, 1600 Clifton BILLING CODE 6560–50–P advisory committee is different from the Road NE., MS–D74, Atlanta, Georgia process used to submit comments to an 30329; phone: 404–639–7570; Email: EPA program office. Federal advisory [email protected]. DEPARTMENT OF HEALTH AND committees and panels, including HUMAN SERVICES SUPPLEMENTARY INFORMATION: Under the scientific advisory committees, provide Paperwork Reduction Act of 1995 (PRA) independent advice to the EPA. Centers for Disease Control and (44 U.S.C. 3501–3520), Federal agencies Members of the public can submit Prevention must obtain approval from the Office of relevant comments pertaining to the Management and Budget (OMB) for each meeting materials or the group [60-Day–17–17AUQ; Docket No. CDC–2017– collection of information they conduct 0064] conducting this SAB activity. Input or sponsor. In addition, the PRA also from the public to the SAB will have the Proposed Data Collection Submitted requires Federal agencies to provide a most impact if it consists of comments for Public Comment and 60-day notice in the Federal Register that provide specific scientific or Recommendations concerning each proposed collection of technical information or analysis for information, including each new SAB committees and panels to consider AGENCY: Centers for Disease Control and proposed collection, each proposed or if it relates to the clarity or accuracy Prevention (CDC), Department of Health extension of existing collection of of the technical information. Members and Human Services (HHS). information, and each reinstatement of of the public wishing to provide ACTION: Notice with comment period. previously approved information comment should contact the DFO collection before submitting the directly. SUMMARY: The Centers for Disease collection to OMB for approval. To Oral Statements: In general, Control and Prevention (CDC), as part of comply with this requirement, we are individuals or groups requesting an oral its continuing efforts to reduce public publishing this notice of a proposed presentation at a public meeting will be burden and maximize the utility of data collection as described below. limited to five minutes per speaker. government information, invites the Comments are invited on: (a) Whether Interested parties wishing to provide general public and other Federal the proposed collection of information comments should contact Dr. Suhair agencies to take this opportunity to is necessary for the proper performance Shallal, DFO (preferably via email) at comment on proposed and/or of the functions of the agency, including the contact information noted above by continuing information collections, as whether the information shall have September 20, 2017, to be placed on the required by the Paperwork Reduction practical utility; (b) the accuracy of the list of public speakers for the meeting. Act of 1995. This notice invites agency’s estimate of the burden of the Written Statements: Written comment on Mobile Proximity Initial proposed collection of information; (c) statements will be accepted throughout User Feedback information collection ways to enhance the quality, utility, and the advisory process; however, for project. clarity of the information to be timely consideration by Committee DATES: Written comments must be collected; (d) ways to minimize the members, statements should be received on or before November 6, 2017. burden of the collection of information supplied to the DFO (preferably via ADDRESSES: You may submit comments, on respondents, including through the email) at the contact information noted identified by Docket No. CDC–2017– use of automated collection techniques above by September 20, 2017. It is the 0064 by any of the following methods: or other forms of information SAB Staff Office general policy to post • Federal eRulemaking Portal: technology; and (e) estimates of capital written comments on the Web page for Regulations.gov. Follow the instructions or start-up costs and costs of operation, the advisory meeting. Submitters are for submitting comments. maintenance, and purchase of services requested to provide an unsigned • Mail: Leroy A. Richardson, to provide information. Burden means version of each document because the Information Collection Review Office, the total time, effort, or financial SAB Staff Office does not publish Centers for Disease Control and resources expended by persons to documents with signatures on its Web Prevention, 1600 Clifton Road NE., MS– generate, maintain, retain, disclose or sites. Members of the public should be D74, Atlanta, Georgia 30329. provide information to or for a Federal aware that their personal contact Instructions: All submissions received agency. This includes the time needed information, if included in any written must include the agency name and to review instructions; to develop, comments, may be posted to the SAB Docket Number. All relevant comments acquire, install and utilize technology Web site. Copyrighted material will not received will be posted without change and systems for the purpose of

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collecting, validating and verifying equipped with proximity detection study identified a need for additional information, processing and systems (MSHA, 2016b). research related to the performance of maintaining information, and disclosing On January 9 of 2017, MSHA proximity detection systems on mobile and providing information; to train reopened the comment period for equipment. Even though the pilot study personnel and to be able to respond to equipping underground mobile and related, subsequent studies offer a collection of information, to search machines with proximity detection findings, which may potentially data sources, to complete and review systems. MSHA reopened the comment compliment findings from the proposed the collection of information; and to period for two key reasons. First, MSHA study, these studies were not transmit or otherwise disclose the reopened the comment period to specifically designed to focus on human information. explore any additional comments raised factors. Conversely, the proposed study during or following the closing of the focuses on human factors influencing Proposed Project original comment period. Second, the safety and effectiveness of proximity Mobile Proximity Initial User MSHA reopened the comment period to systems installed on underground Feedback—New—National Institute for allow for comments on a field-report on mobile equipment. Occupational Safety and Health proximity detection system utilization The proposed research study involves (NIOSH), Centers for Disease Control in South Africa, which was conducted conducting semi-structured interviews and Prevention (CDC). following the original comment period and optional observations of regularly and presented at the June 22, 2016 assigned job duties with a maximum of Background and Brief Description NIOSH Proximity Detection Partnership 250 mining crew members. To recruit As a part of The National Institute for Meeting. Some of concerns raised were the mines, operators will be contacted. Occupational Safety and Health related to the potential risks that The recruitment conversation is (NIOSH) Pittsburgh Mining Research proximity detection systems on mobile expected to last 15 minutes. Division (PMRD) project Design of equipment might pose for mine workers. Up to 250, 10-minute, semi-structured Proximity Systems for Underground The comments included risk such as interviews will be conducted to collect Mobile Equipment, NIOSH researchers those associated with performing workers’ experiences with and routine maintenance and are looking to assess the current state of perspectives on current proximity troubleshooting tasks, machine proximity systems being used by detection systems on mobile haulage movements, which may result in industry. In conjunction with equipment. To capture a variety of pinning, crushing, or striking accidents, performance based testing, researchers perspectives, various members of the and sudden equipment stops which may are examining the human factors aspects section crews will be invited to harm machine operators. of the systems and their NIOSH researchers are looking to participate in the interviews. implementations. NIOSH is requesting a determine the critical use cases for Prior to the interview, miners will be three-year OMB approval to collect proximity systems on mobile equipment read a verbal informed consent and information. in underground mines. Researchers asked to give verbal affirmation that Striking, pinning, and crushing would like to answer the following they agree to participate in the study. injuries are a serious concern in questions: (1) In which situations do Workers that do not wish to participate underground coal mining, especially proximity detection systems on mobile will be given the opportunity to leave. around mobile equipment. Between haulage hinder normal operation? and Following the interviews, a subset of 2010 and 2014 powered haulage (2) in which situations do proximity mine workers will be observed as a accounted for 24 of the 110 detection systems on mobile haulage section crew of 7 to 13 individuals underground coal fatalities (NIOSH, endanger miners? Researchers are also performing their normal duties for an 2016). During that same time period, the interested in determining what factors hour during their shift. The observation Mine Safety and Health Administration should be considered related to human component is optional for the (MSHA) determined that up to 9 of machine interfaces when implementing individuals. Since the participant will these fatalities were striking, pinning, or proximity systems on mobile equipment be performing regular job duties during crushing accidents that may have been in underground mines. Specifically, the observation, this does not require prevented by proximity detection researchers hope to answer the any additional time from the systems on coal haulage machines or following questions: (1) What is the participant. To observe crew members scoops (MSHA, 2016a). Following the expected behavior of a proximity in a designated section, researchers will final rule requiring proximity detection detection system on mobile haulage? obtain verbal consent from all miners systems on continuous mining and (2) What are the desired user who may be observed. If a crew member machines, on September 2, 2015, MSHA features of a proximity detection system working in a designated section chooses published a proposed rule requiring on mobile haulage? to be excluded from the study, the proximity systems on mobile machines Previously, NIOSH conducted a pilot section will not be observed. in underground coal mines (MSHA, study on proximity detection systems Observation will focus on general 2015a; 2015b). Though the rule is still on mobile equipment used in behavior with and around the proximity under development, MSHA reported underground coal mines. The pilot system. that by June of 2015, 155 of study involved determining the required The total estimated time burden is 44 approximately 2,116 coal haulage stopping distances and times for mobile hours. There are no costs to respondents machines and scoops had been equipment. Findings from the pilot other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total burden Type of respondents Form name respondents responses per response (in hours) respondent (in hours)

Mine Operators ...... Mine Recruitment Script ...... 6 1 15/60 2

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

Average Number of Number of burden per Total burden Type of respondents Form name respondents responses per response (in hours) respondent (in hours)

Crew Members ...... Interview protocol ...... 250 1 10/60 42

Total ...... 44

Leroy A. Richardson, DEPARTMENT OF HEALTH AND instructions for submitting comments. Chief, Information Collection Review Office, HUMAN SERVICES Comments submitted electronically, Office of Scientific Integrity, Office of the including attachments, to https:// Associate Director for Science, Office of the Food and Drug Administration www.regulations.gov will be posted to Director, Centers for Disease Control and [Docket No. FDA–2017–N–4625] the docket unchanged. Because your Prevention. comment will be made public, you are [FR Doc. 2017–18814 Filed 9–5–17; 8:45 am] Development of a List of Pre-Dietary solely responsible for ensuring that your BILLING CODE 4163–18–P Supplement Health and Education Act comment does not include any Dietary Ingredients; Public Meeting; confidential information that you or a Request for Comments third party may not wish to be posted, DEPARTMENT OF HEALTH AND such as medical information, your or HUMAN SERVICES AGENCY: Food and Drug Administration, anyone else’s Social Security number, or HHS. confidential business information, such Food and Drug Administration ACTION: Notice of public meeting; as a manufacturing process. Please note request for comments. that if you include your name, contact [Docket No. FDA–2017–N–4642] information, or other information that SUMMARY: The Food and Drug identifies you in the body of your Administration (FDA or we) is B. Braun Medical, Inc.; Withdrawal of comments, that information will be announcing the following public Approval of Three New Drug posted on https://www.regulations.gov. meeting entitled ‘‘Development of a List Applications and One Abbreviated New • If you want to submit a comment of Pre-DSHEA Dietary Ingredients.’’ The Drug Application; Correction with confidential information that you purpose of the meeting is to give do not wish to be made available to the AGENCY: Food and Drug Administration, interested stakeholders an opportunity public, submit the comment as a HHS. to discuss issues related to FDA’s future written/paper submission and in the ACTION development of such a list. : Notice; correction. manner detailed (see ‘‘Written/Paper DATES: The public meeting will be held Submissions’’ and ‘‘Instructions’’). SUMMARY: The Food and Drug on October 3, 2017, from 8 a.m. to 5 Administration (FDA) is correcting a p.m. Submit either electronic or written Written/Paper Submissions document entitled ‘‘B. Braun Medical, comments on this public meeting by Submit written/paper submissions as Inc.; Withdrawal of Approval of Three December 4, 2017. See the follows: New Drug Applications and One SUPPLEMENTARY INFORMATION section for • Mail/Hand delivery/Courier (for Abbreviated New Drug Application’’ registration date and information. written/paper submissions): Dockets that appeared in the Federal Register of ADDRESSES: The public meeting will be Management Staff (HFA–305), Food and August 3, 2017 (82 FR 36150). The held at FDA’s Center for Food Safety Drug Administration, 5630 Fishers document was published with the and Applied Nutrition, Wiley Lane, Rm. 1061, Rockville, MD 20852. incorrect docket number. This Auditorium, 5001 Campus Dr., College • For written/paper comments document corrects that error. Park, MD 20740. submitted to the Dockets Management FOR FURTHER INFORMATION CONTACT: Lisa You may submit comments as Staff, FDA will post your comment, as Granger, Office of Policy, Food and Drug follows. Please note that late, untimely well as any attachments, except for Administration, Bldg. 32, Rm. 3330, filed comments will not be considered. information submitted, marked and Silver Spring, MD 20993–0002, 301– Electronic comments must be submitted identified, as confidential, if submitted 796–9115. on or before December 4, 2017. The as detailed in ‘‘Instructions.’’ SUPPLEMENTARY INFORMATION: In the https://www.regulations.gov electronic Instructions: All submissions received Federal Register of Thursday, August 3, filing system will accept comments must include the Docket No. FDA– 2017, in FR Doc. 2017–16377, on page until midnight Eastern Time at the end 2017–N–4625 for ‘‘Development of a 36150, the following correction is made: of December 4, 2017. Comments List of Pre-DSHEA Dietary Ingredients; 1. On page 36150, in the second received by mail/hand delivery/courier Public Meeting; Request for Comments.’’ column, in the header of the document, (for written/paper submissions) will be Received comments, those filed in a ‘‘Docket No. FDA–2017–N–0002’’ is considered timely if they are timely manner (see ADDRESSES), will be corrected to read ‘‘Docket No. FDA– postmarked or the delivery service placed in the docket and, except for 2017–N–4642’’. acceptance receipt is on or before that those submitted as ‘‘Confidential date. Submissions,’’ publicly viewable at Dated: August 28, 2017. https://www.regulations.gov or at the Anna K. Abram, Electronic Submissions Dockets Management Staff between 9 Deputy Commissioner for Policy, Planning, Submit electronic comments in the a.m. and 4 p.m., Monday through Legislation, and Analysis. following way: Friday. [FR Doc. 2017–18813 Filed 9–5–17; 8:45 am] • Federal eRulemaking Portal: • Confidential Submissions—To BILLING CODE 4164–01–P https://www.regulations.gov. Follow the submit a comment with confidential

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information that you do not wish to be supplement containing an NDI, and in be added to the list. We believe that made publicly available, submit your preparing such premarket safety public discussion of these issues will be comments only as a written/paper notifications (also referred to as NDI beneficial as we work toward submission. You should submit two notifications). The Dietary Supplement development of a list of pre-DSHEA copies total. One copy will include the Health and Education Act of 1994 dietary ingredients. information you claim to be confidential (DSHEA) (Pub. L. 103–417) amended II. Topics for Discussion at the Public with a heading or cover note that states the Federal Food, Drug, and Cosmetic Meeting ‘‘THIS DOCUMENT CONTAINS Act (FD&C Act) by adding, among other CONFIDENTIAL INFORMATION.’’ We provisions: (1) Section 201(ff) of the The public meeting will have two will review this copy, including the FD&C Act (21 U.S.C. 321(ff)), which separate panels. Each panel will be claimed confidential information, in our defines the term ‘‘dietary supplement’’ followed by an opportunity for open consideration of comments. The second and (2) section 413 of the FD&C Act (21 public comment. In addition, there will copy, which will have the claimed U.S.C. 350(b)), which describes be an opportunity for interested confidential information redacted/ requirements for NDIs. Under DSHEA, stakeholders to submit additional blacked out, will be available for public dietary ingredients marketed in the written comments following the viewing and posted on https:// United States before October 15, 1994, meeting. www.regulations.gov. Submit both are not NDIs and therefore are not The first panel will discuss what copies to the Dockets Management Staff. subject to the premarket notification standard of evidence is necessary to If you do not wish your name and requirements in section 413 of the FD&C determine that an ingredient was contact information to be made publicly Act. The revised draft guidance marketed before October 15, 1994. This available, you can provide this addressed, among other things, panel may address, among other things, information on the cover sheet and not considerations related to determining what types and quantity of evidence in the body of your comments and you when a dietary ingredient is not new may suffice to demonstrate that a must identify this information as and therefore does not require a NDI dietary ingredient was marketed in the ‘‘confidential.’’ Any information marked notification. United States prior to October 15, 1994, as ‘‘confidential’’ will not be disclosed In the revised draft guidance, we as well as how specifically or generally except in accordance with 21 CFR 10.20 stated our willingness to compile an an ingredient on the list may be and other applicable disclosure law. For authoritative list of pre-October 15, identified depending on the evidence more information about FDA’s posting 1994, dietary ingredients based on presented for that ingredient. In of comments to public dockets, see 80 independent and verifiable data to be addition, this discussion may also FR 56469, September 18, 2015, or access supplied by industry. Although we are address whether certain botanical the information at: https://www.gpo.gov/ aware that several trade associations preparations can be accepted as ‘‘old’’ if fdsys/pkg/FR-2015-09-18/pdf/2015- and industry groups have the plant is demonstrated to be ‘‘old,’’ 23389.pdf. independently developed their own and whether certain classes of Docket: For access to the docket to unofficial lists of ingredients that they ingredients can be considered ‘‘old’’ read background documents or the believe were marketed before October based on common documentation. electronic and written/paper comments 15, 1994 (sometimes referred to as During the open comment period received, go to https:// ‘‘grandfathered’’ or ‘‘old’’ dietary following this first panel, we will www.regulations.gov and insert the ingredients), we are unable to verify the specifically invite comment about docket number, found in brackets in the accuracy of those lists and therefore whether there are any considerations heading of this document, into the have never recognized or sanctioned specific to certain classes or types of ‘‘Search’’ box and follow the prompts any of them. We also have never ingredients that should be taken into and/or go to the Dockets Management compiled our own list. account as we develop the list. Staff, 5630 Fishers Lane, Rm. 1061, An authoritative list would provide The second panel will discuss issues Rockville, MD 20852. benefits to both industry and FDA. By related to the process that should be FOR FURTHER INFORMATION CONTACT: providing clarity as to which used to develop the list. This includes, Juanita Yates, Center for Food Safety ingredients do not require notifications, but is not limited to, the processes for and Applied Nutrition (HFS–009), Food it would alleviate the burden on nominating and reviewing ingredients; and Drug Administration, 5001 Campus industry of preparing and submitting whether an outside panel should be Dr., College Park, MD 20740, 240–402– unnecessary notifications. Similarly, by convened and, if so, the composition 1731, email: [email protected]. eliminating unnecessary notifications, and role of that panel; how information an authoritative list would enable us to SUPPLEMENTARY INFORMATION: that is claimed to be confidential should more efficiently use our limited be treated; and what the ultimate list I. Background resources to review notifications for should look like. In the Federal Register of August 12, truly ‘‘new’’ ingredients. In addition, an The topics discussed at the public 2016 (81 FR 53486), we issued a notice authoritative list would allow us to meeting, both during the panel announcing the availability of a revised better focus our enforcement efforts in discussions and during open public draft guidance for industry entitled, alignment with our strategic priorities of comment periods, as well as written ‘‘Dietary Supplements: New Dietary consumer safety, product integrity, and comments submitted after the meeting, Ingredient Notifications and Related accurate information. will help us determine how to develop We have received and are reviewing Issues.’’ 1 The revised draft guidance, this list of old dietary ingredients. comments on the 2016 revised draft when finalized, will help industry in guidance. The comments generally III. Participating in the Public Meeting evaluating whether to submit a support the idea that we should develop Registration: To register for the public premarket safety notification for a new a list of pre-DSHEA dietary ingredients, meeting, please visit the following Web dietary ingredient (NDI), or for a dietary but reflect opinions both on the site: https://www.fda.gov/Food/ 1 https://www.fda.gov/food/guidanceregulation/ standard of evidence for demonstrating NewsEvents/ guidancedocumentsregulatoryinformation/ that an ingredient is pre-DSHEA and on WorkshopsMeetingsConferences/ dietarysupplements/ucm257563.htm. the process by which ingredients should default.htm. Please provide complete

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contact information for each attendee, DEPARTMENT OF HEALTH AND ‘‘CDER Rare Diseases Public Workshop: including name, title, affiliation, HUMAN SERVICES Strategies, Tools, and Best Practices for address, email, and telephone. Effective Advocacy in Rare Diseases Food and Drug Administration Registration is free and based on Drug Development.’’ The purpose of the space availability, with priority given to [Docket No. FDA–2017–N–0001] public workshop, consistent with FDA’s early registrants. Persons interested in broad effort to more comprehensively attending this public meeting must Food and Drug Administration, Center include patients’ perspectives and for Drug Evaluation and Research Rare register by midnight Eastern Time on experiences with a disease or condition Diseases Public Workshop: Strategies, September 25, 2017. Early registration is in the drug development process, Tools, and Best Practices for Effective recommended because seating is including through implementation of Advocacy in Rare Diseases Drug the ‘‘Patient-Focused Drug limited; therefore, FDA may limit the Development number of participants from each Development’’ provisions of the Cures organization. Registrants will receive AGENCY: Food and Drug Administration, Act, is to aid in bridging the gap confirmation when they have been HHS. between rare disease patients’ stories accepted. ACTION: Notice of public workshop. and data needed to support drug development. This public workshop If you need special accommodations SUMMARY: The Food and Drug will include presentations on strategies, due to a disability, please contact Administration (FDA), Center for Drug tools, and best practices on key aspects Juanita Yates (see FOR FURTHER Evaluation and Research (CDER), is of rare diseases drug development and INFORMATION CONTACT) no later than sponsoring a public workshop entitled engaging with FDA. There will be an September 18, 2017. ‘‘CDER Rare Diseases Public Workshop: opportunity for questions and answers Requests for Oral Presentations: Strategies, Tools, and Best Practices for following each presentation. During online registration you may Effective Advocacy in Rare Diseases Registration: There is no registration indicate if you wish to present during a Drug Development.’’ This public fee to attend the public workshop. Early public comment session and which workshop builds upon previous CDER registration is recommended because topic(s) you wish to address. We will do patient advocacy public workshops and seating is limited, and registration will our best to accommodate requests to is primarily for the rare disease be on a first-come, first-served basis. make public comments. Individuals and community to help them effectively understand what FDA needs to enhance There will be no onsite registration. organizations with common interests are drug development. This effort is Persons interested in attending this urged to consolidate or coordinate their consistent with FDA’s efforts to support public workshop must register online at presentations and request time for a the integration of patient experience in https://www.fda.gov/Drugs/NewsEvents/ joint presentation. All requests to make drug development programs, including ucm565398.htm before September 30, oral presentations must be received by through implementation of the ‘‘Patient- 2017. For those without internet access, September 18, 2017. We will determine Focused Drug Development’’ provisions please contact Francis Kalush (see FOR the amount of time allotted to each of the 21st Century Cures Act (Cures FURTHER INFORMATION CONTACT) to presenter and will select and notify Act). This public workshop will include register. participants by September 25, 2017. case studies demonstrating the If you need special accommodations Streaming Webcast of the Public beneficial overlap of effective advocacy due to a disability, please contact Meeting: This public meeting will also techniques and FDA regulations in rare Francis Kalush (see FOR FURTHER be webcast. Please visit the following disease drug development. INFORMATION CONTACT) no later than Web site to register: https:// DATES: The public workshop will be October 23, 2017. www.fda.gov/Food/NewsEvents/ held on October 30, 2017, from 8 a.m. WorkshopsMeetingsConferences/ to 5 p.m. Transcripts: A transcript of the public default.htm. ADDRESSES: The public workshop will workshop will be available for review at the Dockets Management Staff (HFA– FDA has verified the Web site be held at FDA White Oak Campus, 10903 New Hampshire Ave., Bldg. 31 305), Food and Drug Administration, addresses, as of the date this document (the Great Room), Silver Spring, MD 5630 Fishers Lane, Rm. 1061, Rockville, publishes in the Federal Register, but 20993. Entrance for the public MD 20852, and on the internet at Web sites are subject to change over workshop participants (non-FDA https://www.regulations.gov time. employees) is through Building 1 where approximately 30 days after the public Transcripts: Please be advised that as routine security check procedures will workshop. Transcripts will also be soon as a transcript of the public be performed. For parking and security available in either hard copy or on CD– meeting is available, it will be accessible information, please refer to https:// ROM, after submission of a Freedom of at https://www.regulations.gov. It may www.fda.gov/AboutFDA/ Information request. The Freedom of be viewed at the Dockets Management WorkingatFDA/BuildingsandFacilities/ Information office address is available Staff (see ADDRESSES). A link to the WhiteOakCampusInformation/ on the Agency’s Web site at https:// transcript will also be available on the ucm241740.htm. www.fda.gov. Internet at https://www.fda.gov/Food/ FOR FURTHER INFORMATION CONTACT: Dated: August 30, 2017. DietarySupplements/default.htm. Francis Kalush, Center for Drug Anna K. Abram, Dated: August 28, 2017. Evaluation and Research, Food and Deputy Commissioner for Policy, Planning, Anna K. Abram, Drug Administration, 10903 New Hampshire Ave., Silver Spring, MD Legislation, and Analysis. Deputy Commissioner for Policy, Planning, 20993–0002, 301–796–5429, PASE- [FR Doc. 2017–18810 Filed 9–5–17; 8:45 am] Legislation, and Analysis. [email protected] BILLING CODE 4164–01–P [FR Doc. 2017–18812 Filed 9–5–17; 8:45 am] SUPPLEMENTARY INFORMATION: FDA is BILLING CODE 4164–01–P announcing a public workshop entitled

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DEPARTMENT OF HEALTH AND for reasons of safety or effectiveness or dydrogesterone and the drug product HUMAN SERVICES if FDA determines that the listed drug dydrogesterone tablets have a was withdrawn from sale for reasons of monograph in the current United States Food and Drug Administration safety or effectiveness (21 CFR 314.162). Pharmacopeia, public information A person may petition the Agency to indicates that Solvay discontinued the [Docket No. FDA–2016–P–2675] determine, or the Agency may product for commercial reasons, there Determination That GYNOREST determine on its own initiative, whether has been no notice in the Federal (Dydrogesterone) Oral Tablets, 5 a listed drug was withdrawn from sale Register reflecting an Agency Milligrams and 10 Milligrams, Were Not for reasons of safety or effectiveness. determination that the product was Withdrawn From Sale for Reasons of This determination may be made at any withdrawn for reasons of safety or Safety or Effectiveness time after the drug has been withdrawn effectiveness, and dydrogesterone oral from sale, but must be made prior to tablets are being sold in many other AGENCY: Food and Drug Administration, approving an ANDA that refers to the countries. HHS. listed drug (§ 314.161 (21 CFR 314.161)). We have carefully reviewed our files ACTION: Notice. FDA may not approve an ANDA that for records concerning the withdrawal does not refer to a listed drug. of GYNOREST (dydrogesterone) oral SUMMARY: The Food and Drug GYNOREST (dydrogesterone) oral tablets, 5 mg and 10 mg, from sale. We Administration (FDA or Agency) has tablets, 5 mg and 10 mg, are the subject have also independently evaluated determined that GYNOREST of NDA 017388, held by Solvay relevant literature and data for possible (dydrogesterone) oral tablets, 5 Pharmaceuticals (Solvay), and initially post-marketing adverse events. We have milligrams (mg) and 10 mg, were not approved on October 31, 1978. found no information that would withdrawn from sale for reasons of GYNOREST is indicated for amenorrhea indicate that this drug product was safety or effectiveness. This and abnormal uterine bleeding due to withdrawn from sale for reasons of determination will allow FDA to hormonal imbalance in the absence of safety or effectiveness. approve abbreviated new drug organic pathology, such as submucous Accordingly, the Agency will applications (ANDAs) for GYNOREST fibroids or uterine cancer. continue to list GYNOREST Solvay never marketed GYNOREST (dydrogesterone) oral tablets, 5 mg and (dydrogesterone) oral tablets, 5 mg and (dydrogesterone) oral tablets, 5 mg and 10 mg, if all other legal and regulatory 10 mg, in the ‘‘Discontinued Drug 10 mg, under NDA 017388.1 In previous requirements are met. Product List’’ section of the Orange instances (see e.g., 72 FR 9763, March FOR FURTHER INFORMATION CONTACT: Book. The ‘‘Discontinued Drug Product 5, 2007, and 61 FR 25497, May 21, Stefanie Kraus, Center for Drug List’’ delineates, among other items, 1996), the Agency has determined that, Evaluation and Research, Food and drug products that have been for purposes of §§ 314.61 and 314.162, Drug Administration, 10903 New discontinued from marketing for reasons never marketing an approved drug Hampshire Ave., Bldg. 51, Rm. 6214, other than safety or effectiveness. product is equivalent to withdrawing Silver Spring, MD 20993–0002, 301– the drug from sale. In a letter dated June ANDAs that refer to GYNOREST 796–9585. 1, 1992, Solvay requested withdrawal of (dydrogesterone) oral tablets, 5 mg and SUPPLEMENTARY INFORMATION: In 1984, NDA 017388 for GYNOREST 10 mg, may be approved by the Agency Congress enacted the Drug Price (dydrogesterone) oral tablets, 5 mg and as long as they meet all other legal and Competition and Patent Term 10 mg. In the Federal Register of June regulatory requirements for the approval Restoration Act of 1984 (Pub. L. 98–417) 25, 1993 (58 FR 34466), FDA announced of ANDAs. If FDA determines that (the 1984 amendments), which that it was withdrawing approval of labeling for this drug product should be authorized the approval of duplicate NDA 017388, effective July 26, 1993. revised to meet current standards, the versions of drug products under an Foley and Lardner LLP submitted a Agency will advise ANDA applicants to ANDA procedure. ANDA applicants citizen petition dated September 7, 2016 submit such labeling. must, with certain exceptions, show that (Docket No. FDA–2016–P–2675), under Dated: August 28, 2017. the drug for which they are seeking 21 CFR 10.30, requesting that the Anna K. Abram, approval contains the same active Agency determine whether GYNOREST Deputy Commissioner for Policy, Planning, ingredient in the same strength and (dydrogesterone) oral tablets, 5 mg and Legislation, and Analysis. dosage form as the ‘‘listed drug,’’ which 10 mg, were withdrawn from sale for [FR Doc. 2017–18816 Filed 9–5–17; 8:45 am] is a version of the drug that was reasons of safety or effectiveness. BILLING CODE 4164–01–P previously approved. ANDA applicants After considering the citizen petition do not have to repeat the extensive and reviewing Agency records, and clinical testing otherwise necessary to based on the information we have at this DEPARTMENT OF HEALTH AND gain approval of a new drug application time, FDA has determined under HUMAN SERVICES (NDA). § 314.161 that GYNOREST The 1984 amendments include what (dydrogesterone) oral tablets, 5 mg and Food and Drug Administration is now section 505(j)(7) of the Federal 10 mg, were not withdrawn for reasons Food, Drug, and Cosmetic Act (21 U.S.C. of safety or effectiveness. The petitioner [Docket No. FDA–2015–D–4852] 355(j)(7)), which requires FDA to states that GYNOREST (dydrogesterone) publish a list of all approved drugs. oral tablets, 5 mg and 10 mg, were not Design Considerations and Premarket FDA publishes this list as part of the withdrawn for reasons of safety and Submission Recommendations for ‘‘Approved Drug Products With effectiveness because the active Interoperable Medical Devices; Therapeutic Equivalence Evaluations,’’ pharmaceutical ingredient Guidance for Industry and Food and which is known generally as the Drug Administration Staff; Availability ‘‘Orange Book.’’ Under FDA regulations, 1 GYNOREST was marketed in the United States under a supplement to NDA 012985 for AGENCY: Food and Drug Administration, drugs are removed from the list if the DUPHASTON (dydrogesterone, oral tablets). HHS. Agency withdraws or suspends Distribution of GYNOREST under the ACTION: Notice. approval of the drug’s NDA or ANDA DUPHASTON NDA discontinued around 1981.

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SUMMARY: The Food and Drug Staff, FDA will post your comment, as SUPPLEMENTARY INFORMATION section for Administration (FDA or Agency) is well as any attachments, except for information on electronic access to the announcing the availability of the information submitted, marked and guidance. Submit written requests for a guidance entitled ‘‘Design identified, as confidential, if submitted single hard copy of the guidance Considerations and Pre-market as detailed in ‘‘Instructions.’’ document entitled ‘‘Design Submission Recommendations for Instructions: All submissions received Considerations and Premarket Interoperable Medical Devices.’’ FDA is must include the Docket No. FDA– Submission Recommendations for issuing this guidance to assist industry 2015–D–4852 for ‘‘Design Interoperable Medical Devices’’ to the and FDA staff in identifying specific Considerations and Premarket Office of the Center Director, Guidance considerations related to the ability of Submission Recommendations for and Policy Development, Center for electronic medical devices to safely and Interoperable Medical Devices.’’ Devices and Radiological Health, Food effectively exchange and use exchanged Received comments will be placed in and Drug Administration, 10903 New information. This document highlights the docket and, except for those Hampshire Ave., Bldg. 66, Rm. 5431, considerations that should be included submitted as ‘‘Confidential Silver Spring, MD 20993–0002 or the in the development and design of Submissions,’’ publicly viewable at Office of Communication, Outreach, and interoperable medical devices and https://www.regulations.gov or at the Development, Center for Biologics provides recommendations for the Dockets Management Staff office Evaluation and Research, Food and content of premarket submissions and between 9 a.m. and 4 p.m., Monday Drug Administration, 10903 New labeling for such devices. through Friday. • Hampshire Ave., Bldg. 71, Rm. 3128, DATES: The announcement of the Confidential Submissions—To Silver Spring, MD 20993–0002. Send guidance is published in the Federal submit a comment with confidential one self-addressed adhesive label to Register on September 6, 2017. information that you do not wish to be assist that office in processing your ADDRESSES: You may submit either made publicly available, submit your request. electronic or written comments on comments only as a written/paper submission. You should submit two FOR FURTHER INFORMATION CONTACT: Agency guidances at any time as Heather Agler, Center for Devices and follows: copies total. One copy will include the information you claim to be confidential Radiological Health, Food and Drug Electronic Submissions with a heading or cover note that states Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 5570, Silver Spring, Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS MD 20993–0002, 301–796–6340; and following way: CONFIDENTIAL INFORMATION.’’ The • Federal eRulemaking Portal: Agency will review this copy, including Stephen Ripley, Center for Biologics https://www.regulations.gov. Follow the the claimed confidential information, in Evaluation and Research, Food and instructions for submitting comments. its consideration of comments. The Drug Administration, 10903 New Comments submitted electronically, second copy, which will have the Hampshire Ave., Bldg. 71, Rm. 7301, including attachments, to https:// claimed confidential information Silver Spring, MD 20993–0002, 301– www.regulations.gov will be posted to redacted/blacked out, will be available 240–402–7911. the docket unchanged. Because your for public viewing and posted on SUPPLEMENTARY INFORMATION: https://www.regulations.gov. Submit comment will be made public, you are I. Background solely responsible for ensuring that your both copies to the Dockets Management comment does not include any Staff. If you do not wish your name and The need and desire to connect confidential information that you or a contact information to be made publicly medical devices to other products, third party may not wish to be posted, available, you can provide this technologies, and systems is growing in such as medical information, your or information on the cover sheet and not the health care community. As anyone else’s Social Security number, or in the body of your comments and you electronic medical devices are confidential business information, such must identify this information as increasingly connected to each other as a manufacturing process. Please note ‘‘confidential.’’ Any information marked and to other technology, the ability of that if you include your name, contact as ‘‘confidential’’ will not be disclosed these connected systems to safely and information, or other information that except in accordance with 21 CFR 10.20 effectively exchange information and identifies you in the body of your and other applicable disclosure law. For use the information that has been comments, that information will be more information about FDA’s posting exchanged becomes increasingly posted on https://www.regulations.gov. of comments to public dockets, see 80 important. Advancing the ability of • If you want to submit a comment FR 56469, September 18, 2015, or access medical devices to exchange and use with confidential information that you the information at: https://www.gpo.gov/ information safely and effectively with do not wish to be made available to the fdsys/pkg/FR-2015-09-18/pdf/2015- other medical devices, as well as other public, submit the comment as a 23389.pdf. technology, offers the potential to written/paper submission and in the Docket: For access to the docket to increase efficiency in patient care. manner detailed (see ‘‘Written/Paper read background documents or the FDA intends to promote the Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments development and availability of safe and received, go to https:// effective interoperable medical devices. Written/Paper Submissions www.regulations.gov and insert the FDA is issuing this guidance to assist Submit written/paper submissions as docket number, found in brackets in the industry and FDA staff in identifying follows: heading of this document, into the specific considerations related to the • Mail/Hand delivery/Courier (for ‘‘Search’’ box and follow the prompts ability of electronic medical devices to written/paper submissions): Dockets and/or go to the Dockets Management safely and effectively exchange Management Staff (HFA–305), Food and Staff, 5630 Fishers Lane, Rm. 1061, information and use exchanged Drug Administration, 5630 Fishers Rockville, MD 20852. information. This document highlights Lane, Rm. 1061, Rockville, MD 20852. An electronic copy of the guidance considerations that should be included • For written/paper comments document is available for download in the development and design of submitted to the Dockets Management from the Internet. See the interoperable medical devices and

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provides recommendations for the control number 0910–0332; the allow FDA to approve abbreviated new content of premarket submissions and collections of information in 21 CFR drug applications (ANDAs) for labeling for such devices. part 601 have been approved under methylphenidate hydrochloride In the Federal Register of January 26, OMB control number 0910–0338; the extended-release capsules, 60 mg, if all 2016 (81 FR 4303), FDA announced the collections of information in 21 CFR other legal and regulatory requirements availability of the draft of this guidance parts 801 and 809 have been approved are met. and interested persons were invited to under OMB control number 0910–0485; FOR FURTHER INFORMATION CONTACT: comment by March 28, 2016. The and the collections of information in 21 Christopher Koepke, Center for Drug comment period was extended on CFR parts 610 and 660 have been Evaluation and Research, Food and February 23, 2016 (81 FR 8966), to April approved under OMB control number Drug Administration, 10903 New 28, 2016. FDA has considered all of the 0910–0338. Hampshire Ave., Bldg. 51, Rm. 6224, public comments received in finalizing IV. Electronic Access Silver Spring, MD 20993–0002, 240– this guidance. 402–3543. FDA recognizes and anticipates that Persons interested in obtaining a copy the Agency and industry may need up of the guidance may do so by SUPPLEMENTARY INFORMATION: In 1984, to 60 days to perform activities to downloading an electronic copy from Congress enacted the Drug Price operationalize the policies within the the Internet. A search capability for all Competition and Patent Term guidance. If new information regarding Center for Devices and Radiological Restoration Act of 1984 (Pub. L. 98–417) device interoperability as outlined in Health guidance documents is available (the 1984 amendments), which this guidance is not included in a at https://www.fda.gov/MedicalDevices/ authorized the approval of duplicate premarket submission received by FDA DeviceRegulationandGuidance/ versions of drug products under an before or up to 60 days after the GuidanceDocuments/default.htm. ANDA procedure. ANDA applicants publication of this guidance, CDRH staff Guidance documents are also available must, with certain exceptions, show that does not generally intend to request at https://www.fda.gov/BiologicsBlood the drug for which they are seeking such information during the review of Vaccines/GuidanceCompliance approval contains the same active the submission. CDRH does, however, RegulatoryInformation/default.htm or ingredient in the same strength and intend to review any such information https://www.regulations.gov. Persons dosage form as the ‘‘listed drug,’’ which if submitted. unable to download an electronic copy is a version of the drug that was of ‘‘Design Considerations and previously approved. ANDA applicants II. Significance of Guidance Premarket Submission do not have to repeat the extensive This guidance is being issued Recommendations for Interoperable clinical testing otherwise necessary to consistent with FDA’s good guidance Medical Devices’’ may send an email gain approval of a new drug application practices regulation (21 CFR 10.115). request to [email protected] (NDA). The guidance represents the current to receive an electronic copy of the The 1984 amendments include what thinking of FDA on ‘‘Design document. Please use the document is now section 505(j)(7) of the Federal Considerations and Premarket number 1500015 to identify the Food, Drug, and Cosmetic Act (21 U.S.C. Submission Recommendations for guidance you are requesting. 355(j)(7)), which requires FDA to publish a list of all approved drugs. Interoperable Medical Devices.’’ It does Dated: August 30, 2017. not establish any rights for any person FDA publishes this list as part of the Leslie Kux, and is not binding on FDA or the public. ‘‘Approved Drug Products With You can use an alternative approach if Associate Commissioner for Policy. Therapeutic Equivalence Evaluations,’’ it satisfies the requirements of the [FR Doc. 2017–18815 Filed 9–5–17; 8:45 am] which is known generally as the applicable statutes and regulations. This BILLING CODE 4164–01–P ‘‘Orange Book.’’ Under FDA regulations, guidance is not subject to Executive drugs are removed from the list if the Order 12866. Agency withdraws or suspends DEPARTMENT OF HEALTH AND approval of the drug’s NDA or ANDA III. Paperwork Reduction Act of 1995 HUMAN SERVICES for reasons of safety or effectiveness or This guidance refers to previously Food and Drug Administration if FDA determines that the listed drug approved collections of information was withdrawn from sale for reasons of found in FDA regulations. These [Docket No. FDA–2017–P–2496] safety or effectiveness (21 CFR 314.162). collections of information are subject to A person may petition the Agency to review by the Office of Management and Determination That RITALIN LA determine, or the Agency may Budget (OMB) under the Paperwork (Methylphenidate Hydrochloride) determine on its own initiative, whether Reduction Act of 1995 (44 U.S.C. 3501– Extended-Release Capsules, 60 a listed drug was withdrawn from sale 3520). The collections of information in Milligrams, Were Not Withdrawn From for reasons of safety or effectiveness. 21 CFR part 820 have been approved Sale for Reasons of Safety or This determination may be made at any under OMB control number 0910–0073; Effectiveness time after the drug has been withdrawn the collections of information in 21 CFR AGENCY: Food and Drug Administration, from sale, but must be made prior to part 812 have been approved under HHS. approving an ANDA that refers to the OMB control number 0910–0078; the ACTION: Notice. listed drug (21 CFR 314.161). FDA may collections of information in 21 CFR not approve an ANDA that does not part 807, subpart E, have been approved SUMMARY: The Food and Drug refer to a listed drug. under OMB control number 0910–0120; Administration (FDA or Agency) has RITALIN LA (methylphenidate the collections of information in 21 CFR determined that RITALIN LA hydrochloride) extended-release part 814, subparts A through E, have (methylphenidate hydrochloride) capsules, 60 mg, are the subject of NDA been approved under OMB control extended-release capsules, 60 021284, held by Novartis number 0910–0231; the collections of milligrams (mg), were not withdrawn Pharmaceuticals Corp. (Novartis) and information in 21 CFR part 814, subpart from sale for reasons of safety or initially approved on October 27, 2014. H have been approved under OMB effectiveness. This determination will RITALIN LA is indicated for the

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treatment of Attention Deficit Dated: August 28, 2017. p.m., National Cancer Institute—Shady Hyperactivity Disorder (ADHD). Anna K. Abram, Grove, 9609 Medical Center Drive, In a letter dated March 23, 2016, Deputy Commissioner for Policy, Planning, Conference Room TE406 and TE408, Novartis notified FDA that RITALIN LA Legislation, and Analysis. Rockville, MD, 20850 (Virtual Meeting) (methylphenidate hydrochloride) [FR Doc. 2017–18817 Filed 9–5–17; 8:45 am] which was published in the Federal extended-release capsules, 60 mg, were BILLING CODE 4164–01–P Register on August 14, 2017, 82 FR being discontinued, and FDA moved the 37885. drug product to the ‘‘Discontinued Drug The meeting notice is amended to Product List’’ section of the Orange DEPARTMENT OF HEALTH AND change the times of the open and closed Book. HUMAN SERVICES sessions. The open session will end at 2:15 p.m. The closed session will begin Abhai, LLC, submitted a citizen National Institutes of Health at 2:30 p.m. and end at 3:30 p.m. The petition dated April 19, 2017 (Docket meeting is partially closed to the public. No. FDA–2017–P–2496), under 21 CFR National Institute on Aging; Notice of 10.30, requesting that the Agency Closed Meeting Dated: August 30, 2017. determine whether RITALIN LA Melanie J. Pantoja, Pursuant to section 10(d) of the (methylphenidate hydrochloride) Program Analyst Office of Federal Advisory Federal Advisory Committee Act, as extended-release capsules, 60 mg, were Committee Policy. amended, notice is hereby given of the withdrawn from sale for reasons of [FR Doc. 2017–18804 Filed 9–5–17; 8:45 am] following meeting. BILLING CODE 4140–01–P safety or effectiveness. The meeting will be closed to the After considering the citizen petition public in accordance with the and reviewing Agency records, and provisions set forth in sections DEPARTMENT OF HEALTH AND based on the information we have at this 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., HUMAN SERVICES time, FDA has determined under as amended. The grant applications and § 314.161 that RITALIN LA the discussions could disclose National Institutes of Health (methylphenidate hydrochloride) confidential trade secrets or commercial extended-release capsules, 60 mg, were property such as patentable material, National Institute of Diabetes and not withdrawn for reasons of safety or and personal information concerning Digestive and Kidney Diseases; Notice effectiveness. The petitioner has individuals associated with the grant of Closed Meetings identified no data or other information applications, the disclosure of which Pursuant to section 10(d) of the suggesting that RITALIN LA would constitute a clearly unwarranted Federal Advisory Committee Act, as (methylphenidate hydrochloride) invasion of personal privacy. amended, notice is hereby given of the extended-release capsules, 60 mg, were Name of Committee: National Institute on following meetings. withdrawn for reasons of safety or Aging Initial Review Group; Clinical Aging The meetings will be closed to the effectiveness. We have carefully Review Committee. public in accordance with the reviewed our files for records Date: October 5–6, 2017. provisions set forth in sections concerning the withdrawal of RITALIN Time: 3:30 p.m. to 1:00 p.m. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., LA (methylphenidate hydrochloride) Agenda: To review and evaluate grant applications. as amended. The grant applications and extended-release capsules, 60 mg, from the discussions could disclose sale. We have also independently Place: Bethesda Marriott, 5151 Pooks Hill Road, Bethesda, MD 20814. confidential trade secrets or commercial evaluated relevant literature and data Contact Person: Alicja L. Markowska, property such as patentable material, for possible postmarketing adverse Ph.D., DSC, National Institute on Aging, and personal information concerning events. We have reviewed the available National Institutes of Health, Gateway individuals associated with the grant evidence and determined that this drug Building 2C212, 7201 Wisconsin Avenue, applications, the disclosure of which product was not withdrawn from sale Bethesda, MD 20892, 301–496–9666, would constitute a clearly unwarranted [email protected]. for reasons of safety or effectiveness. invasion of personal privacy. (Catalogue of Federal Domestic Assistance Accordingly, the Agency will Name of Committee: National Institute of continue to list RITALIN LA Program Nos. 93.866, Aging Research, National Institutes of Health, HHS) Diabetes and Digestive and Kidney Diseases (methylphenidate hydrochloride) Special Emphasis Panel; PAR–15–067: extended-release capsules, 60 mg, in the Dated: August 30, 2017. NIDDK Multi-Center Clinical Study ‘‘Discontinued Drug Product List’’ Melanie J. Pantoja, Cooperative Agreement (U01): CKD and Bone section of the Orange Book. The Program Analyst, Office of Federal Advisory Mineral Disorders in Children. ‘‘Discontinued Drug Product List’’ Committee Policy. Date: October 2, 2017. Time: 11:00 a.m. to 2:00 p.m. delineates, among other items, drug [FR Doc. 2017–18805 Filed 9–5–17; 8:45 am] Agenda: To review and evaluate products that have been discontinued BILLING CODE 4140–01–P cooperative agreement applications. from marketing for reasons other than Place: National Institutes of Health, Two safety or effectiveness. ANDAs that refer Democracy Plaza, 6707 Democracy to RITALIN LA (methylphenidate DEPARTMENT OF HEALTH AND Boulevard, Bethesda, MD 20892 (Telephone hydrochloride) extended-release HUMAN SERVICES Conference Call). capsules, 60 mg, may be approved by Contact Person: Najma S. Begum, Ph.D., the Agency as long as they meet all National Institutes of Health Scientific Review Officer, Review Branch, other legal and regulatory requirements DEA, NIDDK, National Institutes of Health, National Cancer Institute Amended Room 7349, 6707 Democracy Boulevard, for the approval of ANDAs. If FDA Notice of Meeting Bethesda, MD 20892–5452, (301) 594–8894, determines that labeling for this drug [email protected]. product should be revised to meet Notice is hereby given of a change in Name of Committee: National Institute of current standards, the Agency will the meeting of the National Cancer Diabetes and Digestive and Kidney Diseases advise ANDA applicants to submit such Advisory Board, September 12, 2017, Special Emphasis Panel, PAR–16–126: High labeling. 1:00 p.m. to September 12, 2017, 4:00 Impact, Interdisciplinary Science in NIDDK

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Research Areas (RC2)—Diabetes, DEPARTMENT OF HOMELAND technological collection techniques or Endocrinology and Metabolic Diseases. SECURITY other forms of information technology, Date: October 10, 2017. e.g., permitting electronic submission of Time: 3:00 p.m. to 4:30 p.m. U.S. Immigration and Customs responses. Agenda: To review and evaluate grant Enforcement applications. Overview of This Information [OMB Control Number 1653–0022] Place: National Institutes of Health, Two Collection Democracy Plaza, 6707 Democracy Agency Information Collection (1) Type of Information Collection: Boulevard, Bethesda, MD 20892 (Telephone Activities; Extension, Without Change, Extension, Without Change, of a Conference Call). of a Currently Approved Collection: Currently Approved Collection. Contact Person: Dianne Camp, Ph.D., Immigration Bond (2) Title of the Form/Collection: Scientific Review Officer, Review Branch, Immigration Bond. DEA, NIDDK, National Institutes of Health, AGENCY: U.S. Immigration and Customs (3) Agency form number, if any, and Room 7013, 6707 Democracy Boulevard, Enforcement, Department of Homeland the applicable component of the Bethesda, MD 20892–2542, 301–594–7682, Security. Department of Homeland Security [email protected]. ACTION: 30-Day notice. sponsoring the collection: Form I–352; Name of Committee: National Institute of USICE. Diabetes and Digestive and Kidney Diseases The Department of Homeland (4) Affected public who will be asked Special Emphasis Panel; PAR–16–034: Security (DHS), U.S. Immigration and or required to respond, as well as a brief Ancillary Studies on Diabetes. Customs Enforcement (USICE) is abstract: Primary: Individual or Date: October 12, 2017. submitting the following information Households, Business or other non- Time: 1:00 p.m. to 2:00 p.m. collection request to the Office of profit. Form I–352 is used by USICE to Agenda: To review and evaluate grant Management and Budget (OMB) for ensure the person or company posting applications. review and clearance in accordance the bond is aware of the duties and Place: National Institutes of Health, Two with the Paperwork Reduction Act of responsibilities associated with the Democracy Plaza, 6707 Democracy 1995. The information collection notice bond. The collection instrument serves Boulevard, Bethesda, MD 20892 (Telephone was previously published in the Federal the purpose of instruction in the Conference Call). Register on June 26, 2017, Vol. 82 FR completion of the form, together with an Contact Person: Dianne Camp, Ph.D., 28874, allowing for a 60-day public explanation of the terms and conditions Scientific Review Officer, Review Branch, comment period. USICE did not receive of the bond. Sureties have the capability DEA, NIDDK, National Institutes of Health, any comment in connection with the 60- of accessing, completing and submitting Room 7013, 6707 Democracy Boulevard, day notice. The purpose of this notice a bond electronically through USICE’s Bethesda, MD 20892–2542, 301–594–7682, is to allow an additional 30 days for eBonds system, while individuals are [email protected]. public comments. required to complete the bond form Name of Committee: National Institute of Written comments and/or suggestions manually. Diabetes and Digestive and Kidney Diseases regarding the items contained in this (5) An estimate of the total number of Special Emphasis Panel; DDK–B Conflict. notice, especially regarding the respondents and the amount of time Date: October 18, 2017. estimated public burden and associated estimated for an average respondent to Time: 10:00 a.m. to 12:00 p.m. response time, must be directed to the respond: 25,000 responses at 30 minutes Agenda: To review and evaluate grant OMB Desk Officer for U.S. Immigration (.50 hours) per response. applications. and Customs Enforcement, Department (6) An estimate of the total public Place: Doubletree Hotel Bethesda, of Homeland Security and sent via burden (in hours) associated with the (Formerly Holiday Inn Select), 8120 electronic mail to dhsdeskofficer@ collection: 12,500 annual burden hours. Wisconsin Avenue, Bethesda, MD 20814. omb.eop.gov. All submissions received Contact Person: Thomas A. Tatham, Ph.D., must include the agency name and the Dated: August 30, 2017. Scientific Review Officer, Review Branch, OMB Control Number 1653–0022. Scott Elmore, DEA, NIDDK, National Institutes of Health, Written comments and suggestions PRA Clearance Officer, Office of the Chief Room 7021, 6707 Democracy Boulevard, from the public and affected agencies Information Officer, U.S. Immigration and Bethesda, MD 20892–5452, (301) 594–3993, should address one or more of the Customs Enforcement, Department of [email protected] following four points: Homeland Security. (Catalogue of Federal Domestic Assistance (1) Evaluate whether the proposed [FR Doc. 2017–18809 Filed 9–5–17; 8:45 am] Program Nos. 93.847, Diabetes, collection of information is necessary BILLING CODE 9111–28–P Endocrinology and Metabolic Research; for the proper performance of the 93.848, Digestive Diseases and Nutrition functions of the agency, including Research; 93.849, Kidney Diseases, Urology whether the information will have DEPARTMENT OF HOUSING AND and Hematology Research, National Institutes practical utility; URBAN DEVELOPMENT of Health, HHS) (2) Evaluate the accuracy of the agencies estimate of the burden of the [Docket No. FR–5997–N–49] Dated: August 30, 2017. proposed collection of information, David Clary, 30-Day Notice of Proposed Information including the validity of the Collection: Public Housing Financial Program Analyst, Office of Federal Advisory methodology and assumptions used; Management Template Committee Policy. (3) Enhance the quality, utility, and [FR Doc. 2017–18806 Filed 9–5–17; 8:45 am] clarity of the information to be AGENCY: Office of the Chief Information BILLING CODE 4140–01–P collected; and Officer, HUD. (4) Minimize the burden of the ACTION: Notice. collection of information on those who are to respond, including through the SUMMARY: HUD submitted the proposed use of appropriate automated, information collection requirement electronic, mechanical, or other described below to the Office of

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Management and Budget (OMB) for assessment of the PHAs receiving described below to the Office of review, in accordance with the federal funds from HUD. Management and Budget (OMB) for Paperwork Reduction Act. The purpose Respondents (i.e., affected public): review, in accordance with the of this notice is to allow for 30 days of Public Housing Agencies (PHAs). Paperwork Reduction Act. The purpose public comment. Estimated Annual Reporting and of this notice is to allow for 30 days of DATES: Comments Due Date: October 6, Recordkeeping Burden: The estimated public comment. 2017. number of respondents is 3,916 PHAs DATES: Comments Due Date: October 6, that submit one unaudited financial 2017. ADDRESSES: Interested persons are management template annually and invited to submit comments regarding ADDRESSES: Interested persons are 3,538 PHAs that submit one audited this proposal. Comments should refer to invited to submit comments regarding financial management template the proposal by name and/or OMB this proposal. Comments should refer to annually, for a total of 7,454 responses. Control Number and should be sent to: the proposal by name and/or OMB The average number of hours for each HUD Desk Officer, Office of Control Number and should be sent to: PHA response is 5.33 hours, for a total Management and Budget, New HUD Desk Officer, Office of reporting burden of 39,721 hours. Executive Office Building, Washington, Management and Budget, New DC 20503; fax: 202–395–5806, Email: B. Solicitation of Public Comment Executive Office Building, Washington, OIRA [email protected]. DC 20503; fax: 202–395–5806, Email: This notice is soliciting comments OIRA [email protected]. FOR FURTHER INFORMATION CONTACT: from members of the public and affected FOR FURTHER INFORMATION, CONTACT: Colette Pollard, Reports Management parties concerning the collection of Colette Pollard, Reports Management Officer, QMAC, Department of Housing information described in Section A on Officer, QMAC, Department of Housing and Urban Development, 451 7th Street the following: and Urban Development, 451 7th Street SW., Washington, DC 20410; email (1) Whether the proposed collection SW., Washington, DC 20410; email [email protected], or telephone of information is necessary for the [email protected], or telephone 202–402–3400. This is not a toll-free proper performance of the functions of 202–402–3400. This is not a toll-free number. Person with hearing or speech the agency, including whether the number. Person with hearing or speech impairments may access this number information will have practical utility; impairments may access this number through TTY by calling the toll-free (2) The accuracy of the agency’s through TTY by calling the toll-free Federal Relay Service at (800) 877–8339. estimate of the burden of the proposed Federal Relay Service at (800) 877–8339. Copies of available documents collection of information; Copies of available documents submitted to OMB may be obtained (3) Ways to enhance the quality, submitted to OMB may be obtained from Ms. Pollard. utility, and clarity of the information to from Ms. Pollard. SUPPLEMENTARY INFORMATION: This be collected; and SUPPLEMENTARY INFORMATION: This notice informs the public that HUD is (4) Ways to minimize the burden of notice informs the public that HUD is seeking approval from OMB for the the collection of information on those seeking approval from OMB for the information collection described in who are to respond: Including through information collection described in Section A. the use of appropriate automated Section A. The Federal Register notice that collection techniques or other forms of The Federal Register notice that solicited public comment on the information technology, e.g., permitting solicited public comment on the information collection for a period of 60 electronic submission of responses. information collection for a period of 60 days was published on June 20, 2017 at HUD encourages interested parties to days was published on March 1, 2016 at 82 FR 28086. submit comment in response to these 81 FR 10651. questions. A. Overview of Information Collection A. Overview of Information Collection Authority: Section 3507 of the Paperwork Title of Information Collection: Public Reduction Act of 1995, 44 U.S.C. Chapter 35. Title of Information Collection: Public Housing Annual Contributions Contract Housing Financial Management Dated: August 30, 2017. Template. and Inventory Removal Application. Colette Pollard, OMB Approval Number: 2535–0107. OMB Approval Number: 2577–0075. Department Reports Management Officer, Type of Request: Revision of a Type of Request: Revision of a Office of the Chief Information Officer. currently approved collection. currently approved collection. [FR Doc. 2017–18851 Filed 9–5–17; 8:45 am] Form Number: HUD–51999, HUD– Form Number: N/A. BILLING CODE 4210–67–P 52190, HUD–52840–A, HUD–53012, Description of the need for the HUD–52860, HUD 52860–A, HUD information and proposed use: To meet 52860–B, HUD 52860–C; HUD 52860–D; the requirements of the Uniform DEPARTMENT OF HOUSING AND HUD 52860–E, HUD 52860–F, HUD– Financial Standards Rule (24 CFR part URBAN DEVELOPMENT 52860–G, and HUD–5837. 5, subpart H) and the asset management Description of the need for the [Docket No. FR–5997–N–51] requirements in 24 CFR part 990, the information and proposed use: HUD Department developed financial 30-Day Notice of Proposed Information previously amended this information management templates that public Collection: Public Housing Annual collection to consolidate all information housing agencies (PHAs) use to Contributions Contract and Inventory that PHAs are required to submit to annually submit electronically financial Removal Application HUD in connection with their information to HUD. HUD uses the contractual duties to operate and financial information it collects from AGENCY: Office of the Chief Information remove public housing dwelling units each PHA to assist in the evaluation and Officer, HUD. and other real property under the assessment of the PHAs’ overall ACTION: Notice. United States Housing Act of 1937 (1937 condition. Requiring PHAs to report Act) (42 U.S.C § 1437g). electronically has enabled HUD to SUMMARY: HUD submitted the proposed Annual Contributions Contract (ACC) provide a comprehensive financial information collection requirement (HUD–53012). Section 9 of the 1937 Act

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permits the Secretary of HUD to make that notice be implemented by the with the requirements of 24 CFR part grants (i.e, annual contributions Depository within 24 hours of receipt. 972 Subpart-A. contracts) to Public Housing Agencies The GDA is an agreement between the Voluntary Conversion Addendum (PHAs) to achieve and maintain the PHA and the Depository and establishes (HUD–52860–E). This information is lower income character of public the terms and conditions dictating the required for all Inventory Removal housing projects. The Secretary is investment policies for the PHAs Applications that propose a required required to embody the provisions for deposits. conversion under 24 CFR 972-Subpart such payments in an agreement (i.e., Inventory Removal Application B. This collection makes minor ACC). The purpose of the ACC is to (HUD–52860). The purpose of the formatting, instructional and other establish the grant agreement between Inventory Removal Application (HUD– changes to provide clearer direction and each Public Housing Agency (PHA) and 52860) is to ensure PHAs comply with to ensure PHAs are fully complying HUD. The ACC establishes the basic the statutory and regulatory with the requirements of 24 CFR part terms and conditions for the PHA’s requirements when removing public 972 Subpart-B. public housing program and requires housing projects and other real property Eminent Domain Addendum (HUD– the PHA to manage and operate all of its subsidized by HUD from their inventory 52860–F). This information is required public housing properties in accordance through various programs, including for all Inventory Removal Applications with the U.S. Housing Act of 1937 and Sections 18, 22, 33, 32 of the 1937 Act that propose settlement agreement (in all applicable HUD Requirements. This and eminent domain settlement lieu of court proceedings) for public collection amends this ACC document agreements and retentions under 2 CFR housing projects and other public by merging the current HUD–53012–A 200.311. This application and approval housing property that taking entity and HUD–53012–B forms into one process also ensures an accurate and up- proposes to condemn through eminent document and adding requirements to-date building and unit count for the domain proceedings under applicable applicable to mixed-finance public PHA. HUD uses the PHA’s inventory of state law. This collection makes minor housing development and making minor buildings and units for various formatting, instructional and other clarifications and updates, based on purposes, such as funding and property changes to provide clearer direction and applicable statutes and regulations, on inspections. This collection modifies to ensure PHAs are fully complying the contractual agreement. this form to make it a better-tailored with the requirements of PIH Notice Declaration of Trust (DOT) (HUD– ‘‘global’’ form that applies to all removal 2012–8. 51290). The purpose of the Declaration actions. It is required in addition to the Retention Addendum (HUD–52860– of Trust (DOT) is to require PHA’s to addendum related to the specific G). This collection adds a new form that remain seized of the title of public removal program. applies to PHAs who are requesting to housing projects and other real property Demolition/Disposition Addendum retain certain public housing property and to refrain from transferring, (HUD–52860–A). This collection adds in accordance with 2 CFR 200.311(c) conveying, assigning, leasing, this new addendum to specifically and PIH Notice 2016–20. mortgaging, pledging, or otherwise address the requirements of 24 CFR part Notification of Closeout or Future encumbering or permitting or suffering 970 for demolition and disposition Public Housing Development (HUD– any transfer, conveyance, assignment, removals. These requirements were 5837). This collection adds a new form lease, mortgage, pledge or other previously included in the global HUD– that applies to PHAs who are intending encumbrance of said property or any 52860. to remove all dwelling units in their part thereof, appurtenances thereto, or Total Development Cost (TDC) and portfolio from their inventory. This is any rent, revenues, income, or receipts Rehab Cost Estimate Addendum (HUD– notification to HUD of a PHA’s intention therefrom or in connection therewith, or 52860–B). This information is required to either closeout from the public any of the benefits or contributions for all Inventory Removal Applications housing program or develop new public granted to it by or pursuant to the ACC. that propose a demolition under 24 CFR housing units. Such removal may be This collection amends this ACC 970.15 or a disposition under 24 CFR through any available law or HUD document by merging the current HUD– 970.17 based on physical obsolescence. program, which may include Sections 51290–A (development) and HUD– This collection makes formatting and 18, 22, 33, 32 of the U.S. Housing Act 51290–B (modernization) forms, into instructional changes and refers users to of 1937 or the Rental Assistance one document, as well as adding the the applicable HUD notice for more Demonstration (RAD) program). This Declaration of Restrictive Covenants guidance. form will alert HUD about its future (DORC) document for mixed-finance Homeownership Addendum (HUD– plans for either termination of the public housing developments into one 52860–C). This information is required public housing ACC or development of form. for all Inventory Removal Applications new dwelling units. HUD will use this General Depository Agreement (GDA) that propose a homeownership program information to provide targeted (HUD–51999). The purpose of the under 24 CFR part 906. This collection technical assistance, to ensure HUD has General Depository Agreement (GDA) is makes formatting, instructional and an accurate database of federal public to ensure PHAs use all program receipts other changes to provide clearer housing inventory and assets, and to received from HUD or otherwise direction and to ensure PHAs are fully monitor PHA compliance with the ACC associated with public housing funds complying with the requirements of 24 and applicable federal laws and for purposes of public housing, by CFR part 906. regulations. requiring such financial assistance to be Required Conversion Addendum Capital Fund Program Amendment to deposited into interest-bearing accounts (HUD–52860–D). This information is the ACC (HUD–52840–A). This form at financial institutions whose deposits required for all Inventory Removal amends a PHA’s ACC each time HUD or accounts are insured by the Federal Applications that propose a required provides Capital Fund Program (CFP) Deposit Insurance Corporation (FDIC) or conversion under 24 CFR 972-Subpart assistance to a PHA for capital and the National Credit Union Share A. This collection makes minor management activities of PHA Insurance Fund (NCUSIF). This formatting, instructional and other developments. This collection amends collection makes a small change to the changes to provide clearer direction and this form to change its format from PDF/ Notice provision of the GDA to require to ensure PHAs are fully complying Word to Excel only.

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This collection notes that in a Contract that were under OMB control approved discontinuation of OMB previous amendment of this collection number 2577–0270 were merged into Control Number 2577–0270. 2577–0075, functions and activities for this collection 2577–0075 and the Office Respondents: Public Housing Public Housing Annual Contributions Management and Budget (OMB) Agencies.

Total ACC provision Total Burden hours Total hours Cost per hour Cost responses per response ($) ($)

1. Execute new ACC via HUD form 53012–A and B ...... 40 5.5 220 24.83 5,463 2. Terminate or amend ACC via HUD–5837 ...... 40 9.8 390 24.83 9,684 3. Request HUD approval of non-dwelling leases or agree- ments ...... 114 6.4 735 24.83 18,250 4. HUD approval for easement uses ...... 48 73.4 3524 24.83 87,501 5. Submit General Depository Agreement (GDA) via form HUD 51999 ...... 265 2.5 651 24.83 16,164 6. Request to terminate GDA ...... 107 1.9 202 24.83 5,016 7. ACC revisions to change year end dates ...... 23 11.2 257 24.83 6,381 8. ACC to consolidate PHAS ...... 18 12.1 217 24.83 5,388 9. ACC revision to transfer programs ...... 43 9.1 391 24.83 9,709 10. Request review of Conflict of interest ...... 102 9.3 951 24.83 23,613 11. Request pooling of insurance ...... 5 19.4 97 24.83 2,409 12. Request for new Declaration of Trust (DOT) via form HUD 52190–A and B ...... 142 8.8 1249 24.83 31,013 13. Request DOT amendment or termination ...... 221 9.2 2031 24.83 50,430 14. Amend ACC for Capital Fund Finance via form HUD 52840–A ...... 73 10.8 788 24.83 19,566 15. Amend ACC for Mixed Finance Supplementary Legal Document ...... 94 21.1 1981 50 99,050 16. Amend ACC for Capital Grant ...... 2820 3.9 11,070 24.83 274,868 17. Amend ACC for Emergency Capital Fund Grant ...... 38 2.6 100 24.83 2,483 18. Amend ACC Capital Fund for Safety and Security ...... 75 1.3 96 24.83 2,384 19. Amend ACC to Recapture Capital Fund Grant ...... 123 5.2 643 24.83 15,966 20. Amend ACC for Energy Performance Contract ...... 38 5.1 192 24.83 4,767 21. Amend ACC for Community Facilities Grants ...... 13 2.2 28 24.83 695 22. Removal of public housing property from ACC through Section 18, 22, 33, 32, retentions, or eminent domain, via HUD form 52860 ...... 112 3 240 33.72 12,139 23. Removal of public housing property from ACC through demolition and/or disposition, including de minims, via (Section 18) via HUD form 52860–A ...... 80 3 240 33.72 12,139 24. Removal of public housing property from ACC through demolition and/or disposition, when justified by physical obsolescence (rehab cost-estimate) via HUD form 52860–B ...... 60 2 120 33.72 4046 25. Removal of public housing property from ACC through voluntary conversion (Section 22) via HUD form 52860– E ...... 2 6.0 12 33.72 405 26. Removal of public housing property from ACC through required conversion (Section 33) via HUD form 52860– D ...... 0 3.0 0 33.72 0 27. Removal of public housing property through homeown- ership (Section 32) via HUD Form 52860–C ...... 4 6.0 24 33.72 809 28. Removal of public housing property from ACC through eminent domain HUD form 52860–F ...... 6 2.0 12 33.72 404 29. Removal of public housing property from ACC through retention actions under 2 CFR 200.311 via HUD form 52860–G ...... 20 2.0 40 33.72 1,349 30. Supplementary Document: Unique Legal Document used by HQ Staff Mixed-Finance Amendment to the ACC ...... 60 24.0 1440 50 72,000

Totals ...... 4,614 286.1 27,723 798.92 778,647

B. Solicitation of Public Comment proper performance of the functions of (4) Ways to minimize the burden of the agency, including whether the the collection of information on those This notice is soliciting comments information will have practical utility; who are to respond: including through from members of the public and affected (2) The accuracy of the agency’s the use of appropriate automated parties concerning the collection of estimate of the burden of the proposed collection techniques or other forms of information described in Section A on collection of information; information technology, e.g., permitting the following: (3) Ways to enhance the quality, electronic submission of responses. (1) Whether the proposed collection utility, and clarity of the information to of information is necessary for the be collected; and

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HUD encourages interested parties to days was published on June 19, 2017 at parties concerning the collection of submit comment in response to these 82 FR 27859. information described in Section A on questions. the following: A. Overview of Information Collection Authority: Section 3507 of the Paperwork (1) Whether the proposed collection Reduction Act of 1995, 44 U.S.C. Chapter 35. Title of Information Collection: of information is necessary for the Requirements for Designating Housing proper performance of the functions of Dated: August 30, 2017. Projects. the agency, including whether the Colette Pollard, OMB Approval Number: 2577–0192. information will have practical utility; Department Reports Management Officer, Type of Request: Revision of a (2) The accuracy of the agency’s Office of the Chief Information Officer. previously approved collection. estimate of the burden of the proposed [FR Doc. 2017–18856 Filed 9–5–17; 8:45 am] Form Number: None. collection of information; BILLING CODE 4210–67–P Description of the Need for the (3) Ways to enhance the quality, Information and Proposed Use: The utility, and clarity of the information to information collection burden be collected; and DEPARTMENT OF HOUSING AND associated with designated housing is (4) Ways to minimize the burden of URBAN DEVELOPMENT required by statute. Section 10 of the the collection of information on those Housing Opportunity and Extension Act [Docket No. FR–5997–N–50] who are to respond: Including through of 1996 modified Section 7 of the U.S. the use of appropriate automated 30-Day Notice of Proposed Information Housing Act of 1937 to require Public collection techniques or other forms of Collection: Requirements for Housing Agencies (PHAs) to submit a information technology, e.g., permitting Designating Housing Projects plan for designation for HUD approval electronic submission of responses. before a project(s) can be designated as HUD encourages interested parties to AGENCY: Office of the Chief Information either elderly only, disabled only, or submit comment in response to these Officer, HUD. elderly and disabled. In this plan, PHAs questions. ACTION: Notice. must document why the designation is Authority: Section 3507 of the Paperwork needed and provide the following Reduction Act of 1995, 44 U.S.C. Chapter 35. SUMMARY: HUD submitted the proposed information: information collection requirement 1. Description of the designated Dated: August 30, 2017. described below to the Office of housing plan; Colette Pollard, Management and Budget (OMB) for 2. Justification for the designation; Department Reports Management Officer, review, in accordance with the 3. Availability of alternative housing Office of the Chief Information Officer. Paperwork Reduction Act. The purpose resources for the non-designated [FR Doc. 2017–18850 Filed 9–5–17; 8:45 am] of this notice is to allow for 30 days of population(s); BILLING CODE 4210–67–P public comment. 4. Impact on the availability of accessible housing; DATES: Comments Due Date: October 6, 5. A statement that existing tenants in 2017. DEPARTMENT OF HOUSING AND good standing will not be evicted; URBAN DEVELOPMENT ADDRESSES: Interested persons are 6. A statement of the resources that invited to submit comments regarding will be made available if the PHA offers [Docket No. FR–5997–N–48] this proposal. Comments should refer to voluntary relocation benefits; and 30-Day Notice of Proposed Information the proposal by name and/or OMB 7. Information describing how the Collection: Grant Drawdown Payment Control Number and should be sent to: DHP is consistent with any outstanding Request/LOCCS/VRS Voice Activated HUD Desk Officer, Office of court orders, lawsuits, investigations, Management and Budget, New Voluntary Compliance Agreements AGENCY: Office of the Chief Information Executive Office Building, Washington, (VCAs), or Letters of Finding. Officer, HUD. DC 20503; fax: 202–395–5806, Email: Respondents (i.e. affected public): ACTION: Notice. [email protected]. State, or Local Government. FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: SUMMARY: HUD submitted the proposed Colette Pollard, Reports Management 39. information collection requirement Officer, QMAC, Department of Housing Estimated Number of Responses: 1. described below to the Office of and Urban Development, 451 7th Street Frequency of Response: On occasion. Management and Budget (OMB) for Average Hours per Response: 15 SW., Washington, DC 20410; email review, in accordance with the hours. [email protected], or telephone Paperwork Reduction Act. The purpose Total Estimated Burdens: 585 hours. 202–402–3400. This is not a toll-free of this notice is to allow for 30 days of The previous estimation of 375 public comment. number. Person with hearing or speech annual burden hours has been increased DATES: impairments may access this number to 585. This change is based on the Comments Due Date: October 6, through TTY by calling the toll-free number of Plans submitted in Calendar 2017. Federal Relay Service at (800) 877–8339. Year 2016, and the expectation that the ADDRESSES: Interested persons are Copies of available documents number of respondents will continue to invited to submit comments regarding submitted to OMB may be obtained increase based on the upward trend in this proposal. Comments should refer to from Ms. Pollard. senior demographics and the increased the proposal by name and/or OMB SUPPLEMENTARY INFORMATION: This use of Low-Income Housing Tax Credits Control Number and should be sent to: notice informs the public that HUD is (LIHTC) to finance mixed developments HUD Desk Officer, Office of seeking approval from OMB for the that include senior units by Public Management and Budget, New information collection described in Housing Agencies (PHAs). Executive Office Building, Washington, Section A. DC 20503; fax: 202–395–5806, Email: The Federal Register notice that B. Solicitation of Public Comment [email protected]. solicited public comment on the This notice is soliciting comments FOR FURTHER INFORMATION CONTACT: information collection for a period of 60 from members of the public and affected Colette Pollard, Reports Management

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Officer, QMAC, Department of Housing OMB Approval Number: 2577–0166. link. The Grantees (all new or reinstated and Urban Development, 451 7th Street Type of Request: Revision of a user who need to access eLOCCS) will SW., Washington, DC 20410; email currently approved collection. need to complete the LOCCS HUD– [email protected], or telephone Form Number: 50080–CFP; 50080–SC; 27054E form, have it notarized, send the 202–402–3400. This is not a toll-free 50080–PHTA; 50080–OFND; 50080– original HUD–27054E LOCCS Access number. Persons with hearing or speech URP; 50080–FSS; 50080–IHBG; 50080– Authorization Form (with the original impairments may access this number TIHD. signature and notary seal) via U.S. Mail through TTY by calling the toll-free Description of the need for the to the Program Office for review. The Federal Relay Service at (800) 877–8339. information and proposed use: On April LOCCS system will automatically Copies of available documents 17, 2017, the Grant Drawdown Payment generate an Access Authorization email submitted to OMB may be obtained Request/Voce Response System (VRS) letting the user know that HUD–27054E from Ms. Pollard. was converted to a Business Partner has been processed, enabling grantees to SUPPLEMENTARY INFORMATION: This Registration and Secure Systems for access their eLOCCS account. The notice informs the public that HUD is both the user and their Approving information collected on the payment seeking approval from OMB for the Official. The Secure Systems supports voucher will also be used as an internal information collection described in many of HUD applications, of which control measure to ensure the lawful Section A. Line of Credit Control System (eLOCCS) and appropriate disbursement of The Federal Register notice that is one of them. eLOCCS is implementing Federal funds as well as provide a solicited public comment on the Single Sign-On solution under Secure service to program recipients. information collection for a period of 60 Systems, where Grant recipients will be Below is a link where the HUD– days was published on June 19, 2017 at recognized and authenticated based on 27054E LOCCS Authorized Form can be 82 FR 27859. a Secure System ID and will no longer accessed: http://portal.hud.gov/ separately Sign-in to eLOCCS. Grant hudportal/documents/ A. Overview of Information Collection recipients use LOCCS system to request huddoc?id=27054E.pdf. Title of Information Collection: Grant funds from HUD by signing into Secure Respondents: PHAs, state or local Drawdown Payment Request/LOCCS/ Systems, as they normally do, and select government. Tribes and tribally VRS Voice Activated. Line of Credit Control System (eLOCCS) designated housing entities.

Frequency of responses Information collection Number of (drawdowns Responses Burden hour Annual respondents annually per annum per response burden hours per program)

Capital Fund 50080–CFP ...... 3,100 15 46,500.00 2 .25 104,625.00 Operating Fund 50080–OFND ...... 7,100 12 85,200.00 2 .25 191,700.00 Resident Opportunities and Supportive Services (ROSS) SC 50080–SC ...... 330 12 3,960.00 .25 990.00 Public Housing Technical Assistance 50080–PHTA ...... 12 12 144.00 .25 36.00 Hope VI 50080–URP ...... 50 12 600.00 1 600.00 Family Self-Sufficiency 50080–FSS ...... 700 12 8,400.00 .25 2,100.00 Indian Housing Block Grant 50080–IHBG ...... 361 12 4,332.00 .25 1,083.00 Traditional Indian Housing Development 50080–TIHD ...... 32 12 384.00 .25 96.00

11,685 ...... 301,230.00 * Frequency of Responses is the total number of AMPs (7,100) multiplied by the total annual drawdowns (12 months).

B. Solicitation of Public Comment information technology, e.g., permitting DEPARTMENT OF THE INTERIOR This notice is soliciting comments electronic submission of responses. Bureau of Indian Affairs from members of the public and affected HUD encourages interested parties to parties concerning the collection of submit comment in response to these [178A2100DD/AAKC001030/ information described in Section A on questions. A0A51010.999900] the following: Authority: Section 3507 of the Paperwork (1) Whether the proposed collection Proclaiming Certain Lands as Reduction Act of 1995, 44 U.S.C. Chapter 35. of information is necessary for the Reservation for the Lac Courte Oreilles proper performance of the functions of Dated: August 30, 2017. Band of Lake Superior Chippewa Indians of Wisconsin the agency, including whether the Colette Pollard, information will have practical utility; Department Reports Management Officer, AGENCY: Bureau of Indian Affairs, (2) The accuracy of the agency’s Office of the Chief Information Officer. Interior. estimate of the burden of the proposed [FR Doc. 2017–18853 Filed 9–5–17; 8:45 am] ACTION: Notice. collection of information; BILLING CODE 4210–67–P (3) Ways to enhance the quality, SUMMARY: This notice informs the public utility, and clarity of the information to that the Acting Assistant Secretary— be collected; and Indian Affairs proclaimed (4) Ways to minimize the burden of approximately 2012.77 acres, more or the collection of information on those less, an addition to the reservation of who are to respond: including through the Lac Courte Oreilles Band of Lake the use of appropriate automated Superior Chippewa Indians on July 21, collection techniques or other forms of 21017.

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FOR FURTHER INFORMATION CONTACT: Ms. Level Datum, 1929 adjustment, AND that DEPARTMENT OF THE INTERIOR Sharlene M. Round Face, Bureau of part of the N1⁄2SE1⁄4SW1⁄4, lying westerly Indian Affairs, Division of Real Estate of the west flowage line of the Chippewa Bureau of Indian Affairs Services, 1849 C Street NW., MS–4642– Reservoir Flowage and lying above ′ MIB, Washington, DC 20240, telephone elevation 1315 , Mean Sea Level Datum, [178A2100DD/AAKC001030/ (202) 208–3615. 1929 adjustment.—74.17 acres A0A501010.999900] 1 1 SUPPLEMENTARY INFORMATION: This Sec.29, that part of the E ⁄2NE ⁄4 lying notice is published in the exercise of easterly of the most easterly flowage line HEARTH Act Approval of Stillaguamish authority delegated by the Secretary of of the Chippewa Reservoir Flowage and Tribe of Indians’ Leasing Regulations lying above elevation 1315′, Mean Sea the Interior to the Assistant Secretary— AGENCY: Bureau of Indian Affairs, Indian Affairs by part 209 of the Level Datum, 1929 adjustment, AND that 1 1 1 1 Interior. Departmental Manual. part of the S ⁄2S ⁄2 and the NE ⁄4SE ⁄4, A proclamation was issued according lying above elevation 1315 ft., Mean Sea ACTION: Notice. to the Act of June 18, 1934 (48 Stat. 986; Level Datum, 1929 adjustment.—130.66 SUMMARY: On July 17, 2017, the Bureau 25 U.S.C. 5110) for the lands described acres 1 4 1 4 of Indian Affairs (BIA) approved the below. These lands are proclaimed to be Sec. 30, that part of Lot 1, the SW ⁄ SE ⁄ , 1 4 1 4 Stillaguamish Tribe of Indians’ leasing part of the Lac Courte Oreilles Band of and the SE ⁄ SE ⁄ lying above elevation 1315′, Mean Sea Level Datum, 1929 regulations under the Helping Expedite Lake Superior Chippewa Indians of adjustment, AND that part of the and Advance Responsible Tribal Wisconsin Reservation, in Sawyer NE1⁄4SE1⁄4 lying southerly of the most Homeownership (HEARTH) Act. With County, Wisconsin. southern flowage line of the Chippewa this approval, the Tribe is authorized to Fourth Principal Meridian Reservoir Flowage, lying above elevation enter into the following types of leases 1315 ft., Mean Sea Level Datum, 1929 without BIA approval: Agricultural, Sawyer County, Wisconsin adjustment.—43.01 acres residential, business, wind and solar, Legal Description Containing 2012.77 Sec. 31, that part of Lots 1, 2, 3 and 4 lying wind energy evaluation, and other Acres, More or Less above elevation 1315 ft., Mean Sea Level authorized purposes. Datum, 1929 adjustment.—150.25 acres T. 40 N., R. 6 W., FOR FURTHER INFORMATION CONTACT: Ms. Sec. 33, that part of the SW1⁄4NE1⁄4, the Sec. 8, that part of the SW1⁄4SE1⁄4 lying 1 1 1 Sharlene Round Face, Bureau of Indian above elevation 1315 ft., Mean Sea Level SW ⁄4NW ⁄4 and the SE ⁄4 lying above Affairs, Division of Real Estate Services, elevation 1315′, Mean Sea Level Datum, Datum, 1929 adjustment.—27.34 acres MS–4642–MIB, 1849 C Street NW., Sec. 10, NW1⁄4SW1⁄4.—40.00 acres 1929 adjustment—86.78 acres 1 1 Washington, DC 20240, at (202) 208– Sec. 17, that part of the NW1⁄4NE1⁄4 and the Sec. 34, that part of the E ⁄2NW ⁄4 and the 1 1 3615. SW ⁄4NE ⁄4 lying above elevation 1315 SW1⁄4 lying above elevation 1315′, Mean ft., Mean Sea Level Datum, 1929 Sea Level Datum, 1929 adjustment.— SUPPLEMENTARY INFORMATION: adjustment.—28.00 acres 104.10 acres Sec.18, that part of the SW1⁄4SE1⁄4 lying I. Summary of the HEARTH Act above elevation 1315 ft., Mean Sea Level T. 40 N., R. 8 W., 1 1 1 1 1 1 The HEARTH Act of 2012 (the Act) Datum, 1929 adjustment.—20.00 acres Sec. 16, NE ⁄4NE ⁄4, W ⁄2NE ⁄4, NE ⁄4SW ⁄4, Sec. 21, that part of the SW1/4 lying and E 1⁄2NW1⁄4.—240.00 acres makes a voluntary, alternative land westerly of the west line of the T. 41 N., R. 8 W., leasing process available to Tribes, by 1 1 1 amending the Indian Long-Term Leasing Chippewa Reservoir Flowage, laying Sec. 33, NE ⁄4, NW ⁄4, SW ⁄4, EXCEPT that above elevation 1315 ft., Mean Sea Level deeded to Sawyer County for highway Act of 1955, 25 U.S.C. 415. The Act Datum, 1929 adjustment.—73.90 acres purposes as described in Vol. 382 of authorizes Tribes to negotiate and enter Sec. 28, that part of the NW1⁄4, NW1⁄4SE1⁄4, Records, Page 172.—472.00 acres into agricultural and business leases of and the SE1⁄4 SE1⁄4, lying above elevation Sec. 35, S1⁄2SW1⁄4. 80.00 acres Tribal trust lands with a primary term 1315 ft., Mean Sea Level Datum, 1929 of 25 years, and up to two renewal terms adjustment.—86.23 acres Situated in Sawyer County, State of of 25 years each, without the approval Sec 32, that part SE1⁄4 and the S1⁄2NE1⁄4 Wisconsin. Containing 2012.77 acres, more lying above elevation 1315 ft., Mean Sea or less. of the Secretary of the Interior (the Level Datum, 1929 adjustment.—123.55 Secretary). The Act also authorizes acres The above-described lands contain a Tribes to enter into leases for T. 40 N., R. 7 W., total of 2012.77 acres, more or less, residential, recreational, religious or Sec. 24, that part of the SW1⁄4NW1⁄4, the which are subject to all valid rights, educational purposes for a primary term NW1⁄4SW1⁄4, and the NE1⁄4SW1⁄4, more reservations, rights-of-way, and of up to 75 years without the approval particularly described as Lots One (1) easements of record. of the Secretary. Participating Tribes and Two (2) as recorded in Volume develop Tribal leasing regulations, Twenty (20) of Certified Survey Maps, This proclamation does not affect title including an environmental review pages 225–227, Survey No. 5858.—26.00 to the lands described above, nor does process, and then must obtain the acres it affect any valid existing easements for 1 Secretary’s approval of those regulations Sec. 26, that part of the NE ⁄4 and the public roads and highways, public E1⁄2NW1⁄4, lying southerly of the south prior to entering into leases. The Act line of the Chippewa Reservoir Flowage utilities and for railroads, and pipelines, requires the Secretary to approve Tribal and lying above elevation 1315 ft., Mean and any other valid easements or rights- regulations if the Tribal regulations are Sea Level Datum, 1929 adjustment.— of-way or reservations of record. consistent with the Department’s leasing 104.35 acres Dated: July 21, 2017. regulations at 25 CFR part 162 and Sec. 27, that part of the S1⁄2NE1⁄4, provide for an environmental review 1 1 1 1 1 Michael S. Black, NE ⁄4NE ⁄4, SE ⁄4NW ⁄4, and the SW ⁄4 process that meets requirements set lying above elevation 1315′, Mean Sea Acting Assistant Secretary—Indian Affairs. forth in the Act. This notice announces Level Datum, 1929 adjustment.—102.43 [FR Doc. 2017–18854 Filed 9–5–17; 8:45 am] acres that the Secretary, through the Assistant BILLING CODE 4337–15–P Sec. 28, that part of the NW1⁄4NW1⁄4, Secretary—Indian Affairs, has approved S1⁄2NW1⁄4, N1⁄2SW1⁄4, and the SW1⁄4SW1⁄4 the Tribal regulations for the lying above elevation 1315′, Mean Sea Stillaguamish Tribe of Indians.

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II. Federal Preemption of State and and activities on land leased pursuant to responsibilities. Moreover, the Secretary Local Taxes Tribal leasing regulations approved continues to review, approve, and The Department’s regulations under the HEARTH Act. Congress’s monitor individual Indian land leases governing the surface leasing of trust overarching intent was to ‘‘allow Tribes and other types of leases not covered and restricted Indian lands specify that, to exercise greater control over their under the Tribal regulations according subject to applicable Federal law, own land, support self-determination, to the Part 162 regulations. permanent improvements on leased and eliminate bureaucratic delays that Accordingly, the Federal and Tribal land, leasehold or possessory interests, stand in the way of homeownership and interests weigh heavily in favor of and activities under the lease are not economic development in Tribal preemption of State and local taxes on subject to State and local taxation and communities.’’ 158 Cong. Rec. H. 2682 lease-related activities and interests, may be subject to taxation by the Indian (May 15, 2012). The HEARTH Act was regardless of whether the lease is Tribe with jurisdiction. See 25 CFR intended to afford Tribes ‘‘flexibility to governed by Tribal leasing regulations adapt lease terms to suit [their] business 162.017. As explained further in the or Part 162. Improvements, activities, and cultural needs’’ and to ‘‘enable preamble to the final regulations, the and leasehold or possessory interests [Tribes] to approve leases quickly and Federal government has a strong interest may be subject to taxation by the efficiently.’’ Id. at 5–6. in promoting economic development, Snohomish County and the State of Assessment of State and local taxes Washington. self-determination, and Tribal would obstruct these express Federal sovereignty. 77 FR 72,440, 72,447–48 policies supporting Tribal economic Dated: July 17, 2017. (December 5, 2012). The principles development and self-determination, Michael S. Black, supporting the Federal preemption of and also threaten substantial Tribal Acting Assistant Secretary—Indian Affairs. State law in the field of Indian leasing interests in effective Tribal government, [FR Doc. 2017–18849 Filed 9–5–17; 8:45 am] and the taxation of lease-related economic self-sufficiency, and territorial BILLING CODE 4337–15–P interests and activities applies with autonomy. See Michigan v. Bay Mills equal force to leases entered into under Indian Community, 134 S. Ct. 2024, Tribal leasing regulations approved by 2043 (2014) (Sotomayor, J., concurring) DEPARTMENT OF THE INTERIOR the Federal government pursuant to the (determining that ‘‘[a] key goal of the HEARTH Act. Federal Government is to render Tribes Bureau of Indian Affairs Section 5 of the Indian Reorganization more self-sufficient, and better [178A2100DD/AAKC001030/ Act, 25 U.S.C. 5108, preempts State and positioned to fund their own sovereign A0R9A1010.999900] local taxation of permanent functions, rather than relying on Federal improvements on trust land. See funding’’). The additional costs of State HEARTH Act Approval of the Osage Confederated Tribes of the Chehalis and local taxation have a chilling effect Nation Regulations Reservation v. Thurston County, 724 on potential lessees, as well as on a F.3d 1153, 1157 (9th Cir. 2013) (citing AGENCY: Bureau of Indian Affairs, Tribe that, as a result, might refrain from Interior. Mescalero Apache Tribe v. Jones, 411 exercising its own sovereign right to U.S. 145 (1973)). Similarly, section 465 impose a Tribal tax to support its ACTION: Notice. preempts State taxation of rent infrastructure needs. See id. at 2043–44 SUMMARY: On July 17, 2017, the Bureau payments by a lessee for leased trust (finding that State and local taxes lands, because ‘‘tax on the payment of of Indian Affairs (BIA) approved the greatly discourage Tribes from raising Osage Nation (Nation) leasing rent is indistinguishable from an tax revenue from the same sources impermissible tax on the land.’’ See regulations under the Helping Expedite because the imposition of double and Advance Responsible Tribal Seminole Tribe of Florida v. Stranburg, taxation would impede Tribal economic No. 14–14524, *13–*17, n.8 (11th Cir. Homeownership Act of 2012 (HEARTH growth). Act). With this approval, the Nation is 2015). In addition, as explained in the Just like BIA’s surface leasing authorized to enter into business site preamble to the revised leasing regulations, Tribal regulations under the leases without further BIA approval. regulations at 25 CFR part 162, Federal HEARTH Act pervasively cover all courts have applied a balancing test to aspects of leasing. See Guidance for the FOR FURTHER INFORMATION CONTACT: Ms. determine whether State and local Approval of Tribal Leasing Regulations Sharlene Round Face, Bureau of Indian taxation of non-Indians on the under the HEARTH Act, NPM–TRUS– Affairs, Division of Real Estate Services, reservation is preempted. See White 29 (effective Jan. 16, 2013) (providing MS–4642–MIB, 1849 C Street NW., Mountain Apache Tribe v. Bracker, 448 guidance on Federal review process to Washington, DC 20240, telephone: (202) U.S. 136, 143 (1980). The Bracker ensure consistency of proposed Tribal 208–3615. balancing test, which is conducted regulations with Part 162 regulations SUPPLEMENTARY INFORMATION: against a backdrop of ‘‘traditional and listing required Tribal regulatory I. Summary of the HEARTH Act notions of Indian self-government,’’ provisions). Furthermore, the Federal requires a particularized examination of government remains involved in the The HEARTH Act makes a voluntary, the relevant State, Federal, and Tribal Tribal land leasing process by approving alternative land leasing process interests. We hereby adopt the Bracker the Tribal leasing regulations in the first available to Tribes, by amending the analysis from the preamble to the instance and providing technical Indian Long-Term Leasing Act of 1955, surface leasing regulations, 77 FR at assistance, upon request by a Tribe, for 25 U.S.C. 415. The HEARTH Act 72,447–48, as supplemented by the the development of an environmental authorizes Tribes to negotiate and enter analysis below. review process. The Secretary also into agricultural and business leases of The strong Federal and Tribal retains authority to take any necessary Tribal trust lands with a primary term interests against State and local taxation actions to remedy violations of a lease of 25 years, and up to two renewal terms of improvements, leaseholds, and or of the Tribal regulations, including of 25 years each, without the approval activities on land leased under the terminating the lease or rescinding of the Secretary of the Interior Department’s leasing regulations apply approval of the Tribal regulations and (Secretary). The HEARTH Act also equally to improvements, leaseholds, reassuming lease approval authorizes Tribes to enter into leases for

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residential, recreational, religious or applied a balancing test to determine 415(h)(3)(B)(i) (requiring Tribal educational purposes for a primary term whether State and local taxation of non- regulations be consistent with BIA of up to 75 years without the approval Indians on the reservation is preempted. surface leasing regulations). of the Secretary. Participating Tribes White Mountain Apache Tribe v. Furthermore, the Federal government develop Tribal leasing regulations, Bracker, 448 U.S. 136, 143 (1980). The remains involved in the Tribal land including an environmental review Bracker balancing test, which is leasing process by approving the Tribal process, and then must obtain the conducted against a backdrop of leasing regulations in the first instance Secretary’s approval of those regulations ‘‘traditional notions of Indian self- and providing technical assistance, prior to entering into leases. The government,’’ requires a particularized upon request by a Tribe, for the HEARTH Act requires the Secretary to examination of the relevant State, development of an environmental approve Tribal regulations if the Tribal Federal, and Tribal interests. We hereby review process. The Secretary also regulations are consistent with the adopt the Bracker analysis from the retains authority to take any necessary Department of the Interior’s preamble to the surface leasing actions to remedy violations of a lease (Department) leasing regulations at 25 regulations, 77 FR at 72,447–48, as or of the Tribal regulations, including CFR part 162 and provide for an supplemented by the analysis below. terminating the lease or rescinding environmental review process that The strong Federal and Tribal approval of the Tribal regulations and meets requirements set forth in the interests against State and local taxation reassuming lease approval HEARTH Act. This notice announces of improvements, leaseholds, and responsibilities. Moreover, the Secretary that the Secretary, through the Assistant activities on land leased under the continues to review, approve, and Secretary—Indian Affairs, has approved Department’s leasing regulations apply monitor individual Indian land leases the Tribal regulations for the Osage equally to improvements, leaseholds, and other types of leases not covered Nation. and activities on land leased pursuant to under the Tribal regulations according Tribal leasing regulations approved to the Part 162 regulations. II. Federal Preemption of State and under the HEARTH Act. Congress’s Local Taxes Accordingly, the Federal and Tribal overarching intent was to ‘‘allow Tribes interests weigh heavily in favor of The Department’s regulations to exercise greater control over their preemption of State and local taxes on governing the surface leasing of trust own land, support self-determination, lease-related activities and interests, and restricted Indian lands specify that, and eliminate bureaucratic delays that regardless of whether the lease is subject to applicable Federal law, stand in the way of homeownership and governed by Tribal leasing regulations permanent improvements on leased economic development in Tribal or Part 162. Improvements, activities, land, leasehold or possessory interests, communities.’’ 158 Cong. Rec. H. 2682 and leasehold or possessory interests and activities under the lease are not (May 15, 2012). The HEARTH Act was may be subject to taxation by the Osage subject to State and local taxation and intended to afford Tribes ‘‘flexibility to Nation. may be subject to taxation by the Indian adapt lease terms to suit [their] business Tribe with jurisdiction. See 25 CFR and cultural needs’’ and to ‘‘enable Dated: July 17, 2017. 162.017. As explained further in the [Tribes] to approve leases quickly and Michael S. Black, preamble to the final regulations, the efficiently.’’ Id. at 5–6. Acting Assistant Secretary—Indian Affairs. Federal government has a strong interest Assessment of State and local taxes [FR Doc. 2017–18852 Filed 9–5–17; 8:45 am] in promoting economic development, would obstruct these express Federal BILLING CODE 4337–15–P self-determination, and Tribal policies supporting Tribal economic sovereignty. 77 FR 72,440, 72,447–48 development and self-determination, (December 5, 2012). The principles and also threaten substantial Tribal supporting the Federal preemption of interests in effective Tribal government, INTERNATIONAL TRADE State law in the field of Indian leasing economic self-sufficiency, and territorial COMMISSION and the taxation of lease-related autonomy. See Michigan v. Bay Mills interests and activities applies with Indian Community, 134 S. Ct. 2024, [Investigation Nos. 701–TA–583 and 731– equal force to leases entered into under 2043 (2014) (Sotomayor, J., concurring) TA–1381 (Preliminary)] Tribal leasing regulations approved by (determining that ‘‘[a] key goal of the the Federal government pursuant to the Federal Government is to render Tribes Investigations: Cast Iron Soil Pipe HEARTH Act. more self-sufficient, and better Fittings From China Section 5 of the Indian Reorganization positioned to fund their own sovereign Act, 25 U.S.C. 465, preempts State and functions, rather than relying on Federal Determinations local taxation of permanent funding’’). The additional costs of State On the basis of the record 1 developed improvements on trust land. and local taxation have a chilling effect in the subject investigations, the United Confederated Tribes of the Chehalis on potential lessees, as well as on a States International Trade Commission Reservation v. Thurston County, 724 Tribe that, as a result, might refrain from (‘‘Commission’’) determines, pursuant F.3d 1153, 1157 (9th Cir. 2013) (citing exercising its own sovereign right to to the Tariff Act of 1930 (‘‘the Act’’), Mescalero Apache Tribe v. Jones, 411 impose a Tribal tax to support its that there is a reasonable indication that U.S. 145 (1973)). Similarly, section 465 infrastructure needs. See id. at 2043–44 an industry in the United States is preempts state taxation of rent payments (finding that State and local taxes materially injured by reason of imports by a lessee for leased trust lands, greatly discourage Tribes from raising of cast iron soil pipe fittings from China, because ‘‘tax on the payment of rent is tax revenue from the same sources provided for in subheading 7307.11.00 indistinguishable from an impermissible because the imposition of double of the Harmonized Tariff Schedule of tax on the land.’’ See Seminole Tribe of taxation would impede Tribal economic the United States, that are alleged to be Florida v. Stranburg, No. 14–14524, growth). sold in the United States at less than fair *13–*17, n.8 (11th Cir. 2015). In Similar to BIA’s surface leasing addition, as explained in the preamble regulations, Tribal regulations under the 1 The record is defined in sec. 207.2(f) of the to the revised leasing regulations at 25 HEARTH Act pervasively cover all Commission’s Rules of Practice and Procedure (19 CFR part 162, Federal courts have aspects of leasing. See 25 U.S.C. CFR 207.2(f)).

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value (‘‘LTFV’’) and to be subsidized by opportunity were permitted to appear in Electronic Document Information the government of China. person or by counsel. System (EDIS) at https://edis.usitc.gov. The Commission made these Hearing-impaired persons are advised Commencement of Final Phase determinations pursuant to sections that information on this matter can be Investigations 703(a) and 733(a) of the Act (19 U.S.C. obtained by contacting the Pursuant to section 207.18 of the 1671b(a) and 1673b(a)). It completed Commission’s TDD terminal on (202) Commission’s rules, the Commission and filed its determinations in these 205–1810. also gives notice of the commencement investigations on August 28, 2017. The SUPPLEMENTARY INFORMATION: The of the final phase of its investigations. views of the Commission are contained The Commission will issue a final phase in USITC Publication 4722 (September Commission has received a complaint notice of scheduling, which will be 2017), entitled Cast Iron Soil Pipe and a submission pursuant to § 210.8(b) published in the Federal Register as Fittings from China: Investigation Nos. of the Commission’s Rules of Practice provided in section 207.21 of the 701–TA–583 and 731–TA–1381 and Procedure filed on behalf of Amarin Commission’s rules, upon notice from (Preliminary). Pharma, Inc. and Amarin Pharmaceuticals Ireland Ltd. on August the Department of Commerce By order of the Commission. 30, 2017. The complaint alleges (‘‘Commerce’’) of affirmative Issued: August 28, 2017. violations of section 337 of the Tariff preliminary determinations in the William R. Bishop, investigations under sections 703(b) or Act of 1930 (19 U.S.C. 1337) in the Supervisory Hearings and Information importation into the United States, the 733(b) of the Act, or, if the preliminary Officer. determinations are negative, upon sale for importation, and the sale within [FR Doc. 2017–18508 Filed 9–5–17; 8:45 am] the United States after importation of notice of affirmative final BILLING CODE 7020–02–P determinations in those investigations certain synthetically produced, under sections 705(a) or 735(a) of the predominantly EPA omega-3 products Act. Parties that filed entries of INTERNATIONAL TRADE in ethyl ester or re-esterified triglyceride appearance in the preliminary phase of COMMISSION form. The complaint names as the investigations need not enter a respondents Royal DSM NV of The separate appearance for the final phase Notice of Receipt of Complaint; Netherlands; DSM Marine Lipids Peru of the investigations. Industrial users, Solicitation of Comments Relating to S.A.C. of Peru; DSM Nutritional and, if the merchandise under the Public Interest Products of Parsippany, NJ; DSM investigation is sold at the retail level, Nutritional Products Canada, Inc. of AGENCY: U.S. International Trade Canada; Ultimate Biopharma representative consumer organizations Commission. have the right to appear as parties in (Zhongshan) Corporation of China; ACTION: Notice. Commission antidumping and Marine Ingredients AS of Norway; countervailing duty investigations. The SUMMARY: Notice is hereby given that Marine Ingredients LLC of Bethel, PA; Secretary will prepare a public service the U.S. International Trade Golden Omega S.A. of Chile; Golden list containing the names and addresses Commission has received a complaint Omega USA LLC of Aliso Viejo, CA; of all persons, or their representatives, entitled Certain Synthetically Produced, Nordic Pharma, Inc. of Norway; Croda who are parties to the investigations. Predominantly EPA Omega-3 Products Europe Ltd. of The United Kingdom; Croda Inc. of Edison, NJ; Tecnologica de Background in Ethyl Ester or Re-esterified Triglyceride Form, DN 3247; the Alimentos S.A. of Peru; Nature’s Bounty On July 13, 2017, the Cast Iron Soil Commission is soliciting comments on of Ronkonkoma, NY; Nordic Naturals of Pipe Institute, Mundelein, Illinois, filed any public interest issues raised by the Watsonville, CA; Pharmavite LLC of a petition with the Commission and complaint or complainant’s filing Northridge, CA; Innovix Pharma Inc. of Commerce, alleging that an industry in pursuant to the Commission’s Rules of Calabasas, CA and J.R. Carlson the United States is materially injured Practice and Procedure. Laboratories, Inc. of Arlington Heights, or threatened with material injury by FOR FURTHER INFORMATION CONTACT: Lisa IL. The complainant requests that the reason of LTFV and subsidized imports R. Barton, Secretary to the Commission, Commission issue a general exclusion of cast iron soil pipe fittings from China. U.S. International Trade Commission, order, a limited exclusion order, a cease Accordingly, effective July 13, 2017, the 500 E Street SW., Washington, DC and desist order, and impose a bond Commission, pursuant to sections 703(a) 20436, telephone (202) 205–2000. The upon respondents’ alleged infringing and 733(a) of the Act (19 U.S.C. public version of the complaint can be articles during the 60-day Presidential 1671b(a) and 1673b(a)), instituted accessed on the Commission’s review period pursuant to 19 U.S.C. countervailing duty investigation No. Electronic Document Information 1337(j). 701–TA–583 and antidumping duty System (EDIS) at https://edis.usitc.gov, Proposed respondents, other investigation No. 731–TA–1381 and will be available for inspection interested parties, and members of the (Preliminary). during official business hours (8:45 a.m. public are invited to file comments, not Notice of the institution of the to 5:15 p.m.) in the Office of the to exceed five (5) pages in length, Commission’s investigations and of a Secretary, U.S. International Trade inclusive of attachments, on any public public conference to be held in Commission, 500 E Street SW., interest issues raised by the complaint connection therewith was given by Washington, DC 20436, telephone (202) or § 210.8(b) filing. Comments should posting copies of the notice in the Office 205–2000. address whether issuance of the relief of the Secretary, U.S. International General information concerning the specifically requested by the Trade Commission, Washington, DC, Commission may also be obtained by complainant in this investigation would and by publishing the notice in the accessing its Internet server at United affect the public health and welfare in Federal Register of July 20, 2017 (82 FR States International Trade Commission the United States, competitive 33515). The conference was held in (USITC) at https://www.usitc.gov. The conditions in the United States Washington, DC, on August 3, 2017, and public record for this investigation may economy, the production of like or all persons who requested the be viewed on the Commission’s directly competitive articles in the

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United States, or United States treated accordingly. All such requests complaint was filed on August 22, 2017. consumers. should be directed to the Secretary to The complaint alleges violations of In particular, the Commission is the Commission and must include a full section 337 based upon the importation interested in comments that: statement of the reasons why the into the United States, the sale for (i) Explain how the articles Commission should grant such importation, and the sale within the potentially subject to the requested treatment. See 19 CFR 201.6. Documents United States after importation of remedial orders are used in the United for which confidential treatment by the certain microfluidic devices by reason States; Commission is properly sought will be of infringement of one or more of U.S. (ii) identify any public health, safety, treated accordingly. All information, Patent No. 9,500,664 (‘‘the ’664 patent’’); or welfare concerns in the United States including confidential business U.S. Patent No. 9,089,844 (‘‘the ’844 relating to the requested remedial information and documents for which patent’’); U.S. Patent No. 9,636,682 (‘‘the orders; confidential treatment is properly ’682 patent’’); U.S. Patent No. 9,649,635 (iii) identify like or directly sought, submitted to the Commission for (‘‘the ’635 patent’’); and U.S. Patent No. competitive articles that complainant, purposes of this Investigation may be 9,126,160 (‘‘the ’160 patent). The its licensees, or third parties make in the disclosed to and used: (i) By the complaint further alleges that an United States which could replace the Commission, its employees and Offices, industry in the United States exists as subject articles if they were to be and contract personnel (a) for required by the applicable Federal excluded; developing or maintaining the records Statute. (iv) indicate whether complainant, of this or a related proceeding, or (b) in The complainants request that the complainant’s licensees, and/or third internal investigations, audits, reviews, Commission institute an investigation party suppliers have the capacity to and evaluations relating to the and, after the investigation, issue a replace the volume of articles programs, personnel, and operations of limited exclusion order and cease and potentially subject to the requested the Commission including under 5 desist orders. exclusion order and/or a cease and U.S.C. Appendix 3; or (ii) by U.S. ADDRESSES: The complaint, except for desist order within a commercially government employees and contract any confidential information contained reasonable time; and personnel,2 solely for cybersecurity therein, is available for inspection (v) explain how the requested purposes. All nonconfidential written during official business hours (8:45 a.m. remedial orders would impact United submissions will be available for public to 5:15 p.m.) in the Office of the States consumers. inspection at the Office of the Secretary Secretary, U.S. International Trade Written submissions must be filed no and on EDIS.3 Commission, 500 E Street SW., Room later than by close of business, eight This action is taken under the 112, Washington, DC 20436, telephone calendar days after the date of authority of section 337 of the Tariff Act (202) 205–2000. Hearing impaired publication of this notice in the Federal of 1930, as amended (19 U.S.C. 1337), individuals are advised that information Register. There will be further and of §§ 201.10 and 210.8(c) of the on this matter can be obtained by opportunities for comment on the Commission’s Rules of Practice and contacting the Commission’s TDD public interest after the issuance of any Procedure (19 CFR 201.10, 210.8(c)). terminal on (202) 205–1810. Persons final initial determination in this By order of the Commission. with mobility impairments who will investigation. Issued: August 30, 2017. need special assistance in gaining access Persons filing written submissions Katherine M. Hiner, to the Commission should contact the must file the original document Office of the Secretary at (202) 205– electronically on or before the deadlines Supervisory Attorney. [FR Doc. 2017–18773 Filed 9–5–17; 8:45 am] 2000. General information concerning stated above and submit 8 true paper the Commission may also be obtained BILLING CODE 7020–02–P copies to the Office of the Secretary by by accessing its internet server at noon the next day pursuant to § 210.4(f) https://www.usitc.gov. The public of the Commission’s Rules of Practice INTERNATIONAL TRADE record for this investigation may be and Procedure (19 CFR 210.4(f)). COMMISSION viewed on the Commission’s electronic Submissions should refer to the docket docket (EDIS) at https://edis.usitc.gov. number (‘‘Docket No. 3247’’) in a [Investigation No. 337–TA–1068] FOR FURTHER INFORMATION CONTACT: prominent place on the cover page and/ Pathenia M. Proctor, The Office of or the first page. (See Handbook for Certain Microfluidic Devices; Unfair Import Investigations, U.S. Electronic Filing Procedures, Electronic Institution of Investigation International Trade Commission, Filing Procedures.) 1 Persons with AGENCY: U.S. International Trade telephone (202) 205–2560. questions regarding filing should Commission. contact the Secretary (202–205–2000). SUPPLEMENTARY INFORMATION: ACTION: Notice. Any person desiring to submit a Authority: The authority for institution of document to the Commission in SUMMARY: Notice is hereby given that a this investigation is contained in section 337 confidence must request confidential complaint was filed with the U.S. of the Tariff Act of 1930, as amended, 19 treatment. All such requests should be U.S.C. 1337 and in section 210.10 of the International Trade Commission on July Commission’s Rules of Practice and directed to the Secretary to the 31, 2017, under section 337 of the Tariff Procedure, 19 CFR 210.10 (2017). Commission and must include a full Act of 1930, as amended, on behalf of Scope of Investigation: Having statement of the reasons why the Bio-Rad Laboratories, Inc. of Hercules, considered the complaint, the U.S. Commission should grant such California and Lawrence Livermore International Trade Commission, on treatment. See 19 CFR 201.6. Documents National Security, LLC of Livermore, August 30, 2017, ordered that— for which confidential treatment by the California. A supplement to the Commission is properly sought will be (1) Pursuant to subsection (b) of section 337 of the Tariff Act of 1930, as 2 All contract personnel will sign appropriate 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. amended, an investigation be instituted https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System to determine whether there is a filing_procedures.pdf. (EDIS): https://edis.usitc.gov. violation of subsection (a)(1)(B) of

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section 337 in the importation into the investigation will not be granted unless Needy Road, Martinsburg, WV 25405, or United States, the sale for importation, good cause therefor is shown. by telephone at 1–877–283–3352. or the sale within the United States after Failure of the respondent to file a SUPPLEMENTARY INFORMATION: Written importation of certain microfluidic timely response to each allegation in the comments and suggestions from the devices by reason of infringement of one complaint and in this notice may be public and affected agencies concerning or more of claims 1–12 and 14–16 of the deemed to constitute a waiver of the the proposed collection of information ’664 patent; claims 1–15 of the ’844 right to appear and contest the are encouraged. Your comments should patent; claims 1–21 of the ’682 patent; allegations of the complaint and this address one or more of the following claims 1–27 of the ’635 patent; and notice, and to authorize the four points: claims 1, 2, 4–8, and 14–21 of the ’160 administrative law judge and the —Evaluate whether the proposed patent; and whether an industry in the Commission, without further notice to collection of information is necessary United States exists as required by the respondent, to find the facts to be as for the proper performance of the subsection (a)(2) of section 337; alleged in the complaint and this notice functions of the agency, including (2) Pursuant to Commission Rule and to enter an initial determination whether the information will have 210.50(b)(1), 19 CFR 201.50(b)(1), the and a final determination containing practical utility; presiding administrative law judge shall such findings, and may result in the —Evaluate the accuracy of the agency’s take evidence or other information and issuance of an exclusion order or a cease estimate of the burden of the hear arguments from the parties and and desist order or both directed against proposed collection of information, other interested persons with respect to the respondent. including the validity of the the public interest in this investigation, By order of the Commission. methodology and assumptions used; as appropriate, and provide the Issued: August 30, 2017. —Evaluate whether and if so how the Commission with findings of facts and Katherine M. Hiner, quality, utility, and clarity of the a recommended determination on this Supervisory Attorney. information to be collected can be issue, which shall be limited to the enhanced; and [FR Doc. 2017–18808 Filed 9–5–17; 8:45 am] statutory public interest factors set forth —Minimize the burden of the collection in 19 U.S.C. 1337(d)(1), (F)(1), (g)(1); BILLING CODE 7020–02–P of information on those who are to (3) For the purpose of the respond, including through the use of investigation so instituted, the following appropriate automated, electronic, are hereby named as parties upon which DEPARTMENT OF JUSTICE mechanical, or other technological this notice of investigation shall be collection techniques or other forms Bureau of Alcohol, Tobacco, Firearms served: of information technology, e.g., and Explosives (a) The complainants are: permitting electronic submission of Bio-Rad Laboratories, Inc., 1000 Alfred [OMB Number 1140–0096] responses. Nobel Drive, Hercules, CA 94547 Lawrence Livermore National Security, Agency Information Collection Overview of This Information LLC, 2300 First Street, Suite 204, Activities; Proposed eCollection Collection Livermore, CA 94550 eComments Requested; Extension 1. Type of Information Collection (b) The respondent is the following Without Change of a Currently (check justification or form 83): entity alleged to be in violation of Approved Collection; Environmental Extension, without change, of a section 337, and is the party upon Information—ATF Form 5000.29 currently approved collection. 2. The Title of the Form/Collection: which the complaint is to be served: AGENCY: Bureau of Alcohol, Tobacco, 10X Genomics, Inc., 7068 Koll Center Environmental Information. Firearms and Explosives, Department of 3. The agency form number, if any, Parkway, Suite 401, Pleasanton, CA Justice. 94566. and the applicable component of the ACTION: 60-Day notice. Department sponsoring the collection: (c) The Office of Unfair Import Form number (if applicable): ATF F SUMMARY: The Department of Justice Investigations, U.S. International Trade 5000.29. (DOJ), Bureau of Alcohol, Tobacco, Commission, 500 E Street SW., Suite Component: Bureau of Alcohol, Firearms and Explosives (ATF), will 401, Washington, DC 20436; and Tobacco, Firearms and Explosives, U.S. submit the following information (4) For the investigation so instituted, Department of Justice. collection request to the Office of the Chief Administrative Law Judge, 4. Affected public who will be asked Management and Budget (OMB) for U.S. International Trade Commission, or required to respond, as well as a brief review and approval in accordance with shall designate the presiding abstract: Administrative Law Judge. the Paperwork Reduction Act of 1995. Primary: Individuals or households. Responses to the complaint and the DATES: Comments are encouraged and Other (if applicable): None. notice of investigation must be will be accepted for 60 days until Abstract: The data provided by the submitted by the named respondent in November 6, 2017. applicant on ATF F 5000.29, accordance with section 210.13 of the FOR FURTHER INFORMATION CONTACT: If Environmental Information, allows ATF Commission’s Rules of Practice and you have additional comments, to identify any waste product(s) Procedure, 19 CFR 210.13. Pursuant to particularly with respect to the generated as a result of the operations 19 CFR 201.16(e) and 210.13(a), such estimated public burden or associated by the applicant and the disposal of the responses will be considered by the response time, have suggestions, need a products. The information is then Commission if received not later than 20 copy of the proposed information reviewed in order to determine if there days after the date of service by the collection instrument with instructions, is any adverse impact on the Commission of the complaint and the or desire any additional information, environment. Information may be notice of investigation. Extensions of please contact Shawn Stevens, ATF disclosed to other Federal, State and time for submitting responses to the Industry Liaison, Federal Explosives local law enforcement and regulatory complaint and the notice of Licensing Center, either by mail at 244 personnel to verify information on the

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form and to aid in the enforcement of Representative/DRW, 8701 Morrissette on the application on or before October environmental laws. Drive, Springfield, Virginia 22152. 6, 2017. 5. An estimate of the total number of Comments and requests for hearings on ADDRESSES: Written comments should respondents and the amount of time applications to import narcotic raw be sent to: Drug Enforcement estimated for an average respondent to material are not appropriate. 72 FR 3417 Administration, Attention: DEA Federal respond: An estimated 680 respondents (January 25, 2007). Register Representative/DRW, 8701 will utilize the form, and it will take SUPPLEMENTARY INFORMATION: The Morrissette Drive, Springfield, Virginia each respondent approximately 30 Attorney General has delegated his 22152. All requests for hearing must be minutes to complete the form. authority under the Controlled sent to: Drug Enforcement 6. An estimate of the total public Substances Act to the Administrator of Administration, Attn: Administrator, burden (in hours) associated with the the Drug Enforcement Administration 8701 Morrissette Drive, Springfield, collection: The estimated annual public (DEA), 28 CFR 0.100(b). Authority to Virginia 22152. All requests for hearing burden associated with this collection is exercise all necessary functions with should also be sent to: (1) Drug 340 hours, which is equal to 680 (the respect to the promulgation and Enforcement Administration, Attn: total number of respondents) * .5 (30 implementation of 21 CFR part 1301, Hearing Clerk/LJ, 8701 Morrissette minutes). incident to the registration of Drive, Springfield, Virginia 22152; and If additional information is required manufacturers, distributors, dispensers, (2) Drug Enforcement Administration, contact: Melody Braswell, Department importers, and exporters of controlled Attn: DEA Federal Register Clearance Officer, United States substances (other than final orders in Representative/DRW, 8701 Morrissette Department of Justice, Justice connection with suspension, denial, or Drive, Springfield, Virginia 22152. Management Division, Policy and revocation of registration) has been SUPPLEMENTARY INFORMATION: The Planning Staff, Two Constitution redelegated to the Assistant Attorney General has delegated his Square, 145 N Street NE., 3E.405A, Administrator of the DEA Diversion authority under the Controlled Washington, DC 20530. Control Division (‘‘Assistant Substances Act to the Administrator of Melody Braswell, Administrator’’) pursuant to section 7 of the Drug Enforcement Administration (DEA), 28 CFR 0.100(b). Authority to Department Clearance Officer for PRA, U.S. 28 CFR part 0, appendix to subpart R. Department of Justice. In accordance with 21 CFR exercise all necessary functions with respect to the promulgation and [FR Doc. 2017–18841 Filed 9–5–17; 8:45 am] 1301.34(a), this is notice that on implementation of 21 CFR part 1301, BILLING CODE 4410–FY–P November 23, 2016, Siegfried USA, LLC, 33 Industrial Park Road, incident to the registration of Pennsville, New Jersey 08070 applied to manufacturers, distributors, dispensers, DEPARTMENT OF JUSTICE be registered as an importer of the importers, and exporters of controlled following basic classes of controlled substances (other than final orders in Drug Enforcement Administration substances: connection with suspension, denial, or revocation of registration) has been [Docket No. DEA–392] Controlled substance Drug Schedule redelegated to the Assistant code Administrator of the DEA Diversion Importer of Controlled Substances Control Division (‘‘Assistant Application: Siegfried USA, LLC Opium, raw ...... 9600 II Poppy Straw Concentrate ...... 9670 II Administrator’’) pursuant to section 7 of ACTION: Notice of application. 28 CFR part 0, appendix to subpart R. The company plans to import the In accordance with 21 CFR DATES: Registered bulk manufacturers of listed controlled substances to 1301.34(a), this is notice that on May 26, the affected basic classes, and manufacture bulk active 2017, Akorn, Inc., 1222 W. Grand applicants therefore, may file written pharmaceuticals ingredients (API) for Avenue, Decatur, Illinois 62522 applied comments on or objections to the distribution to its customers. to be registered as an importer of issuance of the proposed registration in Dated: August 28, 2017. remifentanil (9739), a basic class of accordance with 21 CFR 1301.34(a) on Demetra Ashley, controlled substance listed in schedule or before October 6, 2017. Such persons II. Acting Assistant Administrator. The company plans to import may also file a written request for a [FR Doc. 2017–18802 Filed 9–5–17; 8:45 am] hearing on the application pursuant to remifentanil in dosage form for BILLING CODE 4410–09–P 21 CFR 1301.43 on or before October 6, distribution. 2017. Dated: August 28, 2017. ADDRESSES: Written comments should DEPARTMENT OF JUSTICE Demetra Ashley, be sent to: Drug Enforcement Acting Assistant Administrator. Administration, Attention: DEA Federal Drug Enforcement Administration [FR Doc. 2017–18803 Filed 9–5–17; 8:45 am] Register Representative/DRW, 8701 [Docket No. DEA–392] BILLING CODE 4410–09–P Morrissette Drive, Springfield, Virginia 22152. All requests for hearing must be Importer of Controlled Substances sent to: Drug Enforcement Application: Akorn, Inc. DEPARTMENT OF JUSTICE Administration, Attn: Administrator, 8701 Morrissette Drive, Springfield, ACTION: Notice of application. Drug Enforcement Administration Virginia 22152. All requests for hearing Marcus W. Anderson, M.D.; Decision DATES: Registered bulk manufacturers of should also be sent to: (1) Drug and Order Enforcement Administration, Attn: the affected basic classes, and Hearing Clerk/LJ, 8701 Morrissette applicants therefore, may file written On May 12, 2017, the Assistant Drive, Springfield, Virginia 22152; and comments on or objections on or before Administrator, Diversion Control (2) Drug Enforcement Administration, November 6, 2017. Such persons may Division, Drug Enforcement Attn: DEA Federal Register also file a written request for a hearing Administration (DEA), issued an Order

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to Show Cause to Marcus W. Anderson, 206 27th Avenue South, Myrtle Beach, On November 22, 2016, the Board of M.D. (Registrant), of Saint Augustine, South Carolina.’’ GX 4 at 2.2 ‘‘On or Medicine for the State of Florida issued Florida. The Show Cause Order about May 30, 2017,’’ the DI ‘‘accessed a ‘‘Final Order’’ stating that Registrant’s proposed the revocation of Registrant’s the USPS Web site,’’ ‘‘entered the ‘‘license to practice medicine in the Certificate of Registration on the ground tracking number of the certified mail’’ State of Florida is hereby SUSPENDED that he lacks ‘‘authority to handle that he had sent to the Myrtle Beach until such time as he demonstrates the controlled substances in the State of address, and stated that ‘‘[t]he Web site ability to practice medicine with Florida, the State in which he is indicated that the package had been reasonable skill and safety.’’ GX 3, at 4– registered with the DEA.’’ Order to delivered on May 22, 201[7].’’ Id.3 5. The Order also stated that it would Show Cause, Government Exhibit (GX) On June 28, 2017, the Government take effect upon being filed with the 1, at 1 (citing 21 U.S.C. 823(f), forwarded its Request for Final Agency Clerk of the Florida Department of 824(a)(3)). Action and an evidentiary record to my Health, which occurred on November With respect to the Agency’s Office. Therein, the Government 28, 2016. GX 3, at 3, 5. In light of the jurisdiction, the Show Cause Order represents that it has received neither a passage of time since the effective date alleged that Registrant is registered as a hearing request nor ‘‘any other reply of the Order, I have queried the Florida practitioner in schedules II through V, from’’ Registrant regarding the Show Department of Health Web site pursuant to DEA Certificate of Cause Order. RFFA, at 2. Based on the regarding the status of Registrant’s Registration FA3645213, at the address Government’s representation and the license, and I take official notice that of 300 Health Park Boulevard, Suite record, I find that more than 30 days Registrant’s Florida medical license 1004, Saint Augustine, Florida. Id. The have passed since the Order to Show remains suspended as of the date of this 4 Order also alleged that this registration Cause was served on Registrant, and he decision. Based on the above, I find does not expire until June 30, 2018. Id. has neither requested a hearing nor that Registrant does not currently have As substantive grounds for the submitted a written statement in lieu of authority under the laws of Florida to proceeding, the Show Cause Order a hearing. See 21 CFR 1301.43(d). dispense controlled substances. alleged that Registrant’s ‘‘authority to Accordingly, I find that Registrant has Discussion prescribe and administer controlled waived his right to a hearing or to Pursuant to 21 U.S.C. 824(a)(3), the substances in the State of Florida was submit a written statement and issue Attorney General is authorized to suspended effective November 28, this Decision and Order based on suspend or revoke a registration issued 2016.’’ Id. As a result of the alleged relevant evidence submitted by the suspension, the Order alleged that under section 823 of Title 21, ‘‘upon a Government. I make the following finding that the registrant . . . has had Registrant lacks ‘‘authority to handle findings. controlled substances in the State of his State license . . . suspended [or] Florida.’’ Id. Thus, based on his lack of Findings of Fact revoked . . . by competent State authority and is no longer authorized by authority to dispense controlled Registrant is a physician who is substances in Florida, the Order State law to engage in the . . . registered as a practitioner in schedules dispensing of controlled substances.’’ asserted that ‘‘the DEA must revoke’’ his II–V pursuant to Certificate of With respect to a practitioner, DEA has registration. Id. (citing 21 U.S.C. Registration FA3645213, at the address long held that the possession of 802(21), 823(f)(1), 824(a)(3)). of 300 Health Park Boulevard, Suite authority to dispense controlled The Show Cause Order notified 1004, Saint Augustine, Florida. GX 2. substances under the laws of the State Registrant of his right to request a The registration does not expire until in which a practitioner engages in hearing on the allegations or to submit June 30, 2018. Id. professional practice is a fundamental a written statement in lieu of a hearing, condition for obtaining and maintaining the procedure for electing either option, Florida Board of Medicine and Florida’s Assistant a registration. See, e.g., James L. Hooper, and the consequence for failing to elect General Counsel for the Florida Department of 76 FR 71371 (2011), pet. for rev. denied, either option. Id. at 2 (citing 21 CFR Health both served Registrant at the 206 27th 481 Fed. Appx. 826 (4th Cir. 2012); see 1301.43). The Show Cause Order also Avenue South, Myrtle Beach, South Carolina address. E.g., GX 3, at 6, 10. In addition, Florida’s also Frederick Marsh Blanton, 43 FR notified Registrant of his right to submit administrative complaint also states that 27616 (1978) (‘‘State authorization to a corrective action plan. Id. at 2–3 ‘‘Respondent’s last known address is 206 27th dispense or otherwise handle controlled Avenue South, Myrtle Beach, South Carolina.’’ Id. (citing 21 U.S.C. 824(c)(2)(C)). substances is a prerequisite to the The Government states that on May at 18. 2 issuance and maintenance of a Federal 22, 2017, ‘‘DEA personally served a The DI states in his Affidavit that he mailed the Show Cause Order on ‘‘May 19, 2016.’’ GX 4, at 2. controlled substances registration.’’). copy of the Order to Show Cause on Given that the Show Cause Order was not issued This rule derives from the text of two [Registrant] at 206 27th Avenue South, until May 12, 2017, I find that this was a provisions of the CSA. First, Congress Myrtle Beach, South Carolina.’’ typographic error, and that the DI intended to state that he mailed the Show Cause Order on May 19, defined ‘‘the term ‘practitioner’ [to] Government Request for Final Agency 2017. mean[ ] a . . . physician . . . or other Action (RFFA), at 2 (citing GX 4). 3 The DI stated in his affidavit that ‘‘I accessed the Specifically, a DEA Diversion USPS Web site at www.ups.com.’’ GX 4, at 2. 4 In accordance with the Administrative Investigator (DI) from the DEA’s Although ‘‘UPS’’ is a known acronym for another Procedure Act (APA), an agency ‘‘may take official Jacksonville, Florida, District Office delivery service, United Parcel Service, I find that notice of facts at any stage in a proceeding-even in this too was a typographic error, and that the DI had the final decision.’’ U.S. Dept. of Justice, Attorney states in a sworn affidavit that he mailed intended to state that he accessed the USPS Web General’s Manual on the Administrative Procedure the Show Cause Order to Registrant’’ via site at www.usps.com. For these reasons, I also find Act 80 (1947) (Wm. W. Gaunt & Sons, Inc., Reprint United States Postal Service (‘‘USPS’’) that such service was done by mail and not by 1979). In accordance with the APA and DEA’s Certified Mail’’ and ‘‘addressed the personal service. In addition, as the DI states that regulations, Registrant is ‘‘entitled on timely request 1 he had checked the USPS Web site on ‘‘May 30, to an opportunity to show to the contrary.’’ 5 U.S.C. envelope to his last known address at 2017,’’ I find that his statement in the affidavit that 556(e); see also 21 CFR 1316.59(e). To allow the Web site indicated that the package had been Registrant the opportunity to refute the facts of 1 Although neither the DI’s affidavit nor the delivered on ‘‘May 22, 2016,’’ id., was a which I take official notice, Registrant may file a Request for Final Agency Action set forth the basis typographical error and that the DI intended to state motion for reconsideration within 15 calendar days for the statement that this is the Registrant’s ‘‘last that the Web site indicated delivery on May 22, of the date of service of this Order which shall known address,’’ the record does show that the 2017. commence on the date this Order is mailed.

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person licensed, registered or otherwise registration, or any pending application Controlled substance Drug Schedule permitted, by . . . the jurisdiction in of Marcus W. Anderson for any other code which he practices . . . to distribute, registration, be, and it hereby is, denied. Cocaine ...... 9041 II dispense, [or] administer . . . a This Order is effective immediately.5 Ecgonine ...... 9180 II controlled substance in the course of Dated: August 28, 2017. The company plans to manufacture professional practice.’’ 21 U.S.C. Chuck Rosenberg, 802(21). Second, in setting the the listed controlled substances in bulk Acting Administrator. requirements for obtaining a for distribution to its customers. [FR Doc. 2017–18784 Filed 9–5–17; 8:45 am] practitioner’s registration, Congress Dated: August 28, 2017. BILLING CODE 4410–09–P directed that ‘‘[t]he Attorney General Demetra Ashley, shall register practitioners . . . if the Acting Assistant Administrator. applicant is authorized to dispense . . . DEPARTMENT OF JUSTICE controlled substances under the laws of [FR Doc. 2017–18789 Filed 9–5–17; 8:45 am] BILLING CODE 4410–09–P the State in which [s]he practices.’’ 21 Drug Enforcement Administration U.S.C. 823(f). Because Congress has [Docket No. DEA–392] clearly mandated that a practitioner DEPARTMENT OF JUSTICE possess state authority in order to be Bulk Manufacturer of Controlled deemed a practitioner under the Act, Substances Application: Stepan Drug Enforcement Administration DEA has held repeatedly that revocation Company of a practitioner’s registration is the [Docket No. DEA–392] appropriate sanction whenever he is no ACTION: Notice of application. Importer of Controlled Substances longer authorized to dispense controlled Application: KVK–Tech, Inc. substances under the laws of the State DATES: Registered bulk manufacturers of in which he engages in professional the affected basic classes, and ACTION: Notice of application. practice. See, e.g., Calvin Ramsey, 76 FR applicants therefore, may file written 20034, 20036 (2011); Sheran Arden comments on or objections to the DATES: Registered bulk manufacturers of Yeates, M.D., 71 FR 39130, 39131 issuance of the proposed registration in the affected basic classes, and (2006); Dominick A. Ricci, 58 FR 51104, accordance with 21 CFR 1301.33(a) on applicants therefore, may file written 51105 (1993); Bobby Watts, 53 FR or before November 6, 2017. comments on or objections to the 11919, 11920 (1988); Blanton, 43 FR ADDRESSES: Written comments should issuance of the proposed registration in 27616 (1978). be sent to: Drug Enforcement accordance with 21 CFR 1301.34(a) on Moreover, because ‘‘the controlling Administration, Attention: DEA Federal or before October 6, 2017. Such persons question’’ in a proceeding brought Register Representative/DRW, 8701 may also file a written request for a under 21 U.S.C. 824(a)(3) is whether the Morrissette Drive, Springfield, Virginia hearing on the application pursuant to holder of a practitioner’s registration ‘‘is 22152. 21 CFR 1301.43 on or before October 6, currently authorized to handle 2017. controlled substances in the [S]tate,’’ SUPPLEMENTARY INFORMATION: The ADDRESSES: Written comments should Hooper, 76 FR at 71371 (quoting Anne Attorney General has delegated his be sent to: Drug Enforcement Lazar Thorn, 62 FR 12847, 12848 authority under the Controlled Administration, Attention: DEA Federal (1997)), the Agency has also long held Substances Act to the Administrator of Register Representative/DRW, 8701 that revocation is warranted even where the Drug Enforcement Administration Morrissette Drive, Springfield, Virginia a practitioner has lost his state authority (DEA), 28 CFR 0.100(b). Authority to 22152. All requests for hearing must be by virtue of the State’s use of summary exercise all necessary functions with sent to: Drug Enforcement process and the State has yet to provide respect to the promulgation and Administration, Attn: Administrator, a hearing to challenge the suspension. implementation of 21 CFR part 1301, Bourne Pharmacy, 72 FR 18273, 18274 incident to the registration of 8701 Morrissette Drive, Springfield, (2007); Wingfield Drugs, 52 FR 27070, manufacturers, distributors, dispensers, Virginia 22152. All request for hearing 27071 (1987). Thus, it is of no importers, and exporters of controlled should also be sent to: (1) Drug consequence that the Florida State substances (other than final orders in Enforcement Administration, Attn: Board of Medical Examiners has connection with suspension, denial, or Hearing Clerk/LJ, 8701 Morrissette employed summary process in revocation of registration) has been Drive, Springfield, Virginia 22152; and suspending Registrant’s state medical redelegated to the Assistant (2) Drug Enforcement Administration, license. What is consequential is that Administrator of the DEA Diversion Attn: DEA Federal Register Registrant is no longer currently Control Division (‘‘Assistant Representative/DRW, 8701 Morrissette authorized to dispense controlled Administrator’’) pursuant to section 7 of Drive, Springfield, Virginia 22152. substances in Florida, the State in 28 CFR part 0, appendix to subpart R. SUPPLEMENTARY INFORMATION: The which he is registered. I will therefore In accordance with 21 CFR Attorney General has delegated his order that his registration be revoked. 1301.33(a), this is notice that on January authority under the Controlled 20, 2017, Stepan Company, Natural Substances Act to the Administrator of Order Products Dept., 100 W. Hunter Avenue, the Drug Enforcement Administration Pursuant to the authority vested in me Maywood, New Jersey 07607 applied to (DEA), 28 CFR 0.100(b). Authority to by 21 U.S.C. 823(f) and 824(a), as well be registered as a bulk manufacturer of exercise all necessary functions with as 28 CFR 0.100(b), I order that DEA the following basic classes of controlled respect to the promulgation and Certificate of Registration No. substances: implementation of 21 CFR part 1301, FA3645213, issued to Marcus W. incident to the registration of Anderson, M.D., be, and it hereby is, 5 For the same reasons that led the Florida Board manufacturers, distributors, dispensers, of Medicine to summarily suspend Registrant’s importers, and exporters of controlled revoked. I further order that any medical license, I find that the public interest pending application of Marcus W. necessitates that this Order be effective substances (other than final orders in Anderson to renew or modify the above immediately. 21 CFR 1316.67. connection with suspension, denial, or

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revocation of registration) has been (2) Drug Enforcement Administration, applicants therefore, may file written redelegated to the Assistant Attn: DEA Federal Register comments on or objections to the Administrator of the DEA Diversion Representative/DRW, 8701 Morrissette issuance of the proposed registration in Control Division (‘‘Assistant Drive, Springfield, Virginia 22152. accordance with 21 CFR 1301.34(a) on Administrator’’) pursuant to section 7 of SUPPLEMENTARY INFORMATION: The or before October 6, 2017. Such persons 28 CFR part 0, appendix to subpart R. Attorney General has delegated his may also file a written request for a In accordance with 21 CFR authority under the Controlled hearing on the application pursuant to 1301.34(a), this is notice that on July 18, Substances Act to the Administrator of 21 CFR 1301.43 on or before October 6, 2016, KVK–Tech, Inc., 110 Terry Drive, the Drug Enforcement Administration 2017. Newtown, Pennsylvania 18940 applied (DEA), 28 CFR 0.100(b). Authority to ADDRESSES: Written comments should to be registered as an importer of exercise all necessary functions with be sent to: Drug Enforcement Lisdexamfetamine (1205), a basic class respect to the promulgation and Administration, Attention: DEA Federal of controlled substance listed in implementation of 21 CFR part 1301, Register Representative/DRW, 8701 schedule II. incident to the registration of Morrissette Drive, Springfield, Virginia The company plans to import the manufacturers, distributors, dispensers, 22152. All requests for hearing must be listed controlled substance in finished importers, and exporters of controlled sent to: Drug Enforcement dosage form for clinical trials, research, substances (other than final orders in Administration, Attn: Administrator, and analytical purposes. Approval of connection with suspension, denial, or 8701 Morrissette Drive, Springfield, permit applications will occur only revocation of registration) has been Virginia 22152. All requests for hearing when the registrant’s business activity is redelegated to the Assistant should also be sent to: (1) Drug consistent with what is authorized Administrator of the DEA Diversion Enforcement Administration, Attn: under 21 U.S.C. 952(a)(2). Authorization Control Division (‘‘Assistant Hearing Clerk/LJ, 8701 Morrissette will not extend to the import of FDA Administrator’’) pursuant to section 7 of Drive, Springfield, Virginia 22152; and approved or non-approved finished 28 CFR part 0, appendix of subpart R. (2) Drug Enforcement Administration, dosage forms for commercial sale. In accordance with 21 CFR Attn: DEA Federal Register Dated: August 28, 2017. 1301.34(a), this is notice that on October Representative/DRW, 8701 Morrissette Demetra Ashley, 31, 2016, Spex Certiprep Group, LLC, Drive, Springfield, Virginia 22152. SUPPLEMENTARY INFORMATION: Acting Assistant Administrator. 203 Norcross Avenue, Metuchen, New The Jersey 08840 applied to be registered as Attorney General has delegated his [FR Doc. 2017–18787 Filed 9–5–17; 8:45 am] authority under the Controlled BILLING CODE 4410–09–P an importer of the following basic classes of controlled substances: Substances Act to the Administrator of the Drug Enforcement Administration Drug DEPARTMENT OF JUSTICE Controlled substance Schedule (DEA), 28 CFR 0.100(b). Authority to code exercise all necessary functions with Drug Enforcement Administration Marihuana ...... 7360 I respect to the promulgation and Tetrahydrocannabinols ...... 7370 I implementation of 21 CFR part 1301, [Docket No. DEA–392] incident to the registration of The company plans to import the manufacturers, distributors, dispensers, Importer of Controlled Substances listed controlled substances for sale to importers, and exporters of controlled Application: Spex Certiprep Group, research facilities for drug testing and substances (other than final orders in LLC analysis. connection with suspension, denial, or ACTION: Notice of application. In reference to drug codes 7360 revocation of registration) has been (marihuana) and 7370 (THC), the redelegated to the Assistant DATES: Registered bulk manufacturers of company plans to import a synthetic Administrator of the DEA Diversion the affected basic classes, and cannabidiol and a synthetic Control Division (‘‘Assistant applicants therefore, may file written tetrahydrocannabinol. No other activity Administrator’’) pursuant to section 7 of comments on or objections to the for these drug codes is authorized for 28 CFR part 0, appendix to subpart R. issuance of the proposed registration in this registration. In accordance with 21 CFR accordance with 21 CFR 1301.34(a) on Dated: August 28, 2017. 1301.34(a), this is notice that on or before October 6, 2017. Such persons Demetra Ashley, December 9, 2016, Mylan Pharmaceuticals, Inc., 781 Chestnut may also file a written request for a Acting Assistant Administrator. Ridge Road, Morgantown, West Virginia hearing on the application pursuant to [FR Doc. 2017–18788 Filed 9–5–17; 8:45 am] 21 CFR 1301.43 on or before October 6, 26505 applied to be registered as an BILLING CODE 4410–09–P 2017. importer of the following basic classes ADDRESSES: Written comments should of controlled substances: be sent to: Drug Enforcement DEPARTMENT OF JUSTICE Drug Administration, Attention: DEA Federal Controlled substance code Schedule Register Representative/DRW, 8701 Drug Enforcement Administration Amphetamine ...... 1100 II Morrissette Drive, Springfield, Virginia [Docket No. DEA–392] Methylphenidate ...... 1724 II 22152. All requests for hearing must be Oxycodone ...... 9143 II sent to: Drug Enforcement Hydromorphone ...... 9150 II Importer of Controlled Substances Methadone ...... 9250 II Administration, Attn: Administrator, Application: Mylan Pharmaceuticals, Morphine ...... 9300 II 8701 Morrissette Drive, Springfield, Inc. Fentanyl ...... 9801 II Virginia 22152. All request for hearing should also be sent to: (1) Drug ACTION: Notice of application. The company plans to import the Enforcement Administration, Attn: listed controlled substances in finished Hearing Clerk/LJ, 8701 Morrissette DATES: Registered bulk manufacturers of dosage form (FDF) from foreign sources Drive, Springfield, Virginia 22152; and the affected basic classes, and for analytical testing and clinical trials

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in which the foreign FDF will be importers, and exporters of controlled Government in the Sunshine Act (5 compared to the company’s own substances (other than final orders in U.S.C. 552b), hereby gives notice in domestically-manufactured FDF. This connection with suspension, denial, or regard to the scheduling of open analysis is required to allow the revocation of registration) has been meetings as follows: company to export domestically- redelegated to the Assistant DATES: THURSDAY, SEPTEMBER 14, 2017: manufactured FDF to foreign markets. Administrator of the DEA Diversion 10:00 a.m.—Issuance of Proposed Authorization will not extend to the Control Division (‘‘Assistant Decisions in claims against Iraq. import of FDA approved or non- Administrator’’) pursuant to section 7 of STATUS: Open. approved finished dosage forms for 28 CFR part 0, appendix to subpart R. All meetings are held at the Foreign commercial sale. In accordance with 21 CFR Claims Settlement Commission, 600 E Dated: August 28, 2017. 1301.34(a), this is notice that on May 5, Street NW., Washington, DC. Requests Demetra Ashley, 2017, Fisher Clinical Services, Inc., for information, or advance notices of 7554 Schantz Road, Allentown, Acting Assistant Administrator. intention to observe an open meeting, Pennsylvania 18106 applied to be may be directed to: Patricia M. Hall, [FR Doc. 2017–18801 Filed 9–5–17; 8:45 am] registered as an importer of the BILLING CODE 4410–09–P Foreign Claims Settlement Commission, following basic classes of controlled 600 E Street NW., Suite 6002, substances: Washington, DC 20579. Telephone: DEPARTMENT OF JUSTICE Drug (202) 616–6975. Controlled substance code Schedule Drug Enforcement Administration Brian M. Simkin, Methylphenidate ...... 1724 II Chief Counsel. [Docket No. DEA–392] Levorphanol ...... 9220 II [FR Doc. 2017–18962 Filed 9–1–17; 11:15 am] Noroxymorphone ...... 9668 II Importer of Controlled Substances Tapentadol ...... 9780 II BILLING CODE 4410–BA–P Application: Fisher Clinical Services, Inc. The company plans to import the listed controlled substances for DEPARTMENT OF JUSTICE ACTION: Notice of application. analytical research, testing, and clinical [OMB Number 1122–0011] trials. This authorization does not DATES: Registered bulk manufacturers of extend to the import of a finished FDA Agency Information Collection the affected basic classes, and approved or non-approved dosage form Activities; Proposed eCollection applicants therefore, may file written for commercial distribution in the eComments Requested; Extension of a comments on or objections to the United States. Currently Approved Collection issuance of the proposed registration in The company plans to import an accordance with 21 CFR 1301.34(a) on intermediate form of tapentadol (9780) AGENCY: Office on Violence Against or before October 6, 2017. Such persons to bulk manufacture tapentadol for Women, Department of Justice. may also file a written request for a distribution to its customers. Placement ACTION: 60-Day notice. hearing on the application pursuant to of these (this) drug code(s) onto the SUMMARY: The Department of Justice, 21 CFR 1301.43 on or before October 6, company’s registration does not Office on Violence Against Women 2017. translate into automatic approval of (OVW) will be submitting the following ADDRESSES: Written comments should subsequent permit applications to information collection request to the be sent to: Drug Enforcement import controlled substances. Approval Office of Management and Budget Administration, Attention: DEA Federal of permit applications will occur only (OMB) for review and approval in Register Representative/DRW, 8701 when the registrant’s business activity is accordance with the Paperwork Morrissette Drive, Springfield, Virginia consistent with what is authorized Reduction Act of 1995. 22152. All requests for hearing must be under to 21 U.S.C. 952(a)(2). sent to: Drug Enforcement Authorization will not extend to the DATES: Comments are encouraged and Administration, Attn: Administrator, import of FDA approved or non- will be accepted for 60 days until 8701 Morrissette Drive, Springfield, approved finished dosage forms for November 6, 2017. Virginia 22152. All request for hearing commercial sale. FOR FURTHER INFORMATION CONTACT: Written comments and/or suggestion should also be sent to: (1) Drug Dated: August 28, 2017. Enforcement Administration, Attn: regarding the items contained in this Demetra Ashley, Hearing Clerk/LJ, 8701 Morrissette notice, especially the estimated public Drive, Springfield, Virginia 22152; and Acting Assistant Administrator. burden and associated response time, (2) Drug Enforcement Administration, [FR Doc. 2017–18785 Filed 9–5–17; 8:45 am] should be directed to Cathy Poston, Attn: DEA Federal Register BILLING CODE 4410–09–P Office on Violence Against Women, at Representative/DRW, 8701 Morrissette 202–514–5430 or Catherine.poston@ Drive, Springfield, Virginia 22152. usdoj.gov. DEPARTMENT OF JUSTICE SUPPLEMENTARY INFORMATION: The SUPPLEMENTARY INFORMATION: Written Attorney General has delegated his Foreign Claims Settlement comments and suggestions from the authority under the Controlled Commission public and affected agencies concerning Substances Act to the Administrator of the proposed collection of information the Drug Enforcement Administration [F.C.S.C. Meeting and Hearing Notice No. are encouraged. Your comments should 8–17] (DEA), 28 CFR 0.100(b). Authority to address one or more of the following exercise all necessary functions with Sunshine Act Meeting four points: respect to the promulgation and (1) Evaluate whether the proposed implementation of 21 CFR part 1301, The Foreign Claims Settlement collection of information is necessary incident to the registration of Commission, pursuant to its regulations for the proper performance of the manufacturers, distributors, dispensers, (45 CFR part 503.25) and the functions of the agency, including

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whether the information will have must complete only those sections that functions of the agency, including practical utility; are relevant to their activities. whether the information will have (2) Evaluate the accuracy of the (6) An estimate of the total public practical utility; agency’s estimate of the burden of the burden (in hours) associated with the (2) Evaluate the accuracy of the proposed collection of information, collection: The total annual hour burden agency’s estimate of the burden of the including the validity of the to complete the data collection forms is proposed collection of information, methodology and assumptions used; 28 hours, that is 14 grantees completing including the validity of the (3) Enhance the quality, utility, and a form twice a year with an estimated methodology and assumptions used; clarity of the information to be completion time for the form being one (3) Enhance the quality, utility, and collected; and hour. clarity of the information to be (4) Minimize the burden of the If additional information is required collected; and collection of information on those who contact: Melody Braswell, Deputy (4) Minimize the burden of the are to respond, including through the Clearance Officer, United States collection of information on those who use of appropriate automated, Department of Justice, Justice are to respond, including through the electronic, mechanical, or other Management Division, Policy and use of appropriate automated, technological collection techniques or Planning Staff, Two Constitution electronic, mechanical, or other other forms of information technology, Square, 145 N Street NE., 3E, 405B, technological collection techniques or e.g., permitting electronic submission of Washington, DC 20530. other forms of information technology, responses. Dated: August 31, 2017. e.g., permitting electronic submission of responses. Overview of This Information Melody Braswell, Collection Department Clearance Officer, PRA, U.S. Overview of This Information (1) Type of Information Collection: Department of Justice. Collection Extension of a currently approved [FR Doc. 2017–18833 Filed 9–5–17; 8:45 am] (1) Type of Information Collection: collection. BILLING CODE 4410–FX–P Extension of a currently approved (2) Title of the Form/Collection: Semi- collection. Annual Progress Report for Grantees (2) Title of the Form/Collection: Semi- from the Grants to Support Tribal DEPARTMENT OF JUSTICE Annual Progress Report for Grants to Domestic Violence and Sexual Assault [OMB Number 1122–0005] Reduce Violent Crimes Against Women Coalitions Program (Tribal Coalitions on Campus Program (Campus Program). Program). Agency Information Collection (3) Agency form number, if any, and (3) Agency form number, if any, and Activities; Proposed eCollection the applicable component of the the applicable component of the eComments Requested; Extension of a Department of Justice sponsoring the Department of Justice sponsoring the Currently Approved Collection collection: Form Number: 1122–0005. collection: Form Number: 1122–0011. U.S. Department of Justice, Office on U.S. Department of Justice, Office on AGENCY: Office on Violence Against Violence Against Women. Violence Against Women. Women, Department of Justice. (4) Affected public who will be asked (4) Affected public who will be asked ACTION: 60-Day Notice. or required to respond, as well as a brief or required to respond, as well as a brief abstract: The affected public includes SUMMARY: The Department of Justice, abstract: The affected public includes Office on Violence Against Women the approximately 100 grantees the 14 grantees from the Tribal (OVW) will be submitting the following (institutions of higher education) of the Coalitions Program. The Tribal information collection request to the Campus Program whose eligibility is Coalitions Program grantees include Office of Management and Budget determined by statute. Campus Program Indian tribal governments that will (OMB) for review and approval in grants may be used to enhance victim support the development and operation accordance with the Paperwork services and develop programs to of new or existing nonprofit tribal Reduction Act of 1995. prevent violent crimes against women domestic violence and sexual assault on campuses. The Campus Program also DATES: coalitions in Indian country. These Comments are encouraged and enables institutions of higher education grants provide funds to develop and will be accepted for 60 days until to develop and strengthen effective operate nonprofit tribal domestic November 6, 2017. security and investigation strategies to violence and sexual assault coalitions in FOR FURTHER INFORMATION CONTACT: combat violent crimes against women Indian country to address the unique Written comments and/or suggestion on campuses, including domestic issues that confront Indian victims. The regarding the items contained in this violence, dating violence, sexual Tribal Coalitions Program provides notice, especially the estimated public assault, and stalking. resources for organizing and supporting burden and associated response time, (5) An estimate of the total number of efforts to end violence against Indian should be directed to Cathy Poston, respondents and the amount of time women. Office on Violence Against Women, at estimated for an average respondent to (5) An estimate of the total number of 202–514–5430 or Catherine.poston@ respond/reply: It is estimated that it will respondents and the amount of time usdoj.gov. take the approximately 100 respondents estimated for an average respondent to SUPPLEMENTARY INFORMATION: Written (Campus Program grantees) respond/reply: It is estimated that it will comments and suggestions from the approximately one hour to complete a take the 14 respondents (grantees from public and affected agencies concerning semi-annual progress report. The semi- the Tribal Coalitions Program) the proposed collection of information annual progress report is divided into approximately one hour to complete a are encouraged. Your comments should sections that pertain to the different Semi-Annual Progress Report. The address one or more of the following types of activities in which grantees Semi-Annual Progress Report is divided four points: may engage. A Campus Program grantee into sections that pertain to the different (1) Evaluate whether the proposed will only be required to complete the types of activities that grantees may collection of information is necessary sections of the form that pertain to its engage in with grant funds. Grantees for the proper performance of the own specific activities.

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(6) An estimate of the total public whether the information will have to complete the data collection forms is burden (in hours) associated with the practical utility; 66 hours, that is 33 grantees completing collection: The total annual hour burden (2) Evaluate the accuracy of the a form twice a year with an estimated to complete the data collection forms is agency’s estimate of the burden of the completion time for the form being one 200 hours, that is 100 grantees proposed collection of information, hour. completing a form twice a year with an including the validity of the If additional information is required estimated completion time for the form methodology and assumptions used; contact: Melody Braswell, Deputy being one hour. (3) Enhance the quality, utility, and Clearance Officer, United States If additional information is required clarity of the information to be Department of Justice, Justice contact: Melody Braswell, Deputy collected; and Management Division, Policy and Clearance Officer, United States (4) Minimize the burden of the Planning Staff, Two Constitution Department of Justice, Justice collection of information on those who Square, 145 N Street NE., 3E, 405B, Management Division, Policy and are to respond, including through the Washington, DC 20530. use of appropriate automated, Planning Staff, Two Constitution Dated: August 31, 2017. electronic, mechanical, or other Square, 145 N Street NE., 3E, 405B, Melody Braswell, Washington, DC 20530. technological collection techniques or other forms of information technology, Department Clearance Officer, PRA, U.S. Department of Justice. Dated: August 31, 2017. e.g., permitting electronic submission of Melody Braswell, responses. [FR Doc. 2017–18837 Filed 9–5–17; 8:45 am] Department Clearance Officer, PRA, U.S. BILLING CODE 4410–FX–P Department of Justice. Overview of This Information [FR Doc. 2017–18835 Filed 9–5–17; 8:45 am] Collection BILLING CODE 4410–FX–P (1) Type of Information Collection: DEPARTMENT OF JUSTICE Extension of a currently approved [OMB Number 1122–0010] collection. DEPARTMENT OF JUSTICE (2) Title of the Form/Collection: Semi- Agency Information Collection Annual Progress Report for Grantees Activities; Proposed eCollection [OMB Number 1122–0009] from the Safe Havens: Supervised eComments Requested; Extension of a Agency Information Collection Visitation and Exchange Grant Program Currently Approved Collection Activities; Proposed eCollection (Supervised Visitation Program). (3) Agency form number, if any, and AGENCY: Office on Violence Against eComments Requested; Extension of a Women, Department of Justice. Currently Approved Collection the applicable component of the Department of Justice sponsoring the ACTION: 60-Day notice. AGENCY: Office on Violence Against collection: Form Number: 1122–0009. SUMMARY: The Department of Justice, Women, Department of Justice. U.S. Department of Justice, Office on Office on Violence Against Women ACTION: 60-Day Notice. Violence Against Women. (OVW) will be submitting the following (4) Affected public who will be asked information collection request to the SUMMARY or required to respond, as well as a brief : The Department of Justice, Office of Management and Budget abstract: The affected public includes Office on Violence Against Women (OMB) for review and approval in the approximately 33 grantees of the (OVW) will be submitting the following accordance with the Paperwork Supervised Visitation Program who are information collection request to the Reduction Act of 1995. Office of Management and Budget States, Indian tribal governments, and DATES: Comments are encouraged and (OMB) for review and approval in units of local government. The will be accepted for 60 days until accordance with the Paperwork Supervised Visitation Program provides November 6, 2017. Reduction Act of 1995. an opportunity for communities to FOR FURTHER INFORMATION CONTACT: DATES: Comments are encouraged and support the supervised visitation and safe exchange of children, by and Written comments and/or suggestion will be accepted for 60 days until regarding the items contained in this November 6, 2017. between parents, in situations involving domestic violence, child abuse, sexual notice, especially the estimated public FOR FURTHER INFORMATION CONTACT: assault, or stalking. burden and associated response time, Written comments and/or suggestion (5) An estimate of the total number of should be directed to Cathy Poston, regarding the items contained in this respondents and the amount of time Office on Violence Against Women, at notice, especially the estimated public estimated for an average respondent to 202–514–5430 or Catherine.poston@ burden and associated response time, respond/reply: It is estimated that it will usdoj.gov. should be directed to Cathy Poston, take the approximately 33 respondents SUPPLEMENTARY INFORMATION: Office on Violence Against Women, at Written (Supervised Visitation Program 202–514–5430 or Catherine.poston@ comments and suggestions from the grantees) approximately one hour to usdoj.gov. public and affected agencies concerning complete a semi-annual progress report. the proposed collection of information SUPPLEMENTARY INFORMATION: Written The semi-annual progress report is are encouraged. Your comments should comments and suggestions from the divided into sections that pertain to the address one or more of the following public and affected agencies concerning different types of activities in which four points: the proposed collection of information grantees may engage. A Supervised (1) Evaluate whether the proposed are encouraged. Your comments should Visitation Program grantee will only be collection of information is necessary address one or more of the following required to complete the sections of the for the proper performance of the four points: form that pertain to its own specific functions of the agency, including (1) Evaluate whether the proposed activities. whether the information will have collection of information is necessary (6) An estimate of the total public practical utility; for the proper performance of the burden (in hours) associated with the (2) Evaluate the accuracy of the functions of the agency, including collection: The total annual hour burden agency’s estimate of the burden of the

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proposed collection of information, Clearance Officer, United States (4) Minimize the burden of the including the validity of the Department of Justice, Justice collection of information on those who methodology and assumptions used; Management Division, Policy and are to respond, including through the (3) Enhance the quality, utility, and Planning Staff, Two Constitution use of appropriate automated, clarity of the information to be Square, 145 N Street NE., 3E, 405B, electronic, mechanical, or other collected; and Washington, DC 20530. technological collection techniques or (4) Minimize the burden of the Dated: August 31, 2017. other forms of information technology, collection of information on those who e.g., permitting electronic submission of Melody Braswell, are to respond, including through the responses. use of appropriate automated, Department Clearance Officer, PRA, U.S. electronic, mechanical, or other Department of Justice. Overview of This Information Collection technological collection techniques or [FR Doc. 2017–18834 Filed 9–5–17; 8:45 am] other forms of information technology, BILLING CODE 4410–FX–P (1) Type of Information Collection: e.g., permitting electronic submission of Extension of a currently approved responses. collection. DEPARTMENT OF JUSTICE (2) Title of the Form/Collection: Semi- Overview of This Information Annual Progress Report for the Grants to [OMB Number 1122–0018] Collection Indian Tribal Governments Program (1) Type of Information Collection: Agency Information Collection (Tribal Governments Program). Extension of a currently approved Activities; Proposed eCollection (3) Agency form number, if any, and collection. eComments Requested; Extension of a the applicable component of the (2) Title of the Form/Collection: Semi- Currently Approved Collection Department of Justice sponsoring the Annual Progress Report for Grantees collection: Form Number: 1122–0018. from the Grants to State Sexual Assault AGENCY: Office on Violence Against U.S. Department of Justice, Office on and Domestic Violence Coalitions Women, Department of Justice. Violence Against Women. Program (State Coalitions Program). ACTION: 60-Day notice. (4) Affected public who will be asked (3) Agency form number, if any, and or required to respond, as well as a brief the applicable component of the SUMMARY: The Department of Justice, abstract: The affected public includes Department of Justice sponsoring the Office on Violence Against Women the approximately 85 grantees of the collection: Form Number: 1122–0010. (OVW) will be submitting the following Grants to Indian Tribal Governments U.S. Department of Justice, Office on information collection request to the Program (Tribal Governments Program), Violence Against Women. Office of Management and Budget a grant program authorized by the (4) Affected public who will be asked (OMB) for review and approval in Violence Against Women Act of 2005. or required to respond, as well as a brief accordance with the Paperwork This discretionary grant program is abstract: The affected public includes Reduction Act of 1995. designed to enhance the ability of tribes the 88 grantees from the State Coalitions DATES: Comments are encouraged and to respond to violent crimes against Program. The State Coalitions Program will be accepted for 60 days until Indian women, enhance victim safety, provides federal financial assistance to November 6, 2017. and develop education and prevention state coalitions to support the FOR FURTHER INFORMATION CONTACT: strategies. Eligible applicants are coordination of state victim services Written comments and/or suggestion recognized Indian tribal governments or activities, and collaboration and regarding the items contained in this their authorized designees. coordination with federal, state, and notice, especially the estimated public (5) An estimate of the total number of local entities engaged in violence burden and associated response time, respondents and the amount of time against women activities. should be directed to Cathy Poston, estimated for an average respondent to (5) An estimate of the total number of Office on Violence Against Women, at respond/reply: It is estimated that it will respondents and the amount of time 202–514–5430 or Catherine.poston@ take the approximately 85 respondents estimated for an average respondent to usdoj.gov. (Tribal Governments Program grantees) respond/reply: It is estimated that it will approximately one hour to complete a take the approximately 88 respondents SUPPLEMENTARY INFORMATION: Written semi-annual progress report. The semi- (State Coalitions Program grantees) comments and suggestions from the annual progress report is divided into approximately one hour to complete a public and affected agencies concerning sections that pertain to the different semi-annual progress report. The semi- the proposed collection of information types of activities in which grantees annual progress report is divided into are encouraged. Your comments should may engage. A Tribal Governments sections that pertain to the different address one or more of the following Program grantee will only be required to types of activities in which grantees four points: complete the sections of the form that may engage. A State Coalitions Program (1) Evaluate whether the proposed pertain to its own specific activities. grantee will only be required to collection of information is necessary (6) An estimate of the total public complete the sections of the form that for the proper performance of the burden (in hours) associated with the pertain to its own specific activities. functions of the agency, including collection: The total annual hour burden (6) An estimate of the total public whether the information will have to complete the data collection forms is burden (in hours) associated with the practical utility; 170 hours, that is 85 grantees collection: The total annual hour burden (2) Evaluate the accuracy of the completing a form twice a year with an to complete the data collection forms is agency’s estimate of the burden of the estimated completion time for the form 176 hours, that is 88 grantees proposed collection of information, being one hour. completing a form twice a year with an including the validity of the If additional information is required estimated completion time for the form methodology and assumptions used; contact: Melody Braswell, Deputy being one hour. (3) Enhance the quality, utility, and Clearance Officer, United States If additional information is required clarity of the information to be Department of Justice, Justice contact: Melody Braswell, Deputy collected; and Management Division, Policy and

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Planning Staff, Two Constitution Activity for Which Permit Is Requested Week of October 2, 2017—Tentative Square, 145 N Street NE., 3E, 405B, Enter Antarctic Specially Protected Thursday, October 5, 2017 Washington, DC 20530. Area. The applicant, an artist supported Dated: August 31, 2017. by NSF’s Antarctic Artists and Writers 9:00 a.m. Hearing on Combined Melody Braswell, Program, would enter ASPA 149, Cape Licenses for Turkey Point, Units 6 Department Clearance Officer, PRA, U.S. Shirreff, to photograph the manmade and 7: Section 189a. of the Atomic Department of Justice. structures and their relationship to Energy Act Proceeding (Public [FR Doc. 2017–18836 Filed 9–5–17; 8:45 am] surrounding landscapes. If approved, Meeting) (Contact: Manny Comar: BILLING CODE 4410–FX–P the applicant would be accompanied in 301–415–3863) by experienced staff and researchers who are familiar with the environmental This meeting will be webcast live at the Web address—http://www.nrc.gov/. NATIONAL SCIENCE FOUNDATION sensitivities of the Area and would ensure that the applicant acts in Week of October 9, 2017—Tentative Notice of Permit Applications Received accordance with the management plan Under the Antarctic Conservation Act for the Area. The results of this work are There are no meetings scheduled for of 1978 expected to be useful for outreach and the week of October 9, 2017. education about Antarctica and the * * * * * AGENCY: National Science Foundation. scientific research conducted there. ACTION: Notice of permit applications The schedule for Commission Location received. meetings is subject to change on short ASPA 149, Cape Shirreff, Livingston notice. For more information or to verify SUMMARY: The National Science Island, South Shetland Islands. the status of meetings, contact Denise Foundation (NSF) is required to publish Dates McGovern at 301–415–0681 or via email a notice of permit applications received at [email protected]. to conduct activities regulated under the October 20–November 5, 2017. * * * * * Antarctic Conservation Act of 1978. Nadene G. Kennedy, NSF has published regulations under The NRC Commission Meeting Polar Coordination Specialist, Office of Polar Schedule can be found on the Internet the Antarctic Conservation Act in the Programs. Code of Federal Regulations. This is the at: http://www.nrc.gov/public-involve/ [FR Doc. 2017–18781 Filed 9–5–17; 8:45 am] required notice of permit applications public-meetings/schedule.html. BILLING CODE 7555–01–P received. * * * * * DATES: Interested parties are invited to The NRC provides reasonable submit written data, comments, or NUCLEAR REGULATORY accommodation to individuals with views with respect to this permit COMMISSION disabilities where appropriate. If you application by October 6, 2017. This [NRC–2017–0001] need a reasonable accommodation to application may be inspected by participate in these public meetings, or interested parties at the Permit Office, Sunshine Act Meeting Notice need this meeting notice or the address below. transcript or other information from the ADDRESSES: Comments should be DATE: Weeks of September 4, 11, 18, 25, public meetings in another format (e.g., addressed to Permit Office, Room 755, October 2, 9, 2017. braille, large print), please notify Office of Polar Programs, National PLACE: Commissioners’ Conference Kimberly Meyer, NRC Disability Science Foundation, 4201 Wilson Room, 11555 Rockville Pike, Rockville, Program Manager, at 301–287–0739, by Boulevard, Arlington, Virginia 22230. Maryland. videophone at 240–428–3217, or by FOR FURTHER INFORMATION CONTACT: STATUS: Public and closed. email at Kimberly.Meyer-Chambers@ Nature McGinn, ACA Permit Officer, at nrc.gov. Determinations on requests for the above address or ACApermits@ Week of September 4, 2017 reasonable accommodation will be nsf.gov. Wednesday, September 6, 2017 made on a case-by-case basis. SUPPLEMENTARY INFORMATION: The 1:30 p.m. NRC All Employees Meeting * * * * * National Science Foundation, as (Public Meeting), Marriott Bethesda directed by the Antarctic Conservation North Hotel, 5701 Marinelli Road, Members of the public may request to Act of 1978 (Pub. L. 95–541, 45 CFR 670 Rockville, MD 20852 receive this information electronically. as amended by the Antarctic Science, If you would like to be added to the Thursday, September 7, 2017 Tourism and Conservation Act of 1996, distribution, please contact the Nuclear has developed regulations for the 10:00 a.m. Briefing on NRC Regulatory Commission, Office of the establishment of a permit system for International Activities (Closed— Secretary, Washington, DC 20555 (301– various activities in Antarctica and Ex. 1 & 9) 415–1969), or email designation of certain animals and Week of September 11, 2017—Tentative [email protected] or certain geographic areas a requiring [email protected]. special protection. The regulations There are no meetings scheduled for Dated: August 31, 2017. establish such a permit system to the week of September 11, 2017. Denise L. McGovern, designate Antarctic Specially Protected Week of September 18, 2017—Tentative Areas. Policy Coordinator, Office of the Secretary. There are no meetings scheduled for [FR Doc. 2017–18911 Filed 9–1–17; 11:15 am] Application Details the week of September 18, 2017. BILLING CODE 7590–01–P Permit Application: 2018–005 Week of September 25, 2017—Tentative 1. Applicant: Shaun O’Boyle, 30 South There are no meetings scheduled for Carson Ave., Dalton, MA 01226. the week of September 25, 2017.

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NUCLEAR REGULATORY available in ADAMS under Accession identified during performance COMMISSION No. ML17153A282. evaluation exercises and drills. • NRC’s PDR: You may examine and DATES: The RIS is available as of [Docket No. 50–458; NRC–2017–0141] purchase copies of public documents at September 6, 2017. the NRC’s PDR, Room O1–F21, One ADDRESSES: Please refer to Docket ID Entergy Operations, Inc.; River Bend White Flint North, 11555 Rockville NRC–2016–0043 when contacting the Station, Unit 1; Correction Pike, Rockville, Maryland 20852. NRC about the availability of FOR FURTHER INFORMATION CONTACT: AGENCY: Nuclear Regulatory information regarding this document. Emmanuel Sayoc, Office of Nuclear Commission. You may obtain publicly-available Reactor Regulation, U.S. Nuclear information related to this document ACTION: License renewal application; Regulatory Commission, Washington DC opportunity to request a hearing and to using any of the following methods: 20555–0001; telephone: 301–415–4084; • Federal Rulemaking Web site: Go to petition for leave to intervene; email: [email protected]. correction. http://www.regulations.gov and search SUPPLEMENTARY INFORMATION: In the FR for Docket ID NRC–2016–0043. Address SUMMARY: The U.S. Nuclear Regulatory on August 14, 2017, in FR Doc. 2017– questions about NRC dockets to Carol Commission (NRC) is correcting a notice 17125 on page 37910, in the third Gallagher; telephone: 301–415–3463; that was published in the Federal column, second full paragraph, lines email: [email protected]. For Register (FR) on August 14, 2017, four through six, replace ‘‘St. Charles technical questions, contact the regarding the NRC’s consideration of an Parish Library—East Regional Library, individual listed in the FOR FURTHER application for the renewal of operating 160 W. Campus Drive, Destrehan, INFORMATION CONTACT section of this license NPF–47, which authorizes Louisiana 70047’’ with ‘‘West Feliciana document. Entergy Operations, Inc., (the applicant), Parish Library, 5114 Burnett Road, St. • NRC’s Agencywide Documents to operate River Bend Station, Unit 1 Francisville, Louisiana 70775.’’ Access and Management System (RBS). The renewed license would Dated at Rockville, Maryland, this 30th day (ADAMS): You may obtain publicly authorize the applicant to operate RBS of August, 2017. available documents online in the for an additional 20 years beyond the For the Nuclear Regulatory Commission. ADAMS Public Documents collection at period specified in the current license. Sheldon Stuchell, http://www.nrc.gov/reading-rm/ The current operating license for RBS adams.html. To begin the search, select Chief, Projects Management and Guidance expires at midnight on August 29, 2025. Branch, Division of License Renewal, Office ‘‘ADAMS Public Documents’’ and then This action is necessary to correct the of Nuclear Reactor Regulation. select ‘‘Begin Web-based ADAMS location where local residents can view Search.’’ For problems with ADAMS, [FR Doc. 2017–18786 Filed 9–5–17; 8:45 am] a paper copy of the license renewal please contact the NRC’s Public BILLING CODE 7590–01–P application. Document Room (PDR) reference staff at DATES: The correction is effective 1–800–397–4209, 301–415–4737, or by September 6, 2017. NUCLEAR REGULATORY email to [email protected]. The COMMISSION ADAMS accession number for each ADDRESSES: Please refer to Docket ID document referenced (if it is available in NRC–2017–0141 when contacting the [NRC–2016–0043] ADAMS) is provided the first time that NRC about the availability of it is mentioned in this document. This information regarding this document. Clarification of Compensatory Measure RIS is available under ADAMS You may obtain publicly-available Requirements for Physical Protection Accession No. ML16110A366. information related to this document Program Deficiencies • NRC’s PDR: You may examine and using any of the following methods: • purchase copies of public documents at Federal Rulemaking Web site: Go to AGENCY: Nuclear Regulatory the NRC’s PDR, Room O1–F21, One http://www.regulations.gov and search Commission. White Flint North, 11555 Rockville for Docket ID NRC–2017–0141. Address ACTION: Regulatory issue summary; Pike, Rockville, Maryland 20852. questions about NRC dockets to Carol issuance. • This RIS is also available on the Gallagher; telephone: 301–415–3463; NRC’s public Web site at http:// email: [email protected]. For SUMMARY: The U.S. Nuclear Regulatory www.nrc.gov/reading-rm/doc- technical questions, contact the Commission (NRC) is issuing Regulatory collections/gen-comm/reg-issues/ (select individual listed in the FOR FURTHER Issue Summary (RIS) 2017–04, ‘‘2017’’ and then select ‘‘RIS 2017–04’’). INFORMATION CONTACT section of this ‘‘Clarification on the Implementation of document. Compensatory Measures for Protective FOR FURTHER INFORMATION CONTACT: Carl • NRC’s Agencywide Documents Strategy Deficiencies or Degraded or Grigsby, Office of Nuclear Security and Access and Management System Inoperable Security Systems, Incident Response, U.S. Nuclear (ADAMS): You may obtain publicly- Equipment, or Components.’’ This RIS Regulatory Commission, Washington, available documents online in the reminds addressees that they are DC 20555–0001; telephone: 301–287– ADAMS Public Documents collection at required to implement compensatory 3681; email: [email protected]. http://www.nrc.gov/reading-rm/ measures supported by an assessment to SUPPLEMENTARY INFORMATION: The NRC adams.html. To begin the search, select ensure their physical protection published a notice of opportunity for ‘‘ADAMS Public Documents’’ and then program maintains, at all times, the public comment on this RIS in the select ‘‘Begin Web-based ADAMS capability to detect, assess, interdict, Federal Register on March 1, 2016 (81 Search.’’ For problems with ADAMS, and neutralize threats as identified in FR 10686). The agency received two sets please contact the NRC’s Public NRC regulations. Compensatory of comments. The staff considered all Document Room (PDR) reference staff at measures must be implemented for comments, which resulted in minor 1–800–397–4209, 301–415–4737, or by degraded or inoperable security changes to the RIS. The evaluation of email to [email protected]. The systems, equipment, or components, these comments is discussed in a License Renewal Application is and for protective strategy deficiencies publicly-available memorandum which

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is in ADAMS under Accession No. SUPPLEMENTARY INFORMATION: The DATES: Date of notice required under 39 ML16110A370. United States Postal Service® hereby U.S.C. 3642(d)(1): September 6, 2017. Dated at Rockville, Maryland, this 30th day gives notice that, pursuant to 39 U.S.C. FOR FURTHER INFORMATION CONTACT: of August 2017. 3642 and 3632(b)(3), on August 30, Elizabeth A. Reed, 202–268–3179. For the Nuclear Regulatory Commission. 2017, it filed with the Postal Regulatory SUPPLEMENTARY INFORMATION: The Alexander D. Garmoe, Commission a Request of the United United States Postal Service® hereby States Postal Service to Add Priority Chief (Acting), Generic Communications gives notice that, pursuant to 39 U.S.C. Branch, Division of Policy and Rulemaking, Mail Contract 346 to Competitive 3642 and 3632(b)(3), on August 30, Office of Nuclear Reactor Regulation. Product List. Documents are available at 2017, it filed with the Postal Regulatory www.prc.gov, Docket Nos. MC2017–181, [FR Doc. 2017–18755 Filed 9–5–17; 8:45 am] Commission a Request of the United CP2017–282. BILLING CODE 7590–01–P States Postal Service to Add Priority Elizabeth A. Reed, Mail Contract 347 to Competitive Attorney, Corporate and Postal Business Law. Product List. Documents are available at POSTAL SERVICE [FR Doc. 2017–18771 Filed 9–5–17; 8:45 am] www.prc.gov, Docket Nos. MC2017–182, BILLING CODE 7710–12–P CP2017–283. Temporary Emergency Committee of the Board of Governors; Sunshine Act Elizabeth A. Reed, Attorney, Corporate and Postal Business Law. Meeting POSTAL SERVICE [FR Doc. 2017–18772 Filed 9–5–17; 8:45 am] DATES AND TIMES: Tuesday, September Product Change—Priority Mail BILLING CODE 7710–12–P 12, 2017, at 8:00 a.m. Negotiated Service Agreement PLACE: Washington, DC. AGENCY: TM STATUS: Closed. Postal Service . SECURITIES AND EXCHANGE MATTERS TO BE CONSIDERED: ACTION: Notice. COMMISSION Tuesday, September 12, 2017, at 8:00 SUMMARY: The Postal Service gives [Release No. 34–81498; File No. SR– a.m. notice of filing a request with the Postal BatsBYX–2017–19] 1. Financial Matters. Regulatory Commission to add a Self-Regulatory Organizations; Bats 2. Strategic Issues. domestic shipping services contract to 3. Personnel and Compensation Items. the list of Negotiated Service BYX Exchange, Inc.; Notice of Filing of 4. Executive Session—Discussion of Agreements in the Mail Classification a Proposed Rule Change, as Modified prior agenda items and Temporary Schedule’s Competitive Products List. by Amendment No. 1, To Harmonize Emergency Committee governance. DATES: Date of notice required under 39 the Corporate Governance Framework With That of Chicago Board Options GENERAL COUNSEL CERTIFICATION: The U.S.C. 3642(d)(1): September 6, 2017. Exchange, Incorporated and C2 General Counsel of the United States FOR FURTHER INFORMATION CONTACT: Options Exchange Incorporated Postal Service has certified that the Elizabeth A. Reed, 202–268–3179. meeting may be closed under the SUPPLEMENTARY INFORMATION: The August 30, 2017. Government in the Sunshine Act. United States Postal Service® hereby Pursuant to Section 19(b)(1) of the CONTACT PERSON FOR MORE INFORMATION: gives notice that, pursuant to 39 U.S.C. Securities Exchange Act of 1934 (the Julie S. Moore, Secretary of the Board, 3642 and 3632(b)(3), on August 30, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 U.S. Postal Service, 475 L’Enfant Plaza 2017, it filed with the Postal Regulatory notice is hereby given that on August SW., Washington, DC 20260–1000. Commission a Request of the United 23, 2017, Bats BYX Exchange, Inc. Telephone: (202) 268–4800. States Postal Service to Add Priority (‘‘Exchange’’ or ‘‘BYX’’) filed with the Julie S. Moore, Mail Contract 345 to Competitive Securities and Exchange Commission Product List. Documents are available at Secretary. (‘‘Commission’’) the proposed rule www.prc.gov, Docket Nos. MC2017–180, change as described in Items I and II [FR Doc. 2017–19021 Filed 9–1–17; 4:15 pm] CP2017–281. below, which Items have been prepared BILLING CODE 7710–12–P Elizabeth A. Reed, by the Exchange. On August 25, 2017, the Exchange filed Amendment No. 1 to Attorney, Corporate and Postal Business Law. POSTAL SERVICE the proposed rule change. The [FR Doc. 2017–18770 Filed 9–5–17; 8:45 am] Commission is publishing this notice to BILLING CODE 7710–12–P Product Change—Priority Mail solicit comments on the proposed rule Negotiated Service Agreement change, as modified by Amendment No. 1, from interested persons. AGENCY: Postal ServiceTM. POSTAL SERVICE ACTION: Notice. I. Self-Regulatory Organization’s Product Change—Priority Mail Statement of the Terms of Substance of SUMMARY: The Postal Service gives Negotiated Service Agreement the Proposed Rule Change notice of filing a request with the Postal AGENCY: Postal ServiceTM. The Exchange filed a proposal to Regulatory Commission to add a ACTION: Notice. amend and restate its certificate of domestic shipping services contract to incorporation and bylaws, as well as the list of Negotiated Service SUMMARY: The Postal Service gives amend its Rules. Agreements in the Mail Classification notice of filing a request with the Postal The text of the proposed rule change Schedule’s Competitive Products List. Regulatory Commission to add a is available at the Exchange’s Web site DATES: Date of notice required under 39 domestic shipping services contract to at www.bats.com, at the principal office U.S.C. 3642(d)(1): September 6, 2017. the list of Negotiated Service FOR FURTHER INFORMATION CONTACT: Agreements in the Mail Classification 1 15 U.S.C. 78s(b)(1). Elizabeth A. Reed, 202–268–3179. Schedule’s Competitive Products List. 2 17 CFR 240.19b–4.

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of the Exchange, and at the these six exchanges, the Exchange to a rule filing. The Exchange notes that Commission’s Public Reference Room. proposes to revise the current Certificate Article IV, Section 7 of the current and current Bylaws to conform them to Bylaws similarly precludes the II. Self-Regulatory Organization’s the certificates of incorporation and stockholder from transferring or Statement of the Purpose of, and bylaws of the CBOE and C2 exchanges assigning, in whole or in part, its Statutory Basis for, the Proposed Rule (i.e., the Third Amended and Restated ownership interest(s) in the Exchange. Change Certificate of Incorporation of Chicago • Article Fifth of the current In its filing with the Commission, the Board Options Exchange, Incorporated Certificate regarding the name and Exchange included statements and the Fourth Amended and Restated address of the sole incorporator is being concerning the purpose of and basis for Certificate of C2 Options Exchange, deleted as it is now outdated. the proposed rule change and discussed Incorporated (collectively referred to • Article Fifth of the proposed any comments it received on the herein as the ‘‘CBOE Certificate’’) and Certificate is the same as Article Fifth of proposed rule change. The text of these the Eighth Amended and Restated the CBOE Certificate. Specifically, statements may be examined at the Bylaws of Chicago Board Options Article Fifth, subparagraph (a) provides places specified in Item IV below. The Exchange, Incorporated and the Eighth that the governing body of the Exchange Exchange has prepared summaries, set Amended and Restated Bylaws of C2 shall be its Board. Article Fifth, forth in Sections A, B, and C below, of Options Exchange, Incorporated subparagraph (b) provides that the the most significant parts of such (collectively referred to herein as the Board shall consist of not less than five statements. ‘‘CBOE Bylaws’’)). The proposed (5) Directors and subparagraph (c) Certificate and proposed Bylaws reflect includes language regarding the A. Self-Regulatory Organization’s the expectation that the Exchange will nomination of directors, which Statement of the Purpose of, and be operated with governance structures information is substantially similar as is Statutory Basis for, the Proposed Rule similar to those of CBOE and C2. provided in the CBOE Bylaws and the Change Accordingly, the Exchange proposes to proposed Bylaws.3 Article Fifth, 1. Purpose adopt corporate documents that set forth subparagraph (d) of the proposed a substantially similar corporate BYX submits this rule filing to the Certificate provides that in discharging governance framework and related Securities and Exchange Commission his or her responsibilities as a member processes as those contained in the (the ‘‘Commission’’) in connection with of the Board, each Director shall take CBOE Certificate and CBOE Bylaws. The a corporate transaction (the into consideration the effect that his or Exchange believes the proposed changes ‘‘Transaction’’) involving, among other her actions would have on the ability of to the current Certificate and current things, the recent acquisition of BYX, the Exchange to carry out the Bylaws are consistent with the along with Bats BZX Exchange, Inc. Exchange’s responsibilities under the requirements of the Securities Exchange Act and on the ability of the Exchange: (‘‘Bats BZX’’), Bats EDGX Exchange, Inc. Act of 1934, as amended (the ‘‘Act’’). (‘‘Bats EDGX’’), and Bats EDGA To engage in conduct that fosters and Exchange, Inc. (‘‘Bats EDGA’’ and, (a) Changes to the Certificate does not interfere with the Exchange’s together with Bats BYX, Bats EDGX, and ability to prevent fraudulent and In connection with the Transaction, manipulative acts and practices; to Bats BZX, the ‘‘Bats Exchanges’’) by the Exchange proposes to amend and CBOE Holdings, Inc. (‘‘CBOE promote just and equitable principles of restate the current Certificate to conform trade; to foster cooperation and Holdings’’). CBOE Holdings is also the to the certificates of incorporation of parent of Chicago Board Options coordination with persons engaged in CBOE and C2. The proposed Certificate regulating, clearing, settling, processing Exchange, Incorporated (‘‘CBOE’’) and is set forth in Exhibit 5B. Specifically, C2 Options Exchange, Incorporated information with respect to, and the Exchange proposes to make the facilitating transactions in securities; to (‘‘C2’’). This filing proposes to amend following substantive amendments to and restate the bylaws (and amend the remove impediments to and perfect the the current Certificate. mechanisms of a free and open market rules, accordingly) and the certificate of • Adopt an introductory section. incorporation of the Exchange based on • Amend Article Third to provide and a national market system; and, in the bylaws and certificates of further details as to the nature of the general, to protect investors and the incorporation of CBOE and C2. business of the Exchange. Specifically, public interest. In discharging his or her Specifically, the Exchange proposes to the proposed Certificate will further responsibilities as a member of the replace the certificate of incorporation specify that the nature of the Exchange Board or as an officer or employee of the of Bats BYX Exchange, Inc., (the is (i) to conduct and carry on the Exchange, each such Director, officer or ‘‘current Certificate’’) in its entirety with function of an ‘‘exchange’’ within the employee shall comply with the federal the Amended and Restated Certificate of meaning of that term in the Act and (ii) securities laws and the rules and Incorporation of Bats BYX Exchange, to provide a securities market place regulations thereunder and shall Inc. (the ‘‘proposed Certificate’’). with high standards of honor and cooperate with the Commission, and the Additionally, the Exchange proposes to integrity among its Exchange Members Exchange pursuant to its regulatory replace the Fifth Amended and Restated and other persons holding rights to authority. The Exchange notes that Bylaws of Bats BYX Exchange, Inc. (the similar language is included in the access the Exchange’s facilities and to 4 ‘‘current Bylaws’’) in its entirety with promote and maintain just and equitable current Bylaws. • Article Sixth of the proposed the Sixth Amended and Restated principles of trade and business. Bylaws of Bats BYX Exchange, Inc. (the • Article Fourth of the proposed Certificate governs the indemnification ‘‘proposed Bylaws’’). The Exchange Certificate specifies that Bats Global of Directors of the Board. The Exchange believes that it is important for each of Markets Holdings, Inc. will be the sole notes that its indemnification provision CBOE Holdings’ six U.S. securities owner of the Common Stock and that is currently contained in Article VIII of exchanges to have a consistent, uniform any sale, transfer or assignment by Bats 3 See Article III of the CBOE Bylaws and proposed approach to corporate governance. Global Markets Holdings, Inc. of any Bylaws. Therefore, to simplify and unify the shares of Common Stock will be subject 4 See Article III, Section 1(d) and Section 1(e) of governance and corporate practices of to prior approval by the SEC pursuant the current Bylaws.

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the current Bylaws. In order to conform those officers, directors, employees and Section 1.1, so as to match the CBOE governance documents across all CBOE agents of the Exchange that have a Bylaws (e.g., the definition of ‘‘Industry Holdings’ exchanges and conform reasonable need to know the contents Director’’ is being relocated to Article indemnification practices, the Exchange thereof; (ii) be retained in confidence by III, Section 3.1 of the proposed Bylaws is eliminating its indemnification in the the Exchange and the officers, directors, and the definition of ‘‘Record Date’’ is bylaws and adopting the same employees and agents of the Exchange; being relocated to Article II, Section 2.7 indemnification language that is and (iii) not be used for any commercial of the proposed Bylaws).7 currently contained in Article Sixth of purposes. Additionally, Article Eleventh Office and Agent the CBOE Certificate. of the proposed Certificate further • Article Seventh of the proposed provides that nothing in Article The Exchange notes that the Certificate is the same as Article Eleventh shall be interpreted as to limit information in Article II (Office and Seventh of the CBOE Certificate and or impede the rights of the Commission Agent) of the current Bylaws is not provides that the Exchange reserves the to access and examine such confidential included in the proposed Bylaws. The right to amend, change or repeal any information pursuant to the federal Exchange notes that the language provision of the certificate. It also securities laws and the rules and contained in Section 2 and 3 of Article provides that before any amendment or regulations thereunder, or to limit or II is already located in the current repeal of any provision of the certificate impede the ability of any officers, Certificate and will continue to be shall be effective, the changes must be directors, employees or agents of the located in the proposed Certificate.8 The submitted to the Board, and if such Exchange to disclose such confidential Exchange does not believe the amendment or repeal must be filed with information to the Commission. information contained in Section 1 of or filed with and approved by the Article II is necessary to include in the Commission, it won’t be effective until (b) Substantive Changes to the Bylaws proposed Bylaws and notes that the filed with or filed with and approved by In connection with the Transaction, CBOE Bylaws do not contain the Commission. the Exchange also proposes to amend information relating to the principal • Article Eighth of the proposed and restate the current Bylaws to business office. Certificate is the same as Article Eighth conform to the Bylaws of CBOE and C2. Nomination and Election Process of the CBOE Certificate. Proposed The proposed Bylaws is set forth in Article Eighth provides that a Director Exhibit 5D. Specifically, the Exchange Article III of the proposed Bylaws, of the Exchange shall not be liable to the proposes to make the following titled ‘‘Board of Directors’’, mirrors the Exchange or its stockholders for substantive amendments to the current language in Article III of the CBOE monetary damages for breach of Bylaws: Bylaws and contains key provisions fiduciary duty as a Director, except to regarding the processes for nominating the extent such exemption from liability Definitions and electing Representative Directors. or limitation is not permitted under The Exchange first notes that Section General Nomination and Election Delaware Corporate law. 1.1 of the proposed Bylaws, titled • Article Ninth of the proposed ‘‘Definitions,’’ contains key definitions Under the Exchange’s current director Certificate is the same as Article Ninth of terms used in the proposed Bylaws, nomination and election process, the of the CBOE Certificate. Specifically it and are based on the defined terms used Nominating Committee (which is not a provides that unless and except to the in Section 1.1 of the CBOE Bylaws. The Board committee, but rather is extent that the Exchange’s bylaws Exchange notes that certain differences composed of Exchange member require, election of Directors of the in terminology in the proposed Bylaws representatives) 9 nominates Directors Exchange need not be by written ballot. and CBOE Bylaws will exist (e.g., use of for each Director position standing for • Article Tenth of the proposed the term ‘‘Exchange Member’’ instead of election for that year. Additionally, for Certificate is the same as Article Tenth ‘‘Trading Permit Holder’’). The Member Representative Director of the CBOE Certificate and provides Exchange proposes to eliminate from positions,10 the Nominating Committee that in furtherance and not in limitation the current Bylaws certain definitions of the powers conferred by the laws of that would be obsolete under the 7 The Exchange notes a few differences between the definitions of Industry Director and Record Date the State of Delaware, the Board is proposed Bylaws (e.g., references to in the current Bylaws and the proposed Bylaws. expressly authorized to make, alter and ‘‘Member Representative Directors’’ and Specifically, the definition of ‘‘Industry Director’’ in repeal the Exchange’s bylaws, which is ‘‘Member Nominating Committee’’) and Article I, subparagraph (o) of the current Bylaws already provided for in both the current also proposes to move certain defined contains references to specific percentages in order to determine whether a Director qualifies as an Bylaws and proposed Bylaws.5 terms located in the current Bylaws to • Industry Director, whereas the definition of Article Eleventh of the proposed the BYX Rules (i.e., ‘‘Industry member’’ ‘‘Industry Director’’ in Article III, Section 3.1, of the Certificate is the same as Article and ‘‘Member Representative proposed Bylaws uses the term ‘‘material portion’’ Eleventh of the CBOE Certificate and is member’’).6 Additionally, the Exchange in making those same determinations. The similar to Article XI, Section 3 of the definition of ‘‘Record Date’’ in Article I, proposes to define certain terms in the subparagraph (z) of the current Bylaws means a date current Bylaws. Particularly, Article current Bylaws in places other than at least thirty-five (35) days before the date of the Eleventh provides that confidential annual meeting of stockholders, whereas Article II, information pertaining to the self- 6 See Proposed BYX Rules, Rule 8.6. The Section 2.7 of the proposed Bylaws provides that regulatory function of the Exchange Exchange notes that the definition of a Member the Record Date shall be at least 10 days before the date of the annual meeting of stockholders and not (including but not limited to Representative member is being revised to eliminate the reference to a Stockholder Exchange Member. more than 60 days before the annual meeting. disciplinary matters, trading data, Currently, a Stockholder Exchange Member means 8 See Article Second of the current and proposed trading practices and audit information) an Exchange Member that also maintains, directly Certificates. contained in the books and records of or indirectly, an ownership interest in the 9 See Current Bylaws, Article III, Section 4 the Exchange shall: (i) Not be made Company. The exchange notes that the sole (‘‘Nomination and Election’’) and Article VI, stockholder of BYX is Bats Global Markets Section 2 (‘‘Nominating Committee’’). available to any persons other than to Holdings, Inc., which is a wholly owned subsidiary 10 See Current Bylaws, Article I, (s), which of CBOE Holdings and is not an Exchange member, defines a ‘‘Member Representative Director’’. A 5 See Article IX, Section 1 of the current Bylaws and as such, the concept of a Stockholder Exchange Member Representative Director must be an officer, and Article IX, Section 9.1 of the proposed Bylaws. Member need not be referenced. Continued

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must nominate the Directors that have Exchange Members. No Exchange requirement. The new process will been approved and submitted by the Member, together with its affiliates, may provide that the ‘‘Representative Member Nominating Committee (which account for more than fifty percent Director Nominating Body’’ shall be is also not a Board committee, but rather (50%) of the signatures endorsing a responsible for nominating is composed of Member Representative particular candidate. If no valid Representative Directors. The members).11 Additionally, pursuant to petitions from Exchange Members are Representative Director Nominating Article III, Section 3(b) of the current received by the Record Date, the initial Body (‘‘Nominating Body’’) is either (i) Bylaws, the Exchange Directors are nominees approved and submitted by the Industry-Director Subcommittee of divided into three classes, designated as the Member Nominating Committee the Nominating and Governance Class I, Class II and Class III. Directors shall be nominated as Member Committee if there are at least two (2) other than the Chief Executive Officer of Representative Directors by the Industry Directors on the Nominating the Exchange (‘‘CEO’’) serve staggered Nominating Committee. If one or more and Governance Committee, or (ii) if the three-year terms. The Exchange valid petitions are received by the Nominating and Governance Committee proposes to adopt a nomination and Record Date, the Secretary shall include has less than two (2) Industry Directors, election process identical to CBOE and such additional nominees, along with C2 as set forth in Article III of the then the Nominating Body shall mean the initial nominees nominated by the the Exchange Member Subcommittee of proposed Bylaws. As such, the tiered Member Nominating Committee, on a the Advisory Board.15 The Nominating class system will be eliminated, list of nominees (the ‘‘List of and Governance Committee shall be Directors will serve one-year terms Candidates’’) that is sent to all Exchange bound to accept and nominate the ending on the annual meeting following Members, accompanied by a notice the meeting at which Directors were regarding the time and date of an Representative Director nominees elected or at such time as their election to be held at least twenty (20) recommended by the Nominating Body successors are elected or appointed and days prior to the annual or special or, in the event of a petition candidate, the newly established Nominating and stockholders’ meeting. Each Exchange the Representative Director nominees Governance Committee will be Member has the right to cast one (1) vote who receive the most votes pursuant to responsible for nominating each for each available Member a Run-off Election. Any person Director.12 Representative Director nomination (the nominated by the Nominating Body and any petition candidate must satisfy the Nomination and Election of vote must be cast for a person on the compositional requirements determined Representative Directors List of Candidates and no Exchange Member, together with its affiliates, may by the Board, pursuant to a resolution Currently, pursuant to Article III, account for more than twenty percent adopted by the Board, designating the Section 4(b) of the current Bylaws, for (20%) of the votes cast for a candidate). number of Representative Directors that Member Representative Directors, the The persons on the List of Candidates are Non-Industry Directors and Industry Member Nominating Committee who receive the most votes shall be Directors (if any). Not earlier than consults with the Nominating selected as the nominees for the December 1 and not later than January Committee, the Chairman of the Board Member Representative Director 15th (or the first business day thereafter and the CEO, and also solicits positions. if January 15th is not a business day), comments from Exchange Members for For purposes of harmonizing the the Nominating Body shall issue a purposes of approving and submitting governance structure and process across circular to Exchange Members the names of candidates for election as all of CBOE Holdings’ U.S. securities identifying the Representative Director a Member Representative Director. The exchanges, the Exchange proposes to nominees. As is the case under the initial nominees for Member eliminate the Nominating Committee Representative Directors must be current Bylaws, Exchange Members may and Member Nominating Committee nominate alternative candidates for reported to the Nominating Committee and adopt a nomination and election and Secretary no later than sixty (60) election to the Representative Director process substantially similar to CBOE positions to be elected in a given year days prior to the annual or special and C2 for Member Representative stockholders’ meeting, at which point by submitting a petition signed by Directors (to be renamed individuals representing not less than the Secretary will promptly notify ‘‘Representative Directors’’).14 The Exchange Members. Exchange Members ten percent (10%) of the Exchange Exchange notes that unlike the current Members at that time. Petitions must be may then identify other candidates by Bylaws, the proposed Bylaws will not delivering to the Secretary, at least filed with the Secretary no later than require Representative Directors to be an 5:00 p.m. (Chicago time) on the 10th thirty-five (35) days before the annual or officer, director, employee, or agent of business day following the issuance of special stockholders’ meeting, a written an Exchange Member that is not a the circular to the Exchange Members petition, identifying the alternative Stockholder Exchange Member, as identifying the Representative Director candidate and signed by Executive neither CBOE nor C2 maintain such a Representatives 13 of 10% or more of nominees (the ‘‘Petition Deadline’’). The vote, and act on behalf of the Exchange Member. names of all Representative Director director, employee, or agent of an Exchange An Executive Representative of an Exchange nominees recommended by the Member that is not a Stockholder Exchange Member or a substitute shall be a member of senior Nominating Body and those selected Member. management of the Exchange Member. pursuant to a valid and timely petition 11 See Current Bylaws Article I, subparagraph (t) 14 Article III, Section 3.1. of the proposed Bylaws (‘‘Member Representative member’’). See also, requires that at all times, at least 20% of Directors shall, immediately following their Article III, Section 4 (‘‘Nomination and Election’’) serving on the Board shall be Representative selection, be given to the Secretary who and Article VI, Section 3 (‘‘Member Nominating Directors, which is the same percentage required shall promptly issue a circular to all of Committee’’) of the current Bylaws. under the current Bylaws (see Article III, Section the Exchange Members identifying all 12 See Article III, Section 3.1 and Article IV, 2(b)(ii) of the current Bylaws). Article III, Section Section 4.3 of the proposed Bylaws. 3.2 of the proposed Bylaws further clarifies that if 13 The term ‘‘Executive Representative’’ as 20% of the Directors then serving on the Board is 15 The Exchange notes that if there are less than defined in the current Bylaws, Article I, means the not a whole number, the number of required two (2) Industry Directors on the Nominating and person identified to the Company by an Exchange Representative Directors shall be rounded up to the Governance Committee, it would institute an Member as the individual authorized to represent, next whole number. Advisory Board, if not already established.

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such Representative Director shall elect the new Director.17 In the Under Article III, Section 3.4 of the candidates. event of a vacancy of a Member proposed Bylaws, which is the same as If one or more valid petitions are Representative Director, the Member Article III, Section 3.4, of the CBOE received, the Secretary shall issue a Nominating Committee shall either (i) Bylaws, a Director who fails to maintain circular to all of the Exchange Members recommend an individual to the the applicable Industry or Non-Industry identifying those individuals nominated stockholders to be elected to fill such qualifications required under the for Representative Director by the vacancy or (ii) provide a list of proposed Bylaws, of which the Board Nominating Body and those individuals recommended individuals to the shall be the sole judge, will cease being nominated for Representative Director stockholders from which the a Director. The Exchange notes that through the petition process, as well as stockholders shall elect the individual while the current Bylaws do not address of the time and date of a run-off election to fill such vacancy. The current Bylaws the requalification of a Director, Section to determine which individuals will be provide that Directors elected to fill a 3.4 of the proposed Bylaws permits a nominated as Representative Director(s) vacancy are to hold office until the Director that fails to maintain the by the Nominating and Governance expiration of the remaining term. applicable qualifications to requalify Committee (the ‘‘Run-off Election’’). The The Exchange proposes to adopt the within the later of forty-five (45) days from the date when the Board Run-off Election will be held not more same process to fill vacancies as CBOE determines the Director is unqualified than forty-five (45) days after the and C2. Specifically, Article III, Section or until the next regular Board meeting Petition Deadline. In any Run-off 3.5 of the proposed Bylaws, which is following the date when the Board Election, each Exchange Member shall substantially similar to Article III, makes such determination. The Director have one (1) vote for each Section 3.5 of the CBOE Bylaws, will shall be deemed not to hold office (i.e., Representative Director position to be provide that a vacancy on the Board the Director’s seat is considered vacant) filled that year; provided, however, that may be filled by a vote of majority of the following the date when the Board no Exchange Member, either alone or Directors then in office, or by the sole determines the Director is unqualified. together with its affiliates, may account remaining Director, so long as the for more than twenty percent (20%) of Further, the Board shall be the sole elected Director qualifies for the judge of whether the Director has the votes cast for a candidate.16 The position. Additionally, for vacancies of Secretary shall issue a circular to all of requalified. If a Director is determined Representative Directors, the to have requalified, the Board, in its sole the Exchange Members setting forth the Nominating Body will recommend an results of the Run-off Election. The discretion, may fill an existing vacancy individual to be elected, or provide a in the Board or may increase the size of number of individual Representative list of recommended individuals, and Director nominees equal to the number the Board, as necessary, to appoint such the position shall be filled by the vote Director to the Board; provided, of Representative Director positions to of a majority of the Directors then in be filled that year receiving the largest however, that the Board shall be under office. Under the proposed Bylaws, no obligation to return such Director to number of votes in the Run-off Election Directors elected to fill a vacancy will will be the persons approved by the the Board. Similar to the current serve until the next annual meeting of Bylaws, Section 3.4 of the proposed Exchange Members to be nominated as stockholders. Bylaws provides that Representative the Representative Director(s) by the Directors may only be removed for Nominating and Governance Committee Removals and Resignation cause. In addition to specifying that for that year. The Exchange believes Article III, Section 7 of the current cause includes being subject to a that, under the proposed Board Bylaws provides that any Director may Statutory Disqualification, the proposed structure, the Representative Directors be removed with or without cause by a Bylaws further lists additional examples serve the same function as the Member majority vote of stockholders and may of cause in Section 3.4 (e.g., breach of Representative Directors in that both be removed by the Board, provided a Representative Director’s duty of directorships give Exchange members a however, that any Member loyalty to the Exchange or its voice in the Exchange’s use of self- Representative Director may only be stockholders and transactions from regulatory authority. removed for cause, which includes such which a Representative Director derived Vacancies Director being subject to a Statutory an improper personal benefit). Lastly, Disqualification. Additionally, a the Exchange notes that under the Article III, Section 6 of the current Director shall be immediately removed proposed Bylaws, resignation must be Bylaws provides that during a vacancy upon a determination by the Board, by written and must be given to either the of any Director other than a Member a majority vote of remaining Directors Chairman of the Board or the Secretary. Representative Director, the Nominating that (a) the Director no longer satisfies Board Composition Committee shall nominate an individual the classification for which the Director Director and the stockholders of BYX was elected and (b) the Director’s Pursuant to Article III, Section 2 of continued service would violate the the current Bylaws, the Board must 16 Article III, Section 3.2 of the CBOE Bylaws compositional requirements of the consist of four (4) or more Directors, and provides that in any Run-off Election, a holder of consist at all times of one (1) Director a Trading Permit shall have one vote with respect Board. Article III, Section 7 of the to each Trading Permit held by such Trading Permit current Bylaws also provides that any who is the CEO and a sufficient number Holder for each Representative Director position to Director may resign at any time upon of Industry, Non-Industry and Member be filled. The Exchange notes that because no notice of resignation to the Chairman of Representative Directors to ensure that ‘‘Trading Permits’’ or similar concept exist on the the number of Non-Industry Directors, Exchange, it is deviating from this practice and the Board, the President or Secretary. providing instead that each Exchange Member shall Resignation shall take effect at the time including at least on Independent have one (1) vote for each Representative Director specified, or if no time is specified, Director, shall equal or exceed the sum position to be filled, which the Exchange does not upon receipt of the notice. of Industry and Member Representative believe is a significant change. The Exchange also Directors. Additionally, the number of notes that other Exchanges have similar practices. See e.g., Amended and Restated By-Laws of Miami 17 The sole stockholder of BYX is Bats Global Member Representative Directors must International Securities Exchange, LLC, Article II, Markets Holdings, Inc., a wholly owned subsidiary be at least twenty (20) percent of the Section 2.4(f). of CBOE Holdings. Board. The Exchange proposes to

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replace the Board composition and be a Non-Industry Director, which is the the Exchange proposes to adopt the structure with that of CBOE and C2. As same practice under CBOE’s Bylaws.25 same special meeting provision as is the case with CBOE and C2, pursuant • The number of Representative Article II, Section 2.3 of the CBOE to Article III, Section 3.1, of the Directors must be at least twenty (20) Bylaws. Particularly, under Article II, proposed Bylaws, the Board must percent of the Board,26 which is the Section 2.3 of the proposed Bylaws, consist of at least five (5) directors same requirement under the current special meetings of stockholders may (which is the minimum number of Bylaws as noted above. only be called by the Chairman or by a Directors required for the Nominating Meetings majority of the Board. The CBOE Bylaws and Governance Committee), instead of do not include the ability of 4 as required by the current Bylaws. Annual Meeting of the Stockholders stockholders to request a special Additionally, the following would apply Article IV, Section 1 of the current meeting. The Exchange does not believe to the new Board structure: Bylaws provides that the annual this provision is necessary given that • The number of Non-Industry meeting of the stockholders shall be BYX’s sole stockholder is Bats Global Directors, Industry Directors and the held at such place and time as Markets Holdings, Inc., a wholly owned number of Representative Directors that determined by the Board. The Exchange subsidiary of CBOE Holdings. are Non-Industry Directors and Industry notes that Article II, Section 2.2 of the Directors (if any) will be determined by Quorum and Vote Required for Action proposed Bylaws is being amended to at a Stockholder Meeting the Board pursuant to resolution conform to Article II, Section 2.2 of the adopted by the Board.18 CBOE Bylaws, which provides as a Article IV, Section 4 of the current • The proposed Bylaws provide that default that if required by applicable Bylaws provides, among other things, the number of Non-Industry Directors law, an annual meeting of stockholders that the holders of a majority of the cannot be less than the number of shall be held on the third Tuesday in capital stock issued and outstanding Industry Directors, whereas the current May of each year or such other date as and entitled to vote, present in person Bylaws, as noted above, provide that the may be fixed by the Board, at such time or represented by proxy, shall constitute number of Non-Industry Directors, as may be designated by the Secretary a quorum at all meetings of the including at least on Independent prior to the giving of notice of the stockholders. The provision also Director, shall equal or exceed the sum meeting. Section 2.2 of the proposed provides that if there is no quorum at of Industry and Member Representative Bylaws also provides that in no event any meeting of the stockholders, the 19 Directors. Unlike the current Bylaws, shall the annual meeting be held prior stockholders, present in person or the proposed Bylaws provide that the to the completion of the process for the represented by proxy, shall have power CEO is excluded from the calculation of nomination of Representative Directors. to adjourn the meeting until a quorum Industry Directors, as is the practice is present or represented. Additionally, 20 The proposed Bylaws also provide in under CBOE Bylaws. Additionally, the Article II, Section 2.1 that in addition to if an adjournment of a meeting of the stockholders is for more than thirty (30) Exchange notes that the CBOE Bylaws the Board, the Chairman (or CEO if there days, or if after the adjournment a new do not contain the term or concept of is no Chairman) may designate the record date is fixed for the adjourned ‘‘Independent Directors’’ and in order to location of the annual meeting. The meeting, a notice of the adjourned conform the proposed Bylaws to the Exchange notes that it is not including CBOE Bylaws, the proposed Bylaws also meeting shall be given to each the information contained in Article IV, do not reference ‘‘Independent stockholder of record entitled to vote at Section 3 of the current Bylaws. Directors’’ with respect to composition. the meeting. Additionally, Article IV, Specifically, Section 3 provides that the • The Board or the Nominating and Section 4 provides that when a quorum Secretary of the Exchange (or designee), Governance Committee will make all is present at any meeting, the vote of the shall prepare at least ten (10) days materiality determinations regarding holders of a majority of the capital stock before every meeting of stockholders, a who qualifies as an Industry Director having voting power present in person complete list of stockholder entitled to and Non-Industry Director.21 or represented by proxy shall decide • Unlike the current Bylaws which vote at the meeting. The Exchange does any question brought before such provide that the CEO shall be the not believe this provision is necessary meeting, unless the question is one Chairman of the Board,22 the proposed given that BYX’s sole stockholder is upon which by express provision of Bylaws, provide that the Chairman will Bats Global Markets Holdings, Inc., a statute or of the Certificate of be appointed by the Board and further wholly owned subsidiary of CBOE Incorporation, a different vote is provides that the Board may designate Holdings (and also notes that neither required, in which case such express an Acting Chairman in the event the CBOE nor C2 follow this practice). provision shall govern and control the Chairman is absent or fails to act.23 Special Meetings of the Stockholders decision of such question. • Unlike the current Bylaws which The Exchange proposes to adopt Article IV, Section 2 of the current provide that a Lead Director must be Article II, Sections 2.5 and 2.6 of the Bylaws provides that special meetings designated by the Board among the proposed Bylaws which are the same as of the stockholders may be called by the Board’s Independent Directors,24 the Article II, Sections 2.5 and 2.6 of the Chairman, the Board or the President, proposed Bylaws provide that the Board CBOE Bylaws and similar to Article IV, and shall be called by the Secretary at may, but does not have to, appoint a Section 4 of the current Bylaws. The the request in writing of stockholders Lead Director, who if appointed, must Exchange notes that unlike the current owning not less than a majority of the Bylaws, Article II, Section 2.5 of the then issued and outstanding capital 18 See Proposed Bylaws and CBOE Bylaws, proposed Bylaws and CBOE Bylaws do Article III, Section 3.1. stock of the Exchange entitled to vote. not require notice of an adjourned 19 See Current Bylaws, Article III, Section 2. In order to streamline the rules under meeting to be given to each stockholder 20 Id. which special meetings can be called, of record entitled to vote at the meeting 21 Id. if an adjournment is for more than thirty 22 See Current Bylaws, Article III, Section 5. 25 See Proposed Bylaws and CBOE Bylaws, 23 See Proposed Bylaws and CBOE Bylaws, Article III, Section 3.7. (30) days, or if after the adjournment a Article III, Sections 3.6 and 3.8. 26 See Proposed Bylaws and CBOE Bylaws, new record date is fixed for the 24 See Current Bylaws, Article III, Section 5. Article III, Section 3.2. adjourned meeting. The Exchange does

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not believe this requirement is Directors are present at meetings of the Compensation Committee has authority necessary given that BYX’s sole Board in order to transact business for to fix the compensation of BYX’s CEO stockholder is Bats Global Markets the Exchange. and to consider and recommend Holdings, Inc., a wholly owned compensation policies, programs, and Committees of the Board subsidiary of CBOE Holdings. practices to the BYX CEO in connection Additionally, in order to conform The current bylaws provide for the with the BYX CEO’s fixing of the Article II, Section 2.6 of the proposed following standing committees of the salaries of other officers and agents of Bylaws to the CBOE Bylaws, the Board: A Compensation Committee, an the Exchange.29 As such, other than to Exchange also proposes to explicitly Audit Committee, a Regulatory the extent that the BYX Compensation provide that a plurality of votes Oversight Committee, and an Appeals Committee recommends the properly cast shall elect the directors, Committee, each to be comprised of at compensation of executive officers notwithstanding the language in Article least three (3) members.27 The current whose compensation is not already II, 2.6 that provides that when a quorum Bylaws also provide that the Exchange determined by the CBOE Holdings is present, a majority of the votes may establish an Executive Committee Compensation Committee, its activities properly cast will decide any question and a Finance Committee.28 The are duplicative of the activities of the brought before a meeting unless a Exchange proposes to modify the CBOE Holdings Compensation different vote is required by express committees of the Board to eliminate the Committee. Indeed, the Exchange notes provision of statute or the Certificate of Audit Committee, Appeals Committee, that currently the BYX Compensation Incorporation. and Compensation Committee, as well Committee only fixes the compensation amount of the BYX CEO. The Exchange Regular Meetings of the Board as eliminate the provision relating to a Finance Committee. Additionally, the notes that currently the Exchange’s CEO Article III, Sections 8 and 9 of the Exchange proposes to require a is the CEO (i.e., an executive officer) of current Bylaws provide that, with or mandatory Executive Committee and CBOE Holdings, and as such, the CBOE without notice, a resolution adopted by Nominating and Governance Holdings Compensation Committee the Board determines the time and place Committee, as well as make several already performs this function. To the of the regular meeting and that if no amendments to the Regulatory extent that compensation need be designation as to place is made, then the Oversight Committee provision. The determined for any BYX officer who is meeting will be held at the principal Exchange notes that CBOE and C2 have not also a CBOE Holdings officer in the business office of the Exchange. Article eliminated their Audit and future, the Board or senior management III, Section 3.10 of the proposed Bylaws, Compensation Committees and do not will perform such action without the which is the same as Article III, Section maintain an Appeals Committee at the use of a compensation committee, as 3.10 of the CBOE Bylaws, provides that Board level. As previously noted, CBOE provided for in Article V, Section 5.11 regular meetings shall be held at such and C2 do maintain a Board-level of the proposed Bylaws (which is time and place as is determined by the Nominating and Governance identical to Article V, Section 5.11 of Chairman with notice provided to the Committee, which performs the the CBOE Bylaws). Thus, the full Board. functions of BYX’s current Nominating responsibilities of the BYX Special Meetings of the Board and Member Nominating Committees, Compensation Committee are which the Exchange proposes to duplicated by the responsibilities of the Article III, Section 10 of the current eliminate. CBOE Holdings Compensation Bylaws provides that special meetings Committee. The Exchange believes that of the Board may be called on a Elimination of Compensation its proposal to eliminate its minimum of two (2) days’ notice to each Committee Compensation Committee is Director by the Chairman or the The Exchange seeks to eliminate the substantially similar to prior actions President and shall be called by the Compensation Committee because it taken by other securities exchanges with Secretary upon written request of three believes that the Compensation parent company compensation (3) Directors. Article III, Section 3.11 of Committee’s functions are duplicative of committees to eliminate their exchange- the proposed Bylaws, which is the same the functions of the Compensation level compensation committees, as Article III, Section 3.11 of the CBOE Committee of its parent company, CBOE including CBOE and C2.30 Bylaws, however, provides that special Holdings. Specifically, under its Elimination of Audit Committee meetings of the Board may be called by committee charter, the CBOE Holdings the Chairman and shall be called by the Compensation Committee has authority The Exchange also proposes to Secretary upon written request of any to assist the CBOE Holdings Board of eliminate its Audit Committee because four (4) directors. Additionally, under Directors in carrying out its overall its functions are duplicative of the the proposed Bylaws, the Secretary shall responsibilities relating to executive functions of the Audit Committee of its give at least twenty-four (24) hours’ compensation and also, among other notice of such meeting. 29 The Exchange notes that the Regulatory things, (i) recommending the Oversight Committee (‘‘ROC’’) of the BYX Board Board Quorum compensation of the CBOE Holdings’ recommends to the Board compensation for the Chief Regulatory Officer. The Exchange also notes Article III, Section 12 of the current CEO and certain other executive officers and (ii) approving and administering all that currently not all executive officers of BYX are Bylaws provides that a majority of the required to have their compensation determined by number of Directors then in office shall cash and equity-based incentive the Compensation Committee. constitute a quorum, whereas Article III, compensation plans of CBOE Holdings 30 See e.g., Securities Exchange Act Release No. that affect employees of the CBOE 80523 (April 25, 2017), 82 FR 20399 (May 1, 2017) Section 3.9 of the proposed Bylaws, (SR–CBOE–2017–017) and Securities Exchange Act which is the same as Article III, Section Holdings and its subsidiaries. Similarly, under its committee charter, the BYX Release No. 80522 (April 25, 2017), 82 FR 20409 3.9 of the CBOE Bylaws, provides that (May 1, 2017) (SR–C2–2017–009). See also two-thirds of the Directors then in office Securities Exchange Act Release No. 60276 (July 9, 27 See Current Bylaws, Article V, Section 1 and 2009), 74 FR 34840 (July 17, 2009) (SR–NASDAQ– shall constitute a quorum. Increasing Section 2(a). 2009–042) and Securities Exchange Act Release No. the quorum requirement from a majority 28 See Current Bylaws, Article V, Sections 6(e) 62304 (June 16, 2010), 75 FR 36136 (June 24, 2010) to two-thirds will ensure that more and (f), respectively. (SR–NYSEArca–2010–31).

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parent company, CBOE Holdings. Under Audit Committee, which is also charged standing Appeals Committees.34 The its committee charter, the CBOE with review of financial statements and elimination of the requirement in the Holdings Audit Committee has broad disclosure matters. Similarly, the CBOE bylaws to maintain a standing Appeals authority to assist the CBOE Holdings Holdings Audit Committee has general Committee would provide consistency Board in fulfilling its oversight responsibility for oversight and risk among the Bylaws for all of CBOE responsibilities in assessing controls management, including compliance Holdings’ U.S. securities exchanges, that mitigate the regulatory and with legal and regulatory requirements, while still providing the Board the operational risks associated with for CBOE Holdings and all of its authority to appoint an Appeals operating the Exchange and assist the subsidiaries, including BYX. Thus, the Committee in the future as needed. CBOE Holdings Board of Directors in responsibilities of the BYX Audit Elimination of Finance Committee discharging its responsibilities relating Committee are fully duplicated by the to, among other things, (i) the responsibilities of the CBOE Holdings Pursuant to Article V, Section 6(f) of qualifications, engagement, and Audit Committee. The Exchange the current Bylaws, the Chairman, with oversight of CBOE Holdings’ believes that its proposal to eliminate its the approval of the Board, may appoint independent auditor, (ii) CBOE Audit Committee is substantially similar a Finance Committee. The Finance Holdings’ financial statements and to prior actions by other securities Committee shall advise the Board with disclosure matters, (iii) CBOE Holdings’ exchanges with parent company audit respect to the oversight of the financial internal audit function and internal committees to eliminate their exchange- operations and conditions of the controls, and (iv) CBOE Holdings’ level audit committees, including CBOE Exchange, including recommendations oversight and risk management, and C2.32 for the Exchange’s annual operating and including compliance with legal and capital budgets. The Exchange notes Elimination of Appeals Committee regulatory requirements. Because CBOE that it does not currently have a Finance Holdings’ financial statements are The Exchange next proposes to Committee and that, similarly, CBOE prepared on a consolidated basis that eliminate the Appeals Committee. and C2 do not have an exchange-level includes the financial results of CBOE Pursuant to Article V, Section 6(d) of Finance Committee. As the Exchange Holdings’ subsidiaries, including BYX, the current Bylaws, the Chairman, with currently does not maintain, and has no the CBOE Holdings Audit Committee’s the approval of the Board, shall appoint current intention of establishing, an purview necessarily includes BYX. The an Appeals Committee. The Appeals exchange-level Finance Committee, it Exchange notes that unconsolidated Committee shall consist of one (1) does not believe it is necessary to financial statements of the Exchange Independent Director, one (1) Industry maintain this provision. The Exchange will still be prepared for each fiscal year Director, and one (1) Member notes that should it desire to establish in accordance with the requirements set Representative Director and presides a Finance Committee in the future, it forth in its application for registration as over all appeals related to disciplinary still maintains the authority to do so a national securities exchange. The and adverse action determinations in under Article IV, Section 4.1 of the CBOE Holdings Audit Committee is accordance with the Rules. The proposed Bylaws. composed of at least three (3) CBOE Exchange notes that neither CBOE nor Holdings directors, all of whom must be C2 maintain a Board-level Appeals Changes to the Regulatory Oversight independent within the meaning given Committee. Rather, CBOE and C2 Committee to that term in the CBOE Holdings currently maintain an Exchange-level Article V, Section 6(c) of the current Bylaws and Corporate Governance Appeals Committee.33 The Exchange Bylaws relates to the Regulatory Guidelines and Rule 10A–3 under the notes that although it is proposing to Oversight Committee (‘‘ROC’’), which Act.31 All CBOE Holdings Audit eliminate the Appeals Committee as a oversees the adequacy and effectiveness Committee members must be financially specified Board-level committee at this of the Exchange’s regulatory and self- literate (or become financially literate time, the Exchange will still have the regulatory organization responsibilities. within a reasonable period of time after ability to appoint either a Board-level or The Exchange proposes to adopt Article appointment to the Committee), and at exchange-level Appeals Committee IV, Section 4.4, which amends the ROC least one (1) member of the Committee pursuant to its powers under Article IV, provision to conform to Article IV, must be an ‘‘audit committee financial Section 4.1 of the proposed Bylaws. Section 4.4 of the CBOE Bylaws.35 First, expert’’ as defined by the Securities and Although, CBOE and C2 have a standing the Exchange proposes to specify that Exchange Commission (‘‘SEC’’). By exchange-level Appeals Committee, the the ROC shall consist of at least three (3) contrast, the BYX Audit Committee has Exchange prefers not to have to directors, all of whom are Non-Industry a more limited role, focused on BYX. maintain and staff a standing Appeals Directors who are appointed by the Under its charter, the primary functions Committee, but rather provide its Board Board on the recommendation of the of the BYX Audit Committee are the flexibility to determine whether to Non-Industry Directors serving on the focused on (i) BYX’s financial establish a Board-level or exchange- Nominating and Governance Committee statements and disclosure matters and level Appeals Committee, as needed or (including the designation of the (ii) BYX’s oversight and risk desired. The Exchange also notes that Chairman of the ROC). While the management, including compliance other Exchanges similarly do not require current Bylaws also require all ROC with legal and regulatory requirements, members to be Non-Industry Directors, in each case, only to the extent required 32 See, e.g., Securities Exchange Act Release No. it does not specify a minimum number in connection with BYX’s discharge of 64127 (March 25, 2011), 76 FR 17974 (March 31, 2011) (SR–CBOE–2011–010) and Securities of directors. The current Bylaws also its obligations as a self-regulatory Exchange Act Release No. 64128 (March 25, 2011), organization. However, to the extent 76 FR 17973 (March 31, 2011) (SR–C2–2011–003). 34 For example, neither the Bylaws nor Rules of that the BYX Audit Committee reviews See also, Securities Exchange Act Release No. BOX Options Exchange, LLC mandate an Appeals financial statements and disclosure 60276 (July 9, 2009), 74 FR 34840 (July 17, 2009) Committee. See Bylaws of Box Options Exchange matters, its activities are duplicative of (SR- NASDAQ–2009–042). LLC and Rules of Box Options Exchange, LLC. 33 See e.g., CBOE Rule 2.1 and C2 Chapter 19, 35 The Exchange does not intend at this time to the activities of the CBOE Holdings which incorporates by reference CBOE Chapter XIX rename the ROC the ‘‘Regulatory Oversight and (Hearings and Review), which references the Compliance Committee’’ (‘‘ROCC’’), which is the 31 17 CFR 240.10A–3. Appeals Committee. name of the equivalent committee of CBOE and C2.

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provide that the Chairman of the Board Industry Directors on the Executive Each member of the Executive (instead of a Nominating and Committee. In addition, the percentage Committee shall be a voting member Governance Committee), with approval of Independent Directors on the and shall serve for a term of one (1) year of the Board, appoints the ROC Executive Committee shall be at least as expiring at the first regular meeting of members. great as the percentage of Independent Directors following the annual meeting Next, while the current Bylaws Directors on the whole Board, and the of stockholders each year or until their explicitly delineate some of the ROC’s percentage of Member Representative successors are appointed. The Exchange responsibilities, the Exchange proposes Directors on the Executive Committee notes that CBOE and C2 have an to provide more broadly that the ROC shall be at least as great as the Executive Committee and that the shall have the duties and may exercise percentage of Member Representative proposed composition requirements and such authority as may be prescribed by Directors on the whole Board. functions are the same as CBOE and 38 resolution of the Board, the Bylaws or Under the proposed Bylaws, the C2. the Rules of the Exchange. Particularly, Exchange proposes to require that the Elimination of Nominating and Member Article V, Section 6(c) of the current Exchange maintain an Executive Bylaws provide that the ROC shall Nominating Committees and Creation of Committee and delineates its Nominating and Governance Committee oversee the adequacy and effectiveness composition and functions in Article IV, The Exchange also proposes to of the Exchange’s regulatory and self- Section 4.2 of the proposed Bylaws. eliminate the current Nominating and regulatory organization responsibilities, Similar to the current Bylaw provisions Member Nominating Committees, and to assess the Exchange’s regulatory relating to the Executive Committee, the performance, assist the Board and Board prescribe that their duties be performed proposed Executive Committee shall by the new Nominating and Governance committees in reviewing the regulatory have and may exercise all the powers plan and the overall effectiveness of Committee of the Board (as discussed and authority of the Board in the below). The Nominating Committee is a Exchange’s regulatory functions and, in management of the business and affairs consultation with the CEO, establish the non-Board committee and is elected on of the Exchange. Unlike the current an annual basis by vote of the goals, assess the performance, and fix Executive Committee provisions, the compensation of the Chief Exchange’s sole stockholder, Bats Global however, the proposed Executive Markets Holdings, Inc.39 The Regulatory Officer (‘‘CRO’’). The Committee shall not have the power and Exchange notes that the ROC will Nominating Committee is primarily authority of the Board to (i) approve or charged with nominating candidates for continue to have the foregoing duties adopt or recommend to the stockholders and authority, with the exception that election to the Board at the annual any action or matter (other than the stockholder meeting and all other the ROC will no longer consult the CEO election or removal of Directors) with respect to establishing the goals, vacant or new Director positions on the expressly required by Delaware law to Board and ensuring, in making such assessing the performance and fixing be submitted to stockholders for compensation of the CRO. The proposed nominations, that candidates meet the approval, including without limitation, compositional requirements set forth in change to eliminate the CEO’s amending the certificate of involvement in establishing the goals, the bylaws. The Member Nominating incorporation, adopting an agreement of Committee is also a non-Board assessing the performance and fixing merger or consolidation, approving a compensation of the CRO is consistent committee and elected on an annual sale, lease or exchange of all or basis by vote of the Exchange’s sole with the Exchange’s desire to maintain substantially all of the Exchange’s the independence of the regulatory stockholder, Bats Global Markets property and assets, or approval of a 40 functions of the Exchange. The Holdings, Inc. Each Member dissolution of the Exchange or Nominating Committee member must be Exchange notes that each of the revocation of a dissolution, or (ii) adopt, abovementioned proposed changes a Member Representative member (i.e., alter, amend or repeal any bylaw of the an officer, director, employee or agent of provide for the same language and Exchange. Additionally, Section 4.2 of appointment process used by CBOE and an Exchange Member that is not a the proposed Bylaws provides that the 41 C2 with respect to the ROC, which Stockholder Exchange Member). The Executive Committee shall consist of the Member Nominating Committee is provides consistency among the CBOE Chairman, the CEO (if a Director), the Holdings U.S. securities exchanges.36 primarily charged with nominating Lead Director, if any, at least one (1) candidates for each Member Creation of a Mandatory Executive Representative Director and such other Representative Director position on the Committee number of Directors that the Board Board. Article V, Section 6(e) of the current deems appropriate, provided that in no The Exchange proposes to adopt a Bylaws provides that the Chairman, event shall the number of Non-Industry Nominating and Governance Committee with approval of the Board, may appoint Directors constitute less than the which would have the same an Executive Committee, which shall, to number of Industry Directors serving on responsibilities currently delegated to the fullest extent permitted by Delaware the Executive Committee (excluding the the CBOE and C2 Nominating and and other applicable law, have and be CEO from the calculation of Industry Governance Committees. Specifically, permitted to exercise all the powers and Directors for this purpose). The the Exchange proposes to adopt Article authority of the Board in the Directors (other than the Chairman, CEO IV, Section 4.3, which is the same as management of the business and affairs and Lead Director, if any) serving on the 38 of the Exchange between meetings of the Executive Committee shall be appointed See CBOE Bylaws, Article IV, Section 4.2. 39 See Article VI, Sections 1 and 2. A Nominating 37 by the Board on the recommendation of Board. The current Bylaws provide Committee member may simultaneously serve on that the number of Non-Industry the Nominating and Governance the Nominating Committee and the Board, unless Directors on the Executive Committee Committee of the Board. Directors the Nominating Committee is nominating Director shall equal or exceed the number of serving on the Executive Committee candidates for the Director’s class. The number of may be removed by the Board in Non-Industry members on the Nominating Committee shall equal or exceed the number of 36 See CBOE Bylaws Article IV, Section 4.4. accordance with the bylaws. The Industry members on the Nominating Committee. 37 The Exchange does not presently have an Chairman of the Board shall be the 40 See Article VI, Sections 1 and 3. Executive Committee. Chairman of the Executive Committee. 41 See Article VI, Section 3.

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Article IV, Section 4.3 of the CBOE members of an Advisory Board for or to the CEO or Secretary.45 Article VII, Bylaws, which would provide that the approval by the Board. There would Section 3 of the current Bylaws also Nominating and Governance Committee also be an Exchange Member provides that any officer may be shall consist of at least five (5) directors Subcommittee of the Advisory Board removed, with or without cause, by the and shall at all times have a majority of consisting of all members of the Board. The Exchange proposes to Non-Industry Directors. Members of the Advisory Board who are Exchange provide that, in addition to being committee would be recommended by Members or persons associated with removed by the Board, an officer may be the Nominating and Governance Exchange Members, which shall act as removed at any time by the CEO or Committee for approval by the Board the Representative Director Nominating President (provided that the CEO can and shall not be subject to removal Body if and to the extent required by the only be removed by the Board).46 except by the Board. The Chairman of proposed Bylaws. An Advisory Board Provisions relating to resignation and the Nominating and Governance would be completely advisory in nature removal of officers in the proposed Committee shall be recommended by and not be vested with any Exchange Bylaws will be identical to the relevant the Nominating and Governance decision-making authority or other provisions of the CBOE Bylaws.47 Committee for approval by the Board. authority to act on behalf of the Compensation The Nominating and Governance Exchange. The Exchange notes that Committee would be primarily charged CBOE and C2 currently maintain an Article VII, Section 4 of the current with the authority to nominate Advisory Board, with the same Bylaws provides that the CEO, after individuals for election as Directors of proposed compositional requirements consultation of the Compensation the Exchange. The Nominating and and functions.42 The Exchange also Committee, shall fix the salaries of Governance Committee would also have notes, however, that while for CBOE officers of the Exchange and also states such other duties and may exercise such and C2 an Advisory Board is mandatory, that the CEO’s compensation shall be other authority as may be prescribed by an Advisory Board for the Exchange fixed by the Compensation Committee. resolution of the Board and the would be permissive as the Exchange In order to conform compensation Nominating and Governance Committee desires flexibility to determine if an practices to those of CBOE and C2, the charter as adopted by resolution of the Advisory Board should be established in Exchange proposes to modify these Board. If the Nominating and the future. The Exchange notes that provisions to provide that in lieu of the Governance Committee has two (2) or there is no statutory requirement to CEO, the Board, unless otherwise more Industry Directors, there shall be maintain an Advisory Board or delegated to a committee of the Board or to members of senior management, may an Industry-Director Subcommittee Advisory Committee and indeed, other fix the salaries of officers of the consisting of all of the Industry Exchanges, including BYX itself, do not Exchange.48 Additionally, in Directors then serving on the require the establishment of an conjunction with the proposed change Nominating and Governance Advisory Board.43 Committee, which shall act as the to eliminate the BYX Compensation Representative Director Nominating Officers, Agents and Employees Committee, the Exchange proposes to Body (as previously discussed) if and to General eliminate language providing that the the extent required by the proposed CEO’s compensation is fixed by the Bylaws. The Exchange believes that the Article VII, Section 1 of the current Compensation Committee. Bylaws provides that that an individual duties and functions of the eliminated Chief Executive Officer and President Nominating and Member Nominating may not hold office as both the Committees would continue to be President and Secretary, whereas the Article VII, Section 6 of the current performed and covered in the new CBOE Bylaws provide an individual Bylaws pertains to the CEO. The current corporate governance structure under may not hold office as both the CEO and Bylaws provide that the CEO shall be the proposed Bylaws. President and that the CEO and the Chairman of the Board. CBOE and President may not hold office as either C2, however, do not require that the Creation of an Advisory Board the Secretary or Assistant Secretary.44 CEO be Chairman of the Board. The The Exchange proposes to adopt As these requirements are similar, if not Exchange desires similar flexibility in Article VI, Section 6.1, which provides more restrictive under the CBOE appointing its Chairman and, therefore, that the Board may establish an Bylaws, the Exchange proposes to this requirement is not carried over in Advisory Board which shall advise the include the same provisions in CBOE the proposed Bylaws.49 Instead, Article Board and management regarding Bylaws in Article V, Section 5.1 of the V, Section 5.1 of the proposed Bylaws matters of interest to Exchange proposed Bylaws. provides that the CEO shall be Members. The Exchange believes the appointed by an affirmative vote of the Advisory Board could provide a vehicle Resignation and Removal majority of the Board, and may but need for Exchange management to receive Article VII, Section 3 of the current not be, the Chairman of the Board. The advice from the perspective of Exchange Bylaws provides that any officer may Exchange notes that to conform the Members and regarding matters that resign at any time upon notice of language to the CBOE Bylaws, Article V, impact Exchange Members. Under resignation to the Chairman and CEO, Section 5.2 of the proposed Bylaws also Article VI, Section 6.1 of the proposed the President or the Secretary. The states that the CEO shall be the official Bylaws, the Board would determine the Exchange proposes to amend the representative of the Exchange in all number of members of an Advisory provision relating to officer resignations public matters and provides that the Board, if established, including at least to provide that any officer may resign at CEO shall not engage in another two members who are Exchange any time upon delivering written notice 45 See Proposed Bylaws, Article V, Section 5.9. Members or persons associated with to the Exchange at its principal office, Exchange Members. Additionally, the 46 See Proposed Bylaws, Article V, Section 5.8. 47 See Article V, Sections 5.8 and 5.9 of the CBOE CEO or his or her designee would serve 42 See Article VI, Section 6.1 of CBOE Bylaws. Bylaws. as the Chairman of an Advisory Board 43 For example, BOX Options Exchange, LLC does 48 See Proposed Bylaws, Article V, Section 5.11. and the Nominating and Governance not require an advisory committee. 49 The Exchange notes that currently the CEO of Committee would recommend the 44 See Article V, Section 5.1 of CBOE Bylaws. BYX is also Chairman of the Board.

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business during his incumbency except the CBOE Bylaws, which requires that time to time by the Board. Note that the with approval of the Board. in addition to all meetings of the Board, Exchange’s fiscal year currently ends on Additionally, the Exchange proposes the Secretary must keep official records the close of business December 31 each not to carry over language in the current of all meetings of stockholders and of year. Bylaws that provides that the CEO shall Exchange Members at which action is The Exchange also proposes to add not participate in executive sessions of taken. Article VIII, Section 8.2 of the proposed the Board, as CBOE Bylaws do not • Article V, Section 5.7 of the Bylaws, which is the same as Article contain a similar restriction. proposed Bylaws, which is based on VIII, Section 8.2 of the CBOE Bylaws, Article V, Section 5.3 of the proposed Article 5.7 of the CBOE Bylaws, would which governs the execution of Bylaws proposes to provide that the provide that the Treasurer perform such instruments such as checks, drafts and President shall be the chief operating duties and powers as the Board, the bills of exchange and contracts and officer of the Exchange. The Exchange CEO or CFO proscribes (whereas Article which is similar to Article XI, Section notes that the current Bylaws do not VII, Section 12 of the current Bylaws 6 of the current Bylaws. address appointing a chief operating provides that such duties and powers Next, the Exchange proposes to adopt officer. Additionally, while Article VII, may be proscribed by the Board, CEO or Article VIII, Section 8.4, which provides Section 7 of the current Bylaws provides President). that, except as the Board may otherwise that the President shall have all powers • While the current Bylaws contain designate, the Chairman of the Board, and duties usually incident to the office separate provisions relating to an CEO, CFO or Treasurer may waive of the President, except as specifically Assistant Secretary and an Assistant notice of, and act as, or appoint any limited by a resolution of the Board, and Treasurer, the proposed Bylaws do not, person or persons to act as, proxy or shall exercise such other powers and as CBOE Bylaws similarly do not attorney-in-fact for the Exchange (with perform such other duties as may be contain such provisions.51 or without power of substitution) at, any meeting of stockholders or shareholders assigned to the President from time to Amendments time by the Board, Article V, Section 5.3 of any other corporation or organization, of the proposed Bylaws further states Article IX, Section 1 of the current the securities of which may be held by that in the event that the CEO does not Bylaws provides that the bylaws may be the Exchange. The proposed provision act, the President shall perform the altered, amended, or repealed, or new is the same as Article VIII, Section 8.4 officer duties of the CEO, which is bylaws adopted, (i) by written consent of the CBOE Bylaws and similar to consistent with the language in the of the stockholders of the Exchange or Article XI, Section 7 of the current CBOE Bylaws. (ii) at any meeting of the Board by Bylaws, which provides generally that resolution. The proposed Bylaws, the CEO has the power and authority to Other Officers however, eliminate the ability of act on behalf of the Company at any The Exchange notes the following stockholders to act by written consent meeting of stockholders, partners or modifications relating to officer and instead provides that in order for equity holders of any other corporation provisions in the proposed Bylaws, the stockholders of the Exchange to or organization, the securities of which which are intended to conform the alter, amend, repeal or adopt new may be held by the Exchange. proposed Bylaws to the CBOE Bylaws: bylaws, there must be an affirmative The Exchange proposes to adopt • Article V, Sections 5.1 and 5.4 of vote of the stockholders present at any Article VIII, Section 8.7, which governs the proposed Bylaws, which is identical annual meeting at which a quorum is transactions with interested parties. to Article V, Sections 5.1 and 5.4 of the present.52 Additionally, unlike the Proposed Article VIII, Section 8.7 is the CBOE Bylaws, will provide that the current Bylaws, the Exchange proposes same as Article VIII, Section 8.7 of the Chief Financial Officer (‘‘CFO’’) is to explicitly provide that changes to the CBOE Bylaws and substantially similar designated as an officer of the Exchange bylaws shall not become effective until to language contained in Article III, and that the Board and CEO may assign filed with or filed with and approved by Section 18 of the current Bylaws. the CFO powers and duties as they see the SEC, to avoid confusion as to when Similarly, the Exchange proposes to fit. The Exchange notes that the role of proposed amendments to the Bylaws adopt Article VIII, Section 8.8 which a CFO is not referenced in the current can take effect.53 The proposed governs severability and is the same as Bylaws. provisions are the same as the Article VIII, Section 8.8 of CBOE Bylaws • The proposed Bylaws eliminate the corresponding provisions in the CBOE and substantially similar to Article XI, requirement in the current Bylaws that Bylaws.54 Section 8 of the current Bylaws. the Chief Regulatory Officer (‘‘CRO’’) is General Provisions The Exchange proposes to adopt a designated officer of the Exchange.50 Article VIII, Section 8.10 which As noted above, the Exchange desires to The Exchange proposes to add Article provides that the board may authorize conform its Bylaws to the Bylaws of VIII, Section 8.1 of the proposed any officer or agent of the Corporation CBOE and the CBOE Bylaws do not Bylaws, which is the same as Article to enter into any contract, or execute reference the role of the CRO. The VIII, Section 8.1 of the CBOE Bylaws, and deliver any instrument in the name Exchange notes that notwithstanding that unless otherwise determined by the of, or on behalf of the Corporation. The the proposed elimination of the CRO Board, the fiscal year of the Exchange proposed language is the same as the provision, there is no intention to ends on the close of business December language in Article VIII, Section 8.10 of eliminate the role of the CRO. 31 each year, as compared to Article XI, the CBOE Bylaws and similar to related • Article VII, Section 10 of the Section 1 of the current Bylaws, which language in Article XI, Section 6 of the current Bylaws requires the Secretary to provides that the fiscal year of the current Bylaws. keep official records of Board meetings. Exchange shall be as determined from The Exchange proposes to adopt The Exchange proposes to add to Article Article VIII, Section 8.12, relating to V, Section 5.6 of the proposed Bylaws, 51 See Article VII, Sections 11 and 13 of the books and records and which is the current Bylaws. which is similar to the current Bylaws 52 See Proposed Bylaws, Article IX, Section 9.2. same as Article VIII, Section 8.12 of and based on Article V, Section 5.6 of 53 See Proposed Bylaws, Article IX, Section 9.3. CBOE Bylaws and which is similar to 54 See Article IX, Sections 9.2 and 9.3 of the language contained in Article XI, 50 See Current Bylaws, Article VII, Section 9. CBOE Bylaws. Section 3 of the current Bylaws.

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New Bylaw Provisions • Article III, Sections 13 and 17. and appropriate standards with respect The Exchange proposes to add Section 13 provides that a director who to the training, experience, competence, provisions to the proposed Bylaws that is present at a Board or Board financial responsibility, operational are not included in the current Bylaws Committee meeting at which action is capability, and other qualifications. The in order to conform the Exchange’s taken is conclusively presumed to have Exchange does not wish to include this bylaws to those of CBOE and C2 and assented to action being taken unless his provision in the proposed Bylaws as no provide consistency among the CBOE or her dissent or election to abstain is equivalent provisions exist in the CBOE Holdings’ U.S. securities exchanges. entered into the minutes or filed. Bylaws. The Exchange again notes that Article III, Section 3.3 of the proposed Specifically, the Exchange proposes to Section 17 provides that the Board has Bylaws grants the Board broad powers add the following to the proposed the power to interpret the Bylaws and to adopt such rules and regulations if Bylaws: any interpretations made shall be final necessary or desirable. • Article VII, which addresses notice and conclusive. The Exchange does not • Article X, Section 4, which relates requirements for any notice required to wish to include these provisions in the proposed Bylaws as no equivalent to fees, provides that the Board has be given by the bylaws or Rules, authority to fix and charge fees, dues, including Article VII, Section 7.2, which provisions exist in the CBOE Bylaws and the Exchange wishes to have assessments, and other charges to be provides whenever any notice to any paid by Exchange Members and issuers stockholder is required, such notice may uniformity across the bylaws of the CBOE Holdings’ exchanges. and any other persons using any facility be given by a form of electronic • or system that the Company operates or transmission if the stockholder to whom Article IX, Section 2, which relates to the Board’s authority to adopt controls; provided that such fees, dues, such notice is given has previously assessments, and other charges shall be consented to the receipt of notice by emergency Bylaws to be operative during any emergency resulting from, equitably allocated among Exchange electronic transmission. The language Members and issuers and any other mirrors the language set forth in Article among other things, any nuclear or atomic disaster or attack on the United persons using any facility or system that VII, Section 7.2 of the CBOE Bylaws. the Company operates or controls. The • Article VIII, Section 8.3 which is States, any catastrophe, or other emergency condition, as a result of Exchange does not wish to include this identical to Article VIII, Section 8.3 of section of the provision in the proposed the CBOE Bylaws, which provides that which a quorum of the Board or a committee cannot readily be convened Bylaws as no equivalent provisions exist the corporate seal, if any, shall be in in the CBOE Bylaws. To the extent the such form as approved by the board or for action. Similarly, Article IX, Section 3, provides that the Board, or Board’s Board wishes to adopt such fees and officer of the Corporation. dues, it has the authority pursuant to • designee, in the event of extraordinary Article VIII, Section 8.5, which Article III, Section 3.3 of the proposed provides that a certificate by the market conditions, has the authority to take certain actions. The Exchange does Bylaws. The Exchange notes that with Secretary, or Assistant Secretary, if any, respect to the language in Article X, as to any action taken by the not wish to include these provisions in the proposed Bylaws as no equivalent Section 4 of the current Bylaws relating stockholders, directors, a committee or to the prohibition of using revenues any officer or representative of the provisions exist in the CBOE Bylaws and the Exchange wishes to have received from fees derived from its Exchange shall, as to all persons who regulatory function or penalties for non- rely on the certificate in good faith, be uniformity across the bylaws of the CBOE Holdings’ exchanges. regulatory purposes, similar language conclusive evidence of such action. This • exists within CBOE Rules, particularly, language is identical to the language Article X, Section 2, which relates to disciplinary proceedings and CBOE Rule 2.51. In order to conform the contained in Article VIII, Section 8.5 of Bylaws, the Exchange wishes to the CBOE Bylaws. provides that the Board is authorized to • establish procedures relating to similarly relocate this language to its Article VIII, Section 8.6., which is rules, instead of maintaining it in its identical to Article VIII, Section 8.6 of disciplinary proceedings involving Exchange Members and their associated Bylaws. Specifically, the Exchange the CBOE Bylaws, which provides all proposes to adopt new Rule 15.2, which references to the Certificate of persons, as well as impose various sanctions applicable to Exchange language is based off CBOE Rule 2.51. Incorporation shall be deemed to refer The Exchange notes that this provision to the Certificate of Incorporation of the Members and persons associated with Exchange Members. The Exchange does is designed to preclude the Exchange Corporation, as amended, altered or from using its authority to raise restated and in effect from time to time. not wish to include this provision in the • proposed Bylaws as no equivalent regulatory funds for the purpose of Article VIII, Section 8.11, which benefitting its Stockholder. Unlike provides that the Exchange may lend provisions exist in the CBOE Bylaws. Additionally, the Exchange notes that CBOE Rule 2.51 however, proposed money or assist an employee of the Rule 15.2 explicitly provides that Exchange when the loan, guarantee or Article III, Section 3.3 of the proposed Bylaws grants the Board broad powers regulatory funds may not be distributed assistance may reasonably benefit the to the stockholder. The Exchange notes Exchange. This language is identical to to adopt such procedures and/or rules if 55 that this language is currently contained the language contained in Article VIII, necessary or desirable. • Article X, Section 3, which relates in Article X, section 4 of the current Section 8.11 of the CBOE Bylaws. to membership qualifications and Bylaws. Additionally, while not explicit Eliminated Bylaw Provisions provides, among other things, that the in CBOE Rule 2.51, the Exchange notes that the rule filing that adopted Rule The Exchange notes that the following Board has authority to adopt rules and 2.51 does similarly state that regulatory provisions in the current Bylaws are not regulations applicable to Exchange funds may be not distributed to CBOE’s carried over in either the proposed Members and Exchange Member stockholder.56 Although proposed Rule Bylaws or proposed Certificate in order applicants, as well as establish specified 15.2 will differ slightly from CBOE Rule to conform the Exchange’s bylaws to 55 The Exchange notes that the language in those of CBOE and C2 and provide proposed Article III, Section 3.3 is similar to 56 See Securities Exchange Act Release No. 62158 consistency among the CBOE Holdings’ language provided for in Article X, Section 1 of the (May 24, 2010), 75 FR 30082 (May 28, 2010) (SR– U.S. securities exchanges: current Bylaws. CBOE–2008–088).

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2.51, the Exchange wishes to make this ‘‘Director’’ from Article I of the current and the rules and regulations point clear to avoid potential confusion. Bylaws. The Exchange notes that thereunder applicable to the Exchange Lastly, the Exchange notes that unlike Industry members and Member and, in particular, the requirements of Article X, Section 4 of the current Representative members are still used Section 6(b) of the Act.59 Specifically, Bylaws, proposed Rule 15.2, like CBOE for Hearing Panels pursuant to Rule 8.6. the Exchange believes the proposed rule Rule 2.51, will provide that As such, the Exchange proposes to change is consistent with the Section notwithstanding the preclusion to use relocate these definitions to the rules 6(b)(5) 60 requirements that the rules of regulatory revenue for non-regulatory (specifically, Rule 8.6) and proposes to an exchange be designed to prevent purposes, in the event of liquidation of update the reference to the location of fraudulent and manipulative acts and the Exchange, Bats Global Markets the definitions in Rule 8.6 accordingly practices, to promote just and equitable Holdings, Inc. will be entitled to the (i.e., refer to the definition in Rule 8.6 principles of trade, to foster cooperation distribution of the remaining assets of as opposed to the definition in the and coordination with persons engaged the Exchange. bylaws). The Exchange also proposes to in regulating, clearing, settling, • Certain sections in Article XI, eliminate language in Rule 2.10 that, in processing information with respect to, including Section 2 (‘‘Participation in connection with a reference to and facilitating transactions in Board and Committee Meetings’’), ‘‘Director’’, states ‘‘as such term is securities, to remove impediments to Section 4 (‘‘Dividends’’) and Section 5 defined in the Bylaws of the Exchange’’. and perfect the mechanism of a free and (‘‘Reserves’’). More specifically, Article As the definition of Director is being open market and a national market XI, Section 2 governs who may attend eliminated in the Bylaws, the Exchange system, and, in general, to protect Board and Board committee meetings is seeking to remove the obsolete investors and the public interest. pertaining to the self-regulatory function language in Rule 2.10. Additionally, the Exchange believes the of the Exchange and particularly, Lastly, as discussed above, the proposed rule change is consistent with provides among other things, that Board Exchange proposes to add new Rule the Section 6(b)(5) 61 requirement that and Board Committee meetings relating 15.2, which will provide that any the rules of an exchange not be designed to the self-regulatory function of the revenues received by the Exchange from to permit unfair discrimination between Company are closed to all persons other fees derived from its regulatory function customers, issuers, brokers, or dealers. than members of the Boards, officers, or regulatory fines will not be used for The Exchange also believes that its staff and counsel or other advisors non-regulatory purposes or distributed proposal is consistent with Section 6(b) whose participation is necessary or to the Stockholder, but rather, shall be of the Act in general, and furthers the appropriate.57 Article XI, Section 4 applied to fund the legal and regulatory objectives of Section 6(b)(1) of the Act provides that dividends may be operations of the Exchange (including in particular, in that it enables the declared upon the capital stock of the surveillance and enforcement activities), Exchange to be so organized as to have Exchange by the Board. Article XI, or be used to pay restitution and the capacity to be able to carry out the Section 5 provides that before any disgorgement of funds intended for purposes of the Act and to comply, and dividends are paid out, there must be customers (except in the event of to enforce compliance by its exchange set aside funds that the Board liquidation of the Exchange, which case members and persons associated with determines is proper as a reserves. The Bats Global Markets Holdings, Inc. will its exchange members, with the Exchange does not wish to include these be entitled to the distribution of the provisions of the Act, the rules and provisions in the proposed Bylaws as no remaining assets of the Exchange). As regulations thereunder, and the rules of equivalent provisions exist in the CBOE more fully discussed above in the the Exchange. Bylaws and the Exchange wishes to ‘‘Eliminated Bylaw Provisions’’ section, The Exchange also believes that its have uniformity across the bylaws of the the proposed change is similar to Article proposal to adopt the Board and CBOE Holdings’ U.S. securities X, Section 4 of the current Bylaws and committee structure and related exchanges. based on Rule 2.51 of CBOE Rules. nomination and election processes set The Exchange believes that the forth in the proposed Bylaws are (c) Changes to Rules proposed changes to the current Bylaws consistent with the Act, including The Exchange will also amend its and current Certificate would align its Section 6(b)(1) of the Act, which rules in conjunction with the proposed governance documents with the requires, among other things, that a changes to its bylaws. The proposed governance documents of each of CBOE national securities exchange be rule changes are set forth in Exhibit 5E. and C2, which preserves governance organized to carry out the purposes of First, the Exchange proposes to update continuity across each of CBOE the Act and comply with the the reference to the bylaws in Rule 1.1. Holdings’ six U.S. securities exchanges. requirements of the Act. In general, the Next, the Exchange notes that in order The Exchange also notes that the proposed changes would make the to keep the governance documents Exchange will continue to be so Board and committee composition uniform, it proposes to eliminate the organized and have the capacity to be requirements, and related nomination definitions of ‘‘Industry member’’, able to carry out the purposes of the Act and election processes, more consistent ‘‘Member Representative member’’ and and to comply and to enforce with those of its affiliates, CBOE and C2. compliance by its Members and persons The Exchange therefore believes that the 57 Article XI, Section 2 also provides that in no associated with its Members, with the proposed changes would contribute to event shall members of the Board of Directors of provisions of the Act, the rules and the orderly operation of the Exchange CBOE Holdings, Inc., CBOE V, LLC or Bats Global regulations thereunder, and the Rules, and would enable the Exchange to be so Markets Holdings, Inc. who are not also members of the Board, or any officers, staff, counsel or as required by Section 6(b)(1) of the organized as to have the capacity to advisors of CBOE Holdings, Inc., CBOE V, LLC or Act.58 carry out the purposes of the Act and Bats Global Markets Holdings, Inc. who are not also comply with the provisions of the Act 2. Statutory Basis officers, staff, counsel or advisors of the Company by its members and persons associated (or any committees of the Board), be allowed to The Exchange believes the proposed participate in any meetings of the Board (or any committee of the Board) pertaining to the self- rule change is consistent with the Act 59 15 U.S.C. 78f(b). regulatory function of the Company (including 60 15 U.S.C. 78f(b)(5). disciplinary matters). 58 15 U.S.C. 78f(b)(1). 61 Id.

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with members. The Exchange also through the exchange governance update the Rules in light of the believes that this proposal furthers the process, and would foster the integrity proposed changes to the current Bylaws objectives of Section 6(b)(3) 62 and (b)(5) of the Exchange by providing unique, and to relocate certain provisions to of the Act in particular, in that it is unbiased perspectives. better conform the Exchange’s designed to assure a fair representation Moreover, the Exchange believes that governance documents to those of CBOE of Exchange Members in the selection of the new corporate governance and C2. its directors and administration of its framework and related processes being affairs and provide that one or more proposed are consistent with Section B. Self-Regulatory Organization’s directors would be representative of 6(b)(5) of the Act because they are Statement on Burden on Competition issuers and investors and not be substantially similar to the framework The Exchange does not believe the associated with a member of the and processes used by CBOE and C2, proposed rule change will impose any exchange, broker, or dealer; and is which have been well-established as fair burden on competition not necessary or designed to promote just and equitable and designed to protect investors and appropriate in furtherance of the principles of trade, to remove the public interest.63 The Exchange purposes of the Act. The proposed rule impediments to and perfect the believes that conforming its governance change relates to the corporate mechanism of a free and open market documents based on the documents of governance of BYX and not the and a national market system, and, in the CBOE and C2 exchanges would operations of the Exchange. This is not general to protect investors and the streamline the CBOE Holdings’ U.S. a competitive filing and, therefore, public interest. For example, the securities exchanges’ governance imposes no burden on competition. number of Non-Industry Directors must process, create equivalent governing C. Self-Regulatory Organization’s not be less than the number of Industry standards among the exchanges and also Directors. Additionally, the Exchange provide clarity to its members, which is Statement on Comments on the believes that the 20% requirement for beneficial to both investors and the Proposed Rule Change Received From Representative Directors and the public interest. Members, Participants or Others proposed method for selecting To the extent there are differences The Exchange neither solicited nor Representative Directors ensures fair between the current CBOE and C2 received comments on the proposed representation and allows members to framework and the proposed Exchange rule change. have a voice in the Exchange’s use of its framework, the Exchange believes the III. Date of Effectiveness of the self-regulatory authority. For instance, differences are reasonable. First, the Proposed Rule Change and Timing for the proposed Bylaws includes a process Exchange believes it’s reasonable to Commission Action by which Exchange members can provide that in Run-Off Elections, each directly petition and vote for Exchange Member shall have one (1) Within 45 days of the date of representation on the Board. vote for each Representative Director publication of this notice in the Federal Additionally, the Exchange believes position to be filled that year instead of Register or within such longer period the proposed Certificate, Bylaws and one vote per Trading Permit held, up to 90 days (i) as the Commission may rules support a corporate governance because the Exchange, unlike CBOE and designate if it finds such longer period framework, including the proposed C2, does not have Trading Permits and to be appropriate and publishes its Board and Board Committee structure because other exchanges have similar reasons for so finding or (ii) as to which that preserves the independence of the practices.64 The Exchange believes it’s the Exchange consents, the Commission Exchange’s self-regulatory function and also reasonable not to require the will: (a) By order approve or disapprove insulates the Exchange’s regulatory establishment of an Advisory Board, as such proposed rule change, or (b) functions from its market and other the Exchange desires flexibility in institute proceedings to determine commercial interests so that the maintaining such a Committee, and is whether the proposed rule change Exchange can continue to carry out its not statutorily required to maintain such should be disapproved. regulatory obligations. Particularly, the a committee. Additionally, the proposed governance documents Exchange notes that it currently does IV. Solicitation of Comments provide that Directors must take into not have an Advisory Board. Lastly, the Interested persons are invited to consideration the effect that his or her Exchange notes that it is reasonable to submit written data, views and actions would have on the ability of the not require a standing exchange-level arguments concerning the foregoing, Company to carry out its regulatory Appeals Committee because the Board including whether the proposal is responsibilities under the Act and the still has the authority to appoint an consistent with the Act. Comments may proposed changes to the rules includes Appeals Committee in the future as be submitted by any of the following the restriction on using revenues needed pursuant to its powers under methods: derived from the Exchange’s regulatory Article IV, Section 4.1 of the proposed Electronic Comments function for non-regulatory purposes, Bylaws and because an Appeals which further underscores the Committee is not statutorily required. • Use the Commission’s Internet independence of the Exchange’s Finally, the proposed amendments to comment form (http://www.sec.gov/ regulatory function. The Exchange also the rules as discussed above are non- rules/sro.shtml); or believes that requiring that the number substantive changes meant to merely • Send an email to rule-comments@ of Non-Industry Directors not be less sec.gov. Please include File No. SR- than the number of Industry Directors 63 See e.g., Securities Exchange Act Release No. BatsBYX-2017-19 on the subject line. and requiring that all Directors serving 62158 (May 24, 2010), 75 FR 30082 17974 [sic] (May 28, 2010) (SR–CBOE–2008–088); Securities Paper Comments on the ROC be Non-Industry Directors Exchange Act Release No. 64127 (March 25, 2011), • would help to ensure that no single 76 FR 17974 (March 31, 2011) (SR–CBOE–2011– Send paper comments in triplicate group of market participants will have 010); and Securities Exchange Act Release No. to Secretary, Securities and Exchange the ability to systematically 80523 (April 25, 2017), 82 FR 20399 (May 1, 2017) Commission, 100 F Street NE., (SR–CBOE–2017–017). Washington, DC 20549–1090. disadvantage other market participants 64 See e.g., Amended and Restated By-Laws of Miami International Securities Exchange, LLC, All submissions should refer to File No. 62 15 U.S.C. 78f(b)(3). Article II, Section 2.4(f). SR–BatsBYX–2017–19. This file number

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should be included on the subject line ‘‘Exchange’’) filed with the Securities non-IEX-listed securities.7 The if email is used. To help the and Exchange Commission (the Exchange proposes to update its Fee Commission process and review your ‘‘Commission’’) the proposed rule Schedule, pursuant to IEX Rule comments more efficiently, please use change as described in Items I, II and III 15.110(a) and (c), to add a new Fee Code only one method. The Commission will below, which Items have been prepared ‘‘X’’ to identify the fee applicable to post all comments on the Commission’s by the self-regulatory organization. The certain orders that execute in the Internet Web site (http://www.sec.gov/ Commission is publishing this notice to Opening Process. More specifically, rules/sro.shtml). Copies of the solicit comments on the proposed rule orders that execute in the Opening submission, all subsequent change from interested persons. Process will receive the new Fee Code amendments, all written statements X on execution reports as follows: I. Self-Regulatory Organization’s with respect to the proposed rule • Execution reports for non-displayed change that are filed with the Statement of the Terms of Substance of orders resting on the Continuous Order Commission, and all written the Proposed Rule Change Book that execute in the Opening communications relating to the Pursuant to the provisions of Section Process will receive new Fee Code X proposed rule change between the 19(b)(1) under the Securities Exchange rather than Fee Code I.8 Commission and any person, other than Act of 1934 (‘‘Act’’),4 and Rule 19b–4 • Execution reports for displayed those that may be withheld from the thereunder,5 Investors Exchange LLC orders resting on the Continuous Order public in accordance with the (‘‘IEX’’ or ‘‘Exchange’’) is filing with the Book that execute in the Opening provisions of 5 U.S.C. 552, will be Commission a proposed rule change to Process will continue to receive Fee available for Web site viewing and modify its Fee Schedule, pursuant to Code L and will also receive new Fee printing in the Commission’s Public IEX Rule 15.110(a) to adopt pricing for Code X. Reference Room, 100 F Street NE., orders that execute pursuant to Rule • Execution reports for all orders on Washington, DC 20549 on official 11.231 (Regular Market Session Opening the Cross Book 9 that execute in the business days between the hours of Process for Non-IEX-Listed Securities). Opening Process will receive new Fee 10:00 a.m. and 3:00 p.m. Copies of the Changes to the Fee Schedule pursuant Code X. filing will also be available for to this proposal are effective upon filing, The Exchange is proposing to charge inspection and copying at the principal and will be operative once the Exchange fees that are analogous to existing fees office of the Exchange. All comments begins conducting the Regular Market for orders that execute in the Opening received will be posted without change; Session Opening Process for Non-IEX- Process. Accordingly, non-displayed the Commission does not edit personal Listed Securities (the ‘‘Opening orders on the Continuous Order Book identifying information from Process’’).6 The text of the proposed rule and orders on the Cross Book that are submissions. You should submit only change is available at the Exchange’s executed in the Opening Process will information that you wish to make Web site at www.iextrading.com, at the receive Fee Code X on their execution available publicly. All submissions principal office of the Exchange, and at reports and will be subject to a fee of should refer to File No. SR–BatsBYX– the Commission’s Public Reference $0.0009 per share (or 0.30% of total 2017–19 and should be submitted on or Room. dollar value of the transaction before September 27, 2017. calculated as the execution price II. Self-Regulatory Organization’s multiplied by the number of shares For the Commission, by the Division of Statement of the Purpose of, and executed in the transaction for shares Trading and Markets, pursuant to delegated Statutory Basis for, the Proposed Rule authority.65 executed below $1.00). Further, orders Change that were displayed on the Continuous Eduardo A. Aleman, In its filing with the Commission, the Order Book during the Pre-Market Assistant Secretary. Session 10 that are executed in the [FR Doc. 2017–18792 Filed 9–5–17; 8:45 am] self-regulatory organization included statements concerning the purpose of Opening Process will receive new Fee BILLING CODE 8011–01–P and basis for the proposed rule change Code X and existing Fee Code L, and and discussed any comments it received will not be charged a fee because, on the proposed rule change. The text pursuant to the IEX Fee Schedule, to the SECURITIES AND EXCHANGE extent a Member receives multiple Fee COMMISSION of these statements may be examined at the places specified in Item IV below. Codes on an execution, the lower fee 11 [Release No. 34–81502; File No. SR–IEX– The self-regulatory organization has shall apply. 2017–28] prepared summaries, set forth in The Exchange notes that the Internalization Fee, Displayed Match Self-Regulatory Organizations; Sections A, B, and C below, of the most significant aspects of such statements. Fee for non-displayed orders that Investors Exchange LLC; Notice of remove displayed liquidity, and the Filing and Immediate Effectiveness of A. Self-Regulatory Organization’s exception to the Non-Displayed Match Proposed Rule Change Related to Fees Statement of the Purpose of, and the Fee for displayable orders that remove Pursuant to Rule 15.110 Statutory Basis for, the Proposed Rule non-displayed resting interest upon Change entry are not applicable to the Opening August 30, 2017. Pursuant to Section 19(b)(1) 1 of the 1. Purpose 7 See Securities Exchange Act Release No. 81195 Securities Exchange Act of 1934 (the The Exchange Exchange recently filed (July 24, 2017), 82 FR 35250 (July 28, 2017) (SR– 2 ‘‘Act’’) and Rule 19b19b–4 and the Commission approved a IEX–2017–11). 3 8 thereunder, notice is hereby given that, proposed rule change to Rule 11.231, The Exchange notes that orders taking or adding on August 16, 2017, the Investors non-displayed liquidity prior to or after the which modified the Opening Process for Opening Process, will continue to receive Fee Close Exchange LLC (‘‘IEX’’ or the I, either alone or in conjunction with other 4 15 U.S.C. 78s(b)(1). applicable Fee Codes. 65 17 CFR 200.30–3(a)(12). 5 17 CFR 240.19b–4. 9 See Rule 11.231(a). 1 15 U.S.C. 78s(b)(1). 6 See, IEX Trader Alert #2017–027 available at 10 See Rule 1.160(z). 2 15 U.S.C. 78a. https://www.iextrading.com/trading/alerts/2017/ 11 See IEX Fee Schedule, Transaction Fees, bullet 3 17 CFR 240.19b–4. 027/. three.

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Process. As discussed below in the continuous trading also applies to a Exchange believes that the proposed Statutory Basis section, the Opening non-displayed order that removes fees for the Opening Process are Process is a bulk execution without liquidity from a displayed resting order appropriate, reasonable, and consistent explicit counterparties. as counterparty, in the context of the with the Act, because such fees are Opening Process (which is a bulk within the range of transaction charged 2. Statutory Basis execution of multiple buy and sell by other exchanges for the opening IEX believes that the proposed rule orders at a single price), the Exchange process for non-listed securities.18 change is consistent with the provisions does not believe that it is appropriate to Further, although orders that execute in of Section 6(b) 12 of the Act in general, provide the Displayed Match Fee to the Opening Process may be subject to and furthers the objectives of Sections non-displayed orders that execute in the different fees, for the reasons discussed 6(b)(4) 13 of the Act, in particular, in that Opening Process because there are no in the Purpose section, the Exchange it is designed to provide for the explicit counterparties in a bulk notes that other exchanges also charge equitable allocation of reasonable dues, execution. Similarly, the Exchange does differential pricing for orders that fees and other charges among its not believe that the exception to the execute in their opening process.19 Members and other persons using its Non-Displayed Match Fee for Additionally, the Exchange believes facilities. The Exchange notes that it displayable orders that take resting that its proposed Fee Code X, to be operates in a highly competitive market interest upon entry is applicable in the provided on execution reports, will in which market participants can context of the Opening Process since provide transparency and predictability readily direct order flow to competing such orders are not able to remove to Members as to the applicable venues if they deem fee levels at a resting interest on entry in the Opening transaction fees, because Members can particular venue to be excessive. Process, because they are either queued determine which Fee Code is applicable IEX believes that its proposed pricing on the Cross Book and not displayed, or to the execution of a particular order in for the Opening Process is reasonable resting displayed on the Continuous the Opening Process. and equitable because the Exchange is Order Book.16 Furthermore, as noted In conclusion, the Exchange also proposing to charge fees analogous to above the Opening Process is a bulk submits that its proposed fee structure those already in place for orders execution of multiple buy and sell satisfies the requirements of Sections executed on the Exchange during orders at a single price, and thus there 6(b)(4) and 6(b)(5) of the Act for the continuous trading,14 while also are no counterparties to distinguish reasons discussed above in that it does accounting for orders on the Cross Book between liquidity provider and liquidity not permit unfair discrimination executed in the Opening Process. takers, or their respective display between customers, issuers, brokers, or Specifically, non-displayed orders status.17 dealers, and is designed to promote just resting on the Continuous Order Book IEX also believes that it is and equitable principles of trade, to during the Pre-Market Session that are appropriate, reasonable, and consistent remove impediments to and perfect the executed in the Opening Process, as with the Act not to charge a fee for the mechanism of a free and open market well as orders on the Cross Book that are execution of an order that was displayed and a national market system and in executed in the Opening Process, will on the Continuous Order Book during general to protect investors and the be charged the Opening Match Fee the Pre-Market Session prior to the public interest. Further, IEX believes (which is equal to the existing Non- Opening Process. As with the existing that its proposal does not raise any new Displayed Match Fee), while displayed fee structure for execution of or novel issues that have not previously orders on the Continuous Order Book in transactions including displayed been considered by the Commission in the Pre-Market Session executed in the liquidity, this fee structure is designed connection with the existing IEX fees or Opening Process will be subject to the to incentivize Members to send IEX the fees of other national securities existing Displayed Match Fee. aggressively priced displayable orders, exchanges. The Exchange believes that it is thereby contributing to price discovery, appropriate, reasonable, and consistent and consistent with the overall goal of B. Self-Regulatory Organization’s with the Act to charge the Opening enhancing market quality. IEX believes Statement on Burden on Competition Match Fee (which is equal to the that, as with the existing Displayed IEX does not believe that the existing Non-Displayed Match Fee) to Match Fee, not charging a fee for such proposed rule change will result in any orders on the Cross Book that are a previously displayed order is burden on competition that is not executed in the Opening Process, equitable and not unfairly necessary or appropriate in furtherance because such orders (regardless of discriminatory because it is designed to of the purposes of the Act. The display instruction) are queued and not facilitate execution of, and enhance Exchange does not believe that the displayed prior to or during the trading opportunities for, displayable proposed rule change will impose any Opening Process.15 Furthermore, as orders, thereby further incentivizing burden on intermarket competition that noted above, such fee is consistent with entry of displayed orders. is not necessary or appropriate in the fee currently charged by the Further, the Exchange notes that the furtherance of the purposes of the Act. Exchange for taking and providing non- proposed fees are nondiscriminatory displayed liquidity. because they will apply uniformly to all 18 For example, the Nasdaq Stock Market charges While the Displayed Match Fee Members and all Members have the fees ranging from $0.0015–$0.00085 for orders applicable to executions during opportunity to submit both displayed executed in the Nasdaq Opening Cross, including and non-displayed orders for execution capping such fees at $35,000 per month for certain members, which includes crosses for listed and 12 15 U.S.C. 78f. in the Opening Process. In addition, the non-listed securities (see, https:// 13 15 U.S.C. 78f(b)(4). www.nasdaqtrader.com/ 14 See Securities Exchange Act Release No. 78550 16 The Exchange notes that it is possible for a Trader.aspx?id=PriceListTrading2). Similarly, Bats (August 11, 2016), 81 FR 54873 (August 17, 2016) displayed order to remove non-displayed liquidity EDGX Exchange charges $0.0010 for orders (SR–IEX–2016–09). in the Pre-Market Session; however, such execution executed in the EDGX opening or re-opening 15 The Exchange notes that to the extent such would not be part of the Opening Process, and process for non-listed securities priced above $1.00 orders are unexecuted after the Opening Process, would be subject to the exchanges existing fee (see, http://www.bats.com/us/equities/membership/ the Exchange would display such orders consistent schedule. fee_schedule/edgx/). with their display instructions. 17 See Rule 11.231(a). 19 Id.

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To the contrary, the Exchange believes IV. Solicitation of Comments For the Commission, by the Division of that the proposed pricing structure will Trading and Markets, pursuant to delegated 22 increase competition and hopefully Interested persons are invited to authority. draw additional volume to the Exchange submit written data, views, and Eduardo A. Aleman, for the Opening Process. The Exchange arguments concerning the foregoing, Assistant Secretary. operates in a highly competitive market including whether the proposed rule [FR Doc. 2017–18796 Filed 9–5–17; 8:45 am] in which market participants can change is consistent with the Act. BILLING CODE 8011–01–P readily favor competing venues if fee Comments may be submitted by any of schedules at other venues are viewed as the following methods: more favorable. Consequently, the SECURITIES AND EXCHANGE Electronic Comments Exchange believes that the degree to COMMISSION which IEX fees could impose any • Use the Commission’s Internet [Release No. 34–81500; File Nos. SR– burden on competition is extremely comment form (http://www.sec.gov/ BatsBYX–2017–13; SR–BatsBZX–2017–39; limited, and does not believe that such rules/sro.shtml); or SR–BatsEDGA–2017–14; SR–BatsEDGX– 2017–24; SR–BOX–2017–19; SR–CBOE– fees would burden competition of • Members or competing venues in a Send an email to rule-comments@ 2017–043; SR–IEX–2017–21; SR–ISE–2017– manner that is not necessary or sec.gov. Please include File Number SR– 52; SR–MRX–2017–08; SR–MIAX–2017–24; appropriate in furtherance of the IEX–2017–28 on the subject line. SR–NASDAQ–2017–059; SR–BX–2017–029; SR–GEMX–2017–24; SR–PHLX–2017–47; purposes of the Act. Paper Comments SR–NYSE–2017–24; SR–NYSEArca–2017– The Exchange does not believe that 60; SR–NYSEMKT–2017–31] • the proposed rule change will impose Send paper comments in triplicate any burden on intramarket competition to Secretary, Securities and Exchange Self-Regulatory Organizations; Bats that is not necessary or appropriate in Commission, 100 F Street NE., BYX Exchange Inc.; Bats BZX furtherance of the purposes of the Act Washington, DC 20549–1090. Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX because, while different fees are All submissions should refer to File assessed in some circumstances, these Options Exchange LLC; Chicago Number SR–IEX–2017–28. This file Board Options Exchange, different fees are not based on the type number should be included on the of Member entering the orders that Incorporated; Investors Exchange subject line if email is used. To help the execute in the Opening Process but on LLC; Nasdaq ISE, LLC; Nasdaq MRX, Commission process and review your the type of order entered and all LLC; Miami International Securities Members can submit any type of order. comments more efficiently, please use Exchange, LLC; The NASDAQ Stock Further, the proposed fees are intended only one method. The Commission will Market LLC; NASDAQ BX, Inc.; Nasdaq to encourage market participants to post all comments on the Commission’s GEMX, LLC; NASDAQ PHLX LLC; New bring increased volume to the Exchange, Internet Web site (http://www.sec.gov/ York Stock Exchange LLC; NYSE Arca, which benefits all market participants. rules/sro.shtml). Copies of the Inc.; NYSE MKT LLC; Order Approving submission, all subsequent Proposed Rule Changes, as Modified C. Self-Regulatory Organization’s amendments, all written statements by Amendments, To Adopt a Statement on Comments on the with respect to the proposed rule Consolidated Audit Trail Fee Dispute Proposed Rule Change Received From change that are filed with the Resolution Process Members, Participants, or Others Commission, and all written August 30, 2017. Written comments were neither communications relating to the I. Introduction solicited nor received. proposed rule change between the Commission and any person, other than On May 16, 2017,1 May 23, 2017,2 III. Date of Effectiveness of the those that may be withheld from the May 25, 2017,3 June 6, 2017,4 June 8, Proposed Rule Change and Timing for public in accordance with the 2017 5 and June 9, 2017,6 Bats BYX Commission Action provisions of 5 U.S.C. 552, will be Exchange, Inc. (‘‘Bats BYX’’), Bats BZX The foregoing rule change has become available for Web site viewing and Exchange, Inc. (‘‘Bats BZX’’), Bats EDGA effective pursuant to Section printing in the Commission’s Public Exchange, Inc. (‘‘Bats EDGA’’), Bats 19(b)(3)(A)(ii) 20 of the Act. Reference Room, 100 F Street NE., EDGX Exchange, Inc. (‘‘Bats EDGX’’), Washington, DC 20549, on official BOX Options Exchange LLC (‘‘BOX’’), At any time within 60 days of the business days between the hours of filing of the proposed rule change, the 22 10:00 a.m. and 3:00 p.m. Copies of the 17 CFR 200.30–3(a)(12). Commission summarily may 1 New York Stock Exchange, LLC, NYSE Arca, temporarily suspend such rule change if filing also will be available for Inc., NYSE MKT LLC, and Miami International it appears to the Commission that such inspection and copying at the principal Securities Exchange LLC filed their proposed rule changes on May 16, 2017. action is necessary or appropriate in the office of the Exchange. All comments received will be posted without change; 2 Bats BYX Exchange, Inc., Bats BZX Exchange, public interest, for the protection of Inc., Bats EDGA Exchange, Inc., Bats EDGX investors, or otherwise in furtherance of the Commission does not edit personal Exchange, Inc. and Chicago Board Options the purposes of the Act. If the identifying information from Exchange, Incorporated filed their proposed rule Commission takes such action, the submissions. You should submit only changes on May 23, 2017. information that you wish to make 3 BOX Options Exchange LLC filed its proposed Commission shall institute proceedings rule change on May 25, 2017. 21 under Section 19(b)(2)(B) of the Act to available publicly. All submissions 4 Investors Exchange LLC filed its proposed rule determine whether the proposed rule should refer to File Number SR–IEX– change on June 6, 2017. change should be approved or 2017–28, and should be submitted on or 5 The NASDAQ Stock Market LLC and NASDAQ disapproved. before September 27, 2017. PHLX LLC filed their proposed rule changes on June 8, 2017. 6 NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq 20 15 U.S.C. 78s(b)(3)(A)(ii). ISE, LLC, Nasdaq MRX, LLC filed their proposed 21 15 U.S.C. 78s(b)(2)(B). rule changes on June 9, 2017.

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Chicago Board Options Exchange, Commission received no comments in approves the proposed rule changes, as Incorporated (‘‘CBOE’’), Investors response to the proposed rule changes. modified by the Amendments.20 Exchange LLC (‘‘IEX’’), Nasdaq ISE, LLC On August 23, 2017,16 August 24, II. Description of the Proposed Rule (‘‘ISE’’), Nasdaq MRX, LLC (‘‘MRX’’), 2017 17 and August 25, 2017,18 the Changes, as Modified by the Miami International Securities Participants filed Amendments to the Amendments Exchange, LLC (‘‘MIAX’’), The proposed rule change.19 This order NASDAQ Stock Market LLC (‘‘Nasdaq’’), The Participants, along with C2 NASDAQ BX, Inc. (‘‘BX’’), Nasdaq (July 10, 2017), 82 FR 32596 (July 14, 2017); 81156 Options Exchange, Inc., Chicago Stock GEMX, LLC (‘‘GEMX’’), NASDAQ PHLX (July 18, 2017), 82 FR 34337 (July 24, 2017); 81157 Exchange, Inc., Financial Industry (July 18, 2017), 82 FR 34338 (July 24, 2017); 81158 Regulatory Authority, Inc., MIAX LLC (‘‘Phlx’’), New York Stock (July 18, 2017), 82 FR 34339 (July 24, 2017); 81159 Exchange LLC (‘‘NYSE’’), NYSE Arca, (July 18, 2017), 82 FR 34338 (July 24, 2017); 81161 PEARL, LLC, and NYSE National, Inc., Inc. (‘‘NYSE Arca’’) and NYSE MKT (July 18, 2017), 82 FR 34337 (July 24, 2017); 81162 filed with the Commission, pursuant to LLC (‘‘NYSE MKT’’) (collectively, the (July 18, 2017), 82 FR 34336 (July 24, 2017); 81164 Section 11A of the Act 21 and Rule 608 (July 18, 2017), 82 FR 34346 (July 24, 2017); 81165 of Regulation NMS thereunder,22 the ‘‘Participants’’) filed with the Securities (July 18, 2017), 82 FR 34345 (July 24, 2017); 81166 and Exchange Commission (July 18, 2017), 82 FR 34345 (July 24, 2017); 81167 National Market System Plan Governing (‘‘Commission’’), pursuant to Section (July 18, 2017), 82 FR 34337 (July 24, 2017); 81178 the Consolidated Audit Trail (‘‘CAT 19(b)(1) of the Securities Exchange Act (July 20, 2017), 82 FR 34715 (July 26, 2017); 81179 NMS Plan’’ or ‘‘Plan’’).23 The Plan is 7 (July 20, 2017), 82 FR 34716 (July 26, 2017); 81180 designed to create, implement and of 1934 (‘‘Act’’) and Rule 19b–4 (July 20, 2017), 82 FR 34728 (July 26, 2017); and 8 thereunder, proposed rule changes to 81181 (July 20, 2017), 82 FR 34727 (July 26, 2017). maintain a consolidated audit trail establish the procedures for resolving 16 NYSE, NYSE Arca and NYSE MKT filed (‘‘CAT’’) that would capture customer potential disputes related to CAT Fees Amendment No. 1 to their proposed rule changes and order event information for orders charged to Industry Members. The on August 23, 2017. Amendment No. 1 is available in NMS Securities and OTC Equity on the Commission’s Web site for NYSE, NYSE Securities, across all markets, from the proposed rule changes submitted by Arca, and NYSE MKT, respectively, at: https:// NYSE, NYSE Arca and NYSE MKT were www.sec.gov/comments/sr-nyse-2017-24/ time of order inception through routing, published for comment in the Federal nyse201724-2241267-160850.pdf; https:// cancellation, modification, or execution Register on June 1, 2017.9 The proposed www.sec.gov/comments/sr-nysearca-2017-60/ in a single consolidated data source. nysearca201760-2241265-160861.pdf; and https:// The Plan accomplishes this by creating rule changes submitted by MIAX, Bats www.sec.gov/comments/sr-nysemkt-2017-31/ BYX, Bats BZX, Bats EDGA, Bats EDGX, nysemkt201731-2241266-160862.pdf. CAT NMS, LLC (‘‘Company’’), of which BOX and CBOE were published for 17 Bats BYX, Bats BZX, Bats EDGA, Bats EDGX, each Participant is a member, to operate comment in the Federal Register on CBOE and BOX filed Amendment No. 1 to their the CAT. June 7, 2017.10 The proposed rule proposed rule changes on August 24, 2017. Under the CAT NMS Plan, the Amendment No. 1 is available on the Commission’s Operating Committee of the Company change submitted by IEX was published Web site for Bats BYX, Bats BZX, Bats EDGA, Bats for comment in the Federal Register on EDGX, CBOE and BOX, respectively, at: https:// (‘‘Operating Committee’’) has the June 20, 2017.11 The proposed rule www.sec.gov/comments/sr-batsbyx-2017-13/ discretion to establish funding for the change submitted by Nasdaq was batsbyx201713-2253932-160942.pdf; https:// Company to operate the CAT, including www.sec.gov/comments/sr-batsbzx-2017-39/ establishing fees that the Participants published for comment in the Federal batsbzx201739-2251466-160921.pdf; https:// 12 Register on June 22, 2017. The www.sec.gov/comments/sr-batsedga-2017-14/ proposed rule changes submitted by batsedga201714-2251458-160938.pdf; https:// pursuant to Exchange Rules.’’ See infra note 24. Phlx, BX, GEMX, ISE and MRX were www.sec.gov/comments/sr-batsedgx-2017-24/ Each Participant also removed references to batsedgx201724-2251462-160919.pdf; https:// ‘‘Consolidated Audit Trail Funding Fees’’ from published for comment in the Federal www.sec.gov/comments/sr-cboe-2017-043/ paragraphs (a)(1), (b) and (c)(1) of the proposed rule 13 Register on June 23, 2017. Pursuant to cboe2017043-2251469-160922.pdf; and https:// text. In addition, in connection with the merger of Section 19(b)(2) of the Act,14 the www.sec.gov/comments/sr-box-2017-19/box201719- NYSE Arca Equities with and into NYSE Arca, Commission designated a longer period 2250011-160918.pdf. MIAX filed Amendment No. 1 Amendment No. 1 for NYSE Arca also combines NYSE Arca Equities Rule 6.6900 and NYSE Arca within which to approve, disapprove, or on August 22, 2017, but withdrew it on August 24, 2017. MIAX then filed Amendment No. 2 on August Rule 11.6900 into a single rule NYSE Rule 11.6900. institute proceedings to determine 24, 2017. Amendment No. 2 for MIAX is available See Securities Exchange Act Release No. 80781 whether to approve or disapprove the on the Commission’s Web site at: https:// (May 26, 2017), 82 FR 25369. See also Securities proposed rule changes.15 The www.sec.gov/comments/sr-miax-2017-24/ Exchange Act Release No. 81419 (August 17, 2017), miax201724-2243335-160869.pdf. 82 FR 40044 (August 23, 2017). The Amendments 18 IEX, Phlx, Nasdaq, BX, GEMX, ISE and MRX are not subject to notice and comment because they 7 15 U.S.C. 78s(b)(1). are technical amendments that do not materially 8 filed Amendment No. 1 to their proposed rule 17 CFR 240.19b–4. changes on August 25, 2017. Amendment No. 1 is alter the substance of the proposed rule changes or 9 See Securities Exchange Act Release Nos. 80780 available on the Commission’s Web site for IEX, raise any novel regulatory issues. (May 26, 2017), 82 FR 25382; 80781 (May 26, 2017), Phlx, Nasdaq, BX, GEMX, ISE and MRX, 20 The Commission notes that for purposes of this 82 FR 25369; 80782 (May 26, 2017), 82 FR 25379. respectively, at: https://www.sec.gov/comments/sr- Order, unless otherwise specified, capitalized terms 10 See Securities Exchange Act Release Nos. iex-2017-21/iex201721-2243778-160880.pdf; used in this Order are defined as set forth in the 80837 (June 1, 2017), 82 FR 26526; 80836 (June 1, https://www.sec.gov/comments/sr-phlx-2017-47/ proposals, as modified by the Amendments, or in 2017), 82 FR 26539; 80834 (June 1, 2017), 82 FR phlx201747-2257687-160924.pdf; https:// the CAT NMS Plan. See supra notes 16–18; see also 26542; 80835 (June 1, 2017), 82 FR 26549; 80833 www.sec.gov/comments/sr-nasdaq-2017-059/ infra note 23. (June 1, 2017), 82 FR 26529; 80831 (June 1, 2017), nasdaq2017059-2257689-160925.pdf; https:// 21 15 U.S.C. 78k–1. 82 FR 26536; and 80832 (June 1, 2017), 82 FR www.sec.gov/comments/sr-bx-2017-029/bx2017029- 22 17 CFR 242.608. 26523. 2251461-160940.pdf; https://www.sec.gov/ 23 See Letter from the Participants to Brent J. 11 See Securities Exchange Act Release No. 80936 comments/sr-gemx-2017-24/gemx201724-2244452- Fields, Secretary, Commission, dated September 30, (June 15, 2017), 82 FR 28153. 160897.pdf; https://www.sec.gov/comments/sr-ise- 2014; and Letter from Participants to Brent J. Fields, 12 See Securities Exchange Act Release No. 80952 2017-52/ise201752-2244293-160891.pdf; and Secretary, Commission, dated February 27, 2015. (June 16, 2017), 82 FR 28540 (‘‘Notice’’). https://www.sec.gov/comments/sr-mrx-2017-08/ On December 24, 2015, the Participants submitted 13 See Securities Exchange Act Release Nos. mrx201708-2251467-160941.pdf. an amendment to the CAT NMS Plan. See Letter 80967 (June 19, 2017), 82 FR 28719; 80968 (June 19, 19 The Amendments amended the original filings from Participants to Brent J. Fields, Secretary, 2017), 82 FR 28705; 80970 (June 19, 2017), 82 FR to make technical changes to the proposed rule Commission, dated December 23, 2015. The Plan 28708; 80971 (June 19, 2017), 82 FR 28698; 80966 changes. Specifically, each Participant amended the was published for comment in the Federal Register (June 19, 2017), 82 FR 28702. proposed rule text to remove references to proposed on May 17, 2016, and approved by the Commission, 14 15 U.S.C. 78s(b)(2). ‘‘Consolidated Audit Trail Funding Fees,’’ as such as modified, on November 15, 2016. See Securities 15 See Securities Exchange Act Release No. 81110 fees are currently suspended, and replaced such Exchange Act Release Nos. 77724 (April 27, 2016), (July 10, 2017), 82 FR 32598 (July 14, 2017); 81112 term with the phrase ‘‘any fees contemplated by the 81 FR 30614 (May 17, 2016); 79318 (November 15, (July 10, 2017), 82 FR 32592 (July 14, 2017); 81113 CAT NMS Plan and imposed on Industry Members 2016), 81 FR 84696 (November 23, 2016).

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and Industry Members will pay (‘‘CAT proposals further indicate that decisions that allegedly aggrieved the applicant.35 Fees’’).24 Section 11.5 of the CAT NMS on such matters shall be binding on The applicant is entitled to be Plan requires the Participants to adopt Industry Members, without prejudice to accompanied, represented and advised rules requiring that disputes with the rights of any such Industry Member by counsel at all stages of the respect to fees charged to Industry to seek redress from the Commission or proceedings under the proposed rule Members pursuant to the CAT NMS in any other appropriate forum.27 changes.36 Plan be determined by the Operating Under the Fee Dispute Resolution The proposals further indicate that Committee or a designated Procedures, an Industry Member that the Fee Review Subcommittee will Subcommittee. Section 11.5 of the CAT disputes CAT Fees charged to such determine all questions concerning the NMS Plan also states that decisions by Industry Member and that desires to admissibility of evidence and will the Operating Committee or a have an opportunity to be heard with otherwise regulate the conduct of the designated Subcommittee on such respect to such disputed CAT Fees must hearing.37 Each of the parties will be matters shall be binding on Industry file a written application with the permitted, under the proposed rule Members, without prejudice to the right Company within 15 business days after changes, to make an opening statement, of any Industry Member to seek redress being notified of such disputed CAT present witnesses and documentary 28 from the Commission pursuant to Rule Fees. The application must identify evidence, cross examine opposing 25 608 or in any other appropriate the disputed CAT Fees, state the witnesses and present closing forum. The Participants filed the specific reasons why the applicant takes arguments orally or in writing as proposed rule changes to establish the exception to such CAT Fees, and set determined by the Fee Review 29 procedures for resolving potential forth the relief sought. In addition, if Subcommittee.38 In addition, the Fee disputes related to CAT Fees charged to the applicant intends to submit any Review Subcommittee will have the Industry Members. additional documents, statements, right to question all parties and arguments or other material in support 39 Fee Dispute Resolution witnesses to the proceeding. The of the application, the same should be proposals require the Fee Review The proposals state that disputes so stated and identified under the Fee Subcommittee to keep a record of the initiated by an Industry Member with 30 Dispute Resolution Procedures. hearing, to set forth its decision in respect to CAT Fees charged to such The Participants state that the writing, and to send the written Industry Member, including disputes Company will refer applications for decision to the parties to the related to the designated tier and the fee hearing and review promptly to the Fee proceeding.40 Such decisions must calculated pursuant to such tier, shall be Review Subcommittee designated by the contain the reasons supporting the resolved by the Operating Committee, or Operating Committee with conclusions of the Fee Review a Subcommittee designated by the responsibility for conducting the Subcommittee under the proposed rule Operating Committee, pursuant to the reviews of CAT Fee disputes pursuant changes.41 Fee Dispute Resolution Procedures to these Fee Dispute Resolution adopted by the Operating Committee Procedures.31 The proposals note that The Participants state that the pursuant to the CAT NMS Plan.26 The the Fee Review Subcommittee will keep decision of the Fee Review a record of the proceedings.32 Subcommittee will be subject to review 24 Section 11.1(b) of the CAT NMS Plan. The The proposals further specify that the by the Operating Committee either on Commission notes that the Participants filed Fee Review Subcommittee will hold its own motion within 20 business days proposed rule changes to adopt fees to be charged after issuance of the decision or upon to Industry Members, including Industry Members hearings promptly and will set a hearing that are Execution Venues. See Securities Exchange date.33 Under the proposed rule written request submitted by the Act Release Nos. 80675 (May 15, 2017), 82 FR changes, the parties to the hearing shall applicant within 15 business days after 42 23100 (May 19, 2017) (SR–MIAX–2017–18); 80697 furnish the Fee Review Subcommittee issuance of the decision. The (May 16, 2017), 82 FR 23398 (May 22, 2017) (SR– applicant’s petition for review must be BX–2017–023); 80692 (May 16, 2017), 82 FR 23325 with all materials relevant to the (May 22, 2017) (SR–IEX–2017–16); 80696 (May 16, proceedings at least 72 hours prior to in writing and must specify the findings 2017), 82 FR 23439 (May 22, 2017) (SR–NASDAQ– the hearing, and each party will have and conclusions to which the applicant 2017–046); 80693 (May 16, 2017), 82 FR 23363 the right to inspect and copy the other objects, together with the reasons for 43 (May 22, 2017) (SR–NYSE–2017–22); 80698 (May 34 such objections. According to the 16, 2017), 82 FR 23457 (May 22, 2017) (SR– party’s materials prior to the hearing. NYSEArca–2017–52); 80694 (May 16, 2017), 82 FR The Participants state that the parties proposed rule changes, any objection to 23416 (May 22, 2017) (SR–NYSEMKT–2017–26); to the hearing will consist of the a decision not specified in writing will 80721 (May 18, 2017), 82 FR 23864 (May 24, 2017) applicant and a representative of the be considered to have been abandoned (SR–BOX–2017–16); 80713 (May 18, 2017), 82 FR and may be disregarded.44 The 23956 (May 24, 2017) (SR–GEMX–2017–17); 80715 Company who shall present the reasons (May 18, 2017), 82 FR 23895 (May 24, 2017) (SR– for the action taken by the Company proposed rule changes allow parties to ISE–2017–45); 80726 (May 18, 2017), 82 FR 23915 petition to submit a written argument to (May 24, 2017) (SR–MRX–2017–04); 80725 (May 18, Resolution Procedures were modeled after the the Operating Committee and to request 2017), 82 FR 23935 (May 24, 2017) (SR–PHLX– adverse action procedures adopted by various an opportunity to make an oral 2017–37); 80785 (May 26, 2017), 82 FR 25404 (June exchanges and that such Procedures will be posted argument before the Operating 1, 2017) (SR–CBOE–2017–040); 80784 (May 26, on the CAT NMS Plan Web site 2017), 82 FR 25448 (June 1, 2017) (SR–BatsEDGA– (www.catnmsplan.com). See, e.g., id. at 28542. 2017–13); 80809 (May 30, 2017), 82 FR 25837 (June 27 See, e.g., id. at 28541. 35 See, e.g., id. 5, 2017) (SR–BatsBYX–2017–11); 80822 (May 31, 36 28 See, e.g., id. at 28542. See, e.g., id. 2017), 82 FR 26148 (June 6, 2017) (SR–BatsBZX– 29 37 See, e.g., id. The proposed rule changes note, 2017–38); and 80821 (May 31, 2017), 82 FR 26177 See, e.g., id. 30 See, e.g., id. however, that the formal rules of evidence will not (June 6, 2017) (SR-BatsEDGX–2017–22). On June 30, apply. 2017, the Commission temporarily suspended the 31 See, e.g., id. The Participants further indicate 38 See, e.g., id. proposed rule changes and instituted proceedings that the members of the Fee Review Subcommittee 39 to determine whether to approve or disapprove the will be subject to the provisions of Section 4.3(d) See, e.g., id. proposed rule changes. See Securities Exchange Act of the CAT NMS Plan regarding recusal and 40 See, e.g., id. Release No. 81067, 82 FR 31656 (July 7, 2017). Conflicts of Interest. See, e.g., id. 41 See, e.g., id. 25 17 CFR 242.608. 32 See, e.g., id. 42 See, e.g., id. 26 See, e.g., Notice, supra note 12, at 28541–42. 33 See, e.g., id. 43 See, e.g., id. The Participants also represent that the Fee Dispute 34 See, e.g., id. 44 See, e.g., id.

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Committee.45 The Operating Committee maximum rate permitted by applicable Committee. Further, the proposals will then have sole discretion to grant law.54 provide that, although the decisions of or deny either request.46 the Operating Committee or Fee Review Under the proposed rule changes, any III. Discussion and Commission Findings Subcommittee are binding on an review conducted by the Operating Industry Member, the Industry Member Committee will be made upon the After carefully considering the may seek redress from the Commission proposed rule changes, the Commission record and will be made after such or in any other appropriate forum. further proceedings, if any, as the finds that the proposals, as modified by Operating Committee may order.47 the Amendments, are consistent with The Commission also notes that the Based upon such record, the Operating the requirements of the Act and the proposals implement Section 11.5 of the Committee may affirm, reverse or rules and regulations thereunder CAT NMS Plan.61 Specifically, Section modify, in whole or in part, the decision applicable to national securities 11.5 states that the Participants will of the Fee Review Subcommittee.48 The exchanges.55 Specifically, the adopt rules requiring that disputes with Participants state that the decision of Commission finds that the proposed respect to fees charged to Industry the Operating Committee will be in rule changes are consistent with Section Members pursuant to Article XI of the writing, will be sent to the parties to the 6(b)(5) 56 of the Act, which requires, CAT NMS Plan be determined by the proceeding, and will be final.49 among other things, that the rules of a Operating Committee or a designated A final decision regarding the national securities exchange be Subcommittee. Section 11.5 further disputed CAT Fees by the Operating designed to prevent fraudulent and provides that such fee disputes will be Committee, or the Fee Review manipulative acts and practices, to determined by the Operating Committee Subcommittee (if there is no review by promote just and equitable principles of or a designated Subcommittee, and that trade, to remove impediments to and the Operating Committee), must be decisions on such matters will be provided within 90 days of the date on perfect the mechanism of a free and binding on Industry Members without which the Industry Member filed a open market and a national market prejudice to the rights of any Industry written application regarding disputed system, and, in general, to protect CAT Fees with the Company.50 The investors and the public interest, and Member to seek redress from the proposed rule changes indicate, are not designed to permit unfair Commission pursuant to Rule 608 of however, that the Operating Committee discrimination between customers, Regulation NMS or in any other may extend the 90-day time limit at its issuers, brokers or dealers. In addition, appropriate forum. 51 discretion. The Fee Dispute the Commission finds that the proposed IV. Conclusion Resolution Procedures also state that rule changes are consistent with Section any time limits for the submission of 6(b)(8) 57 of the Act, which requires that It is therefore ordered, pursuant to answers, petitions or other materials the rules of a national securities Section 19(b)(2) of the Act, that the may be extended by permission of the exchange not impose any burden on proposed rule changes (SR–BatsBYX– Operating Committee.52 competition that is not necessary or 2017–13; SR–BatsBZX–2017–39; SR– Finally, the Participants state that an appropriate. BatsEDGA–2017–14; SR–BatsEDGX– Industry Member that files a written The Commission believes that the 2017–24; SR–BOX–2017–19; SR–CBOE– application with the Company disputing proposals are consistent with Section 2017–043; SR–IEX–2017–21; SR–ISE– CAT Fees in accordance with the Fee 6(b) 58 of the Act in general, and furthers 2017–52; SR–MRX–2017–08; SR– Dispute Resolution Procedures is not the objectives of Section 6(b)(5) 59 of the MIAX–2017–24; SR–NASDAQ–2017– required to pay such CAT Fees until the Act 60 in particular, because they are 059; SR–BX–2017–029; SR–GEMX– dispute is resolved in accordance with designed to promote just and equitable the Procedures, including any review by principles of trade, to remove 2017–24; SR–PHLX–2017–47; SR– the Commission or in any other impediments to and perfect the NYSE–2017–24; SR–NYSEArca–2017– appropriate forum.53 The Participants mechanism of a free and open market 60; SR–NYSEMKT–2017–31), as state that, if it is determined that the and a national market system, and, in modified by the Amendments, are Industry Member owes any of the general to protect investors and the approved. disputed CAT Fees, then the Industry public interest, by providing a uniform For the Commission, by the Division of Member must pay such disputed CAT mechanism by which Industry Members Trading and Markets, pursuant to delegated Fees that are owed as well as interest on may dispute CAT Fees and receive a authority.62 such disputed CAT Fees from the timely review of such disputes. The Eduardo A. Aleman, original due date until such disputed Commission notes that the Fee Dispute Assistant Secretary. CAT Fees are paid at a per annum rate Resolution Procedures provide for a equal to the lesser of (i) the Prime Rate hearing before the Fee Review [FR Doc. 2017–18794 Filed 9–5–17; 8:45 am] plus 300 basis points, or (ii) the Subcommittee, and if the Industry BILLING CODE 8011–01–P Member is not satisfied with the 45 See, e.g., id. decision of the Fee Review 46 See, e.g., id. Subcommittee, it may request a review 47 See, e.g., id. of the decision by the Operating 48 See, e.g., id. 49 See, e.g., id. 54 50 See, e.g., id. See, e.g., id. at 28542–43. 55 51 See, e.g., id. In approving these proposed rule changes, the Commission has considered the proposed rules’ 52 See, e.g., id. impact on efficiency, competition, and capital 53 See, e.g., id. The Participants clarify that the formation. See 15 U.S.C. 78c(f). Industry Member may only withhold any invoiced 56 15 U.S.C. 78f(b)(5). CAT Fees that the Industry Member has disputed; 57 under the proposed rule changes, the Industry 15 U.S.C. 78f(b)(8). 61 Member must pay any invoiced CAT Fees that are 58 15 U.S.C. 78f(b). The Commission previously approved the CAT not disputed when such fees are due, as set forth 59 15 U.S.C. 78f(b)(5). NMS Plan. See supra note 23. in the invoice. See, e.g., id. 60 15 U.S.C. 78f(b)(5). 62 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE Municipal Opportunities ETF (‘‘Fund’’) (‘‘Wellington Management’’ or ‘‘Sub- COMMISSION under NYSE Arca Rule 8.600–E,4 which Adviser’’) will be the sub-adviser to the governs the listing and trading of Fund and will perform the daily [Release No. 34–81505; File No. SR– 5 NYSEArca–2017–90] Managed Fund Shares. The Shares will investment of the assets for the Fund. be offered by the Hartford Funds Commentary .06 to Rule 8.600–E Self-Regulatory Organizations; NYSE Exchange-Traded Trust (the ‘‘Trust’’), provides that, if the investment adviser Arca, Inc.; Notice of Filing of Proposed which is registered with the to the investment company issuing Rule Change To List and Trade Shares Commission as an open-end Managed Fund Shares is affiliated with of the Hartford Municipal Opportunities management investment company.6 The a broker-dealer, such investment adviser ETF Under NYSE Arca Rule 8.600–E Fund is a series of the Trust. shall erect a ‘‘fire wall’’ between the Hartford Funds Management investment adviser and the broker- August 30, 2017. Company, LLC (‘‘HFMC’’ or ‘‘Manager’’) dealer with respect to access to Pursuant to Section 19(b)(1) 1 of the will be the investment manager to the information concerning the composition Securities Exchange Act of 1934 (the Fund. ALPS Distributors, Inc. (‘‘ALPS’’ and/or changes to such investment ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 or the ‘‘Distributor’’) will be the company portfolio.7 In addition, notice is hereby given that, on August principal underwriter to the Fund. Commentary .06 further requires that 17, 2017, NYSE Arca, Inc. (the HFMC is an indirect subsidiary of The personnel who make decisions on the ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with Hartford Financial Services Group, Inc. open-end fund’s portfolio composition the Securities and Exchange Wellington Management Company LLP must be subject to procedures designed Commission (the ‘‘Commission’’) the to prevent the use and dissemination of proposed rule change as described in 4 The Securities and Exchange Commission material nonpublic information Items I and II below, which Items have (‘‘Commission’’) has approved for Exchange listing regarding the open-end fund’s portfolio. been prepared by the self-regulatory and trading shares of actively managed funds that Neither the Manager nor Sub-Adviser is principally hold municipal bonds. See, e.g., organization. The Commission is Securities Exchange Act Release Nos. 60981 a registered broker-dealer but each is publishing this notice to solicit (November 10, 2009), 74 FR 59594 (November 18, affiliated with a broker-dealer. The comments on the proposed rule change 2009) (SR–NYSEArca–2009–79) (order approving Manager and Sub-Adviser each has from interested persons. listing and trading of shares of the PIMCO Short- implemented a ‘‘fire wall’’ with respect Term Municipal Bond Strategy Fund and PIMCO to such broker-dealer affiliate regarding I. Self-Regulatory Organization’s Intermediate Municipal Bond Strategy Fund); 79293 Statement of the Terms of Substance of (November 10, 2016), 81 FR 81189 (November 17, access to information concerning the the Proposed Rule Change 2016) (SR–NYSEArca–2016–107) (order approving composition of and/or changes to the listing and trading of shares of Cumberland Fund’s portfolio. In addition, personnel The Exchange proposes to list and Municipal Bond ETF under Rule 8.600); 80865 who make decisions on the Fund’s trade shares of the Hartford Municipal (June 6, 2017), 82 FR 26970 (June 12, 2017) (order approving listing and trading of shares of the portfolio composition must be subject to Opportunities ETF under NYSE Arca Franklin Liberty Intermediate Municipal procedures designed to prevent the use Rule 8.600–E (‘‘Managed Fund Shares’’). Opportunities ETF and Franklin Liberty Municipal and dissemination of material, non- The proposed change is available on the Bond ETF under NYSE Arca Equities Rule 8.600); public information regarding the Fund’s Exchange’s Web site at www.nyse.com, 80885 (June 8, 2017), 82 FR 27302 (June 14, 2017) (order approving listing and trading of shares of the portfolio. In the event (a) the Manager at the principal office of the Exchange, IQ Municipal Insured ETF, IQ Municipal Short or Sub-Adviser becomes registered as a and at the Commission’s Public Duration ETF, and IQ Municipal Intermediate ETF broker-dealer or newly affiliated with a Reference Room. Under NYSE Arca Equities Rule 8.600. The broker-dealer, or (b) any new adviser or Commission also has approved listing and trading II. Self-Regulatory Organization’s on the Exchange of shares of the SPDR Nuveen S&P sub-adviser to the Fund is a registered Statement of the Purpose of, and High Yield Municipal Bond Fund under broker-dealer or becomes affiliated with Statutory Basis for, the Proposed Rule Commentary .02 of NYSE Arca Equities Rule a broker-dealer, the applicable adviser 5.2(j)(3). See Securities Exchange Act Release or sub-adviser will implement and Change No.63881 (February 9, 2011), 76 FR 9065 (February 16, 2011) (SR–NYSEArca–2010–120). In its filing with the Commission, the 7 5 A Managed Fund Share is a security that An investment adviser to an open-end fund is self-regulatory organization included represents an interest in an investment company required to be registered under the Investment statements concerning the purpose of, registered under the Investment Company Act of Advisers Act of 1940 (the ‘‘Advisers Act’’). As a and basis for, the proposed rule change 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as result, the Adviser and Sub-Adviser and their an open-end investment company or similar entity related personnel are subject to the provisions of and discussed any comments it received Rule 204A–1 under the Advisers Act relating to that invests in a portfolio of securities selected by codes of ethics. This Rule requires investment on the proposed rule change. The text its investment adviser consistent with its advisers to adopt a code of ethics that reflects the of those statements may be examined at investment objectives and policies. In contrast, an fiduciary nature of the relationship to clients as open-end investment company that issues the places specified in Item IV below. well as compliance with other applicable securities The Exchange has prepared summaries, Investment Company Units, listed and traded on laws. Accordingly, procedures designed to prevent the Exchange under NYSE Arca Rule 5.2–E(j)(3), the communication and misuse of non-public set forth in sections A, B, and C below, seeks to provide investment results that correspond of the most significant parts of such information by an investment adviser must be generally to the price and yield performance of a consistent with Rule 204A–1 under the Advisers statements. specific foreign or domestic stock index, fixed Act. In addition, Rule 206(4)–7 under the Advisers income securities index or combination thereof. Act makes it unlawful for an investment adviser to A. Self-Regulatory Organization’s 6 The Trust is registered under the 1940 Act. On provide investment advice to clients unless such Statement of the Purpose of, and the June 26, 2017, the Trust filed with the Commission investment adviser has (i) adopted and Statutory Basis for, the Proposed Rule its registration statement on Form N–1A under the implemented written policies and procedures Change Securities Act of 1933 (15 U.S.C. 77a) (‘‘Securities reasonably designed to prevent violation, by the Act’’), and under the 1940 Act relating to the Fund investment adviser and its supervised persons, of 1. Purpose (File Nos. 333–215165 and 811–23222) the Advisers Act and the Commission rules adopted (‘‘Registration Statement’’). The description of the thereunder; (ii) implemented, at a minimum, an The Exchange proposes to list and operation of the Trust and the Fund herein is based, annual review regarding the adequacy of the trade shares (‘‘Shares’’) of the Hartford in part, on the Registration Statement. In addition, policies and procedures established pursuant to the Commission has issued an order granting subparagraph (i) above and the effectiveness of their certain exemptive relief to the Trust under the 1940 implementation; and (iii) designated an individual 1 15 U.S.C. 78s(b)(1). Act. See Investment Company Act Release No. (who is a supervised person) responsible for 2 15 U.S.C. 78a. 32454 (January 27, 2017) (File No. 812–812–13828– administering the policies and procedures adopted 3 17 CFR 240.19b–4. 01) (‘‘Exemptive Order’’). under subparagraph (i) above.

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maintain a fire wall with respect to its The Fund may invest in exchange- The Fund may invest in derivative relevant personnel or broker-dealer traded fund (‘‘ETFs’’) 10 and exchange- instruments, as described below. The affiliate regarding access to information traded notes. (‘‘ETNs’’).11 Fund may use derivative instruments to concerning the composition and/or The Fund may invest in securities manage portfolio risk, to replicate changes to the Fund’s portfolio, and will issued or guaranteed as to principal or securities the Fund could buy that are be subject to procedures designed to interest by the U.S. Government, its not currently available in the market or prevent the use and dissemination of agencies or instrumentalities. for other investment purposes. material non-public information The Fund may invest some or all of The Fund may invest in interest rate regarding such portfolio. its assets in cash, high quality money futures contracts. 12 The Fund may invest in interest rate Hartford Municipal Opportunities ETF market instruments, U.S. Government securities and shares of money market swaps, caps, floors and collars. According to the Registration investment companies for temporary Disclosure of Portfolio Holdings Statement, the Fund will seek to defensive purposes in response to On each day the NYSE Arca is open provide current income that is generally adverse market, economic or political (a ‘‘Business Day’’), before exempt from federal income taxes, and conditions when its sub-adviser, subject commencement of trading in Shares on long-term total return. The Fund will to the overall supervision of HFMC, the Exchange in the Exchange’s Core seek to achieve its investment objective deems it appropriate. Trading Session, HFMC will disclose by investing in investment grade and The Fund may invest in non-agency the Fund’s iNAV Basket.13 Additionally, non-investment grade municipal asset-backed securities. on each Business Day, before securities that the Sub-Adviser The Fund may invest in registered commencement of trading in Shares on considers to be attractive from a yield money market funds that invest in perspective while considering total the Exchange, the Fund will disclose on money market instruments, as permitted its Web site the identities and quantities return. Under normal market by regulations adopted under the 1940 8 of the Fund’s portfolio holdings that conditions, at least 80% of the Fund’s Act. net assets must be invested in municipal will form the basis for the Fund’s The Fund may invest in registered securities (‘‘Municipal Securities’’).9 calculation of NAV at the end of the money market funds that invest in The Fund will generally hold a Business Day. money market instruments and other diversified portfolio of investments The NAV per Share will be investment company securities as across states and sectors, although the determined for the Fund’s Shares as of permitted under the 1940 Act. Fund is not required to invest in all the close of regular trading on the New The Fund may enter into repurchase states and sectors at all times. York Stock Exchange (the ‘‘NYSE’’) According to the Registration and reverse repurchase agreements. (normally 4:00 p.m. Eastern Time) (the Statement, the Fund may invest in the The Fund may invest in securities ‘‘NYSE Close’’) on each day that the following Municipal Securities: that are not registered under the 1933 Exchange is open (‘‘Valuation Date’’). Act (‘‘restricted securities’’). • General obligation bonds The net asset value for the Shares will • Revenue (or limited obligation) bonds The Fund may invest in zero-coupon be determined by dividing the value of • Private activity (or industrial securities (in addition to zero-coupon the Fund’s net assets attributable to the development) bonds Municipal Securities). Shares by the number of Shares • Municipal notes The Fund may invest in variable rate outstanding. • Municipal lease obligations bonds known as ‘‘inverse floaters’’ For purposes of calculating the NAV, • Zero-coupon Municipal Securities which pay interest at rates that bear an portfolio securities and other assets held The Sub-Adviser will combine top- inverse relationship to changes in short- in the Fund’s portfolio for which market down strategy with bottom-up term market interest rates. prices are readily available are valued at fundamental research and The Fund may invest in municipal market value. Market value is generally comprehensive risk management within inverse floaters, which are a type of determined on the basis of last reported the portfolio construction process. inverse floater in which a municipal trade prices or official close price. If no Bottom-up, internally generated, bond is deposited with a special trades were reported, market value is fundamental research attempts to purpose vehicle (SPV), which issues, in based on prices obtained from a identify relative value among sectors, return, the municipal inverse floater quotation reporting system, established within sectors, and between individual (which is comprised of a residual market makers, or independent pricing securities. interest in the cash flows and assets of services. If market prices are not readily the SPV) plus proceeds from the Other Investments available or are deemed unreliable, the issuance by the SPV of floating rate Fund will use the fair value of the While the Fund, under normal market certificates to third parties. security or other instrument as conditions, will invest at least 80% of determined in good faith under policies its net assets in Municipal Securities as 10 For purposes of this filing, the term ‘‘ETFs’’ and procedures established by and described above, the Fund may, under includes Investment Company Units (as described under the supervision of the Board of normal market conditions, invest up to in NYSE Arca Rule 5.2–E(j)(3)); Portfolio Depositary Trustees of the Trust. Market prices are 20% of its net assets in the aggregate in Receipts (as described in NYSE Arca Rule 8.100– E); and Managed Fund Shares (as described in considered not readily available where the securities and financial instruments NYSE Arca Rule 8.600–E). All ETFs will be listed there is an absence of current or reliable described below. and traded in the U.S. on a national securities market-based data (e.g., trade exchange. While the Fund may invest in inverse information or broker quotes), including 8 The term ‘‘normal market conditions’’ is defined ETFs, the Fund will not invest in leveraged (e.g., ¥ ¥ in NYSE Arca Rule 8.600–E(c)(5). 2X, 2X, 3X or 3X) ETFs. where events occur after the close of the 9 Municipal securities primarily include debt 11 ETNs are securities such as those listed on the obligations are issued by or on behalf of the District Exchange under NYSE Arca Rule 5.2–E(j)(6). 13 An iNAV will be based on the current market of Columbia, states, territories, commonwealths and 12 Money market instruments include the value of the Fund’s portfolio holdings that will form possessions of the United States and their political following: (1) Banker’s acceptances; (2) short-term the basis for the Fund’s calculation of NAV at the subdivisions (e.g., cities, towns, counties, school corporate obligations, including commercial paper, end of the Business Day, as disclosed on the Fund’s districts, authorities and commissions) and notes, and bonds; (3) other short-term debt Web site prior to that Business Day’s agencies, authorities and instrumentalities. obligations; and (4) obligations of U.S. banks. commencement of trading (the ‘‘iNAV Basket’’).

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relevant market, but prior to the NYSE Shares of the Fund that will constitute discussed below) is placed is referred to Close that materially affect the values of a Creation Unit is 50,000. The size of a as the ‘‘Transmittal Date’’. the Fund’s portfolio holdings or assets. Creation Unit is subject to change. Fund Deposits created through the Prices of foreign equities that are Creation of Shares Clearing Process, if available, must be principally traded on certain foreign delivered through a Participating Party markets are adjusted daily pursuant to The consideration for purchase of that has executed a Participant a fair value pricing service approved by Creation Units will generally consist of Agreement. the Trust’s Board of Trustees in order to ‘‘Deposit Securities’’ and the ‘‘Cash Fund Deposits created outside the reflect an adjustment for the factors Component’’, which will generally Clearing Process must be delivered occurring after the close of certain correspond pro rata, to the extent through a DTC Participant that has foreign markets but before the NYSE practicable, to the Fund’s securities, or, executed a Participant Agreement. Close. as permitted or required by the Fund, of Fixed income investments and non- cash. Together, the Deposit Securities Redemption of Shares exchange traded derivatives held by the and Cash Component constitute the Shares may be redeemed only in Fund will normally be valued on the ‘‘Fund Deposit,’’ which represents the Creation Units at their NAV next basis of quotes obtained from brokers minimum initial and subsequent determined after receipt of a redemption and dealers or independent pricing investment amount for a Creation Unit request in proper form on a Business services in accordance with procedures of the Fund. Creation Units of Shares of Day and only through a Participating established by the Trust’s Board of the Fund may be issued partially for Party or DTC Participant who has Trustees. Prices obtained from cash. executed a Participant Agreement. The Transfer Agent, through the independent pricing services use With respect to the Fund, the Transfer NSCC, will make available on each information provided by market makers Agent, through the NSCC, makes Business Day, prior to the Core Trading or estimates of market values obtained available immediately prior to the from yield data relating to investments Session (subject to amendments) on the Exchange (currently 9:30 a.m., Eastern opening of business on the Exchange or securities with similar characteristics. (currently 9:30 a.m., Eastern time) on Senior floating rate interests generally time), the identity and the required number of each Deposit Security and each Business Day, the identity of the trade in over-the-counter (‘‘OTC’’) Fund’s securities and/or an amount of markets and are priced through an the amount of the Cash Component to be included in the current Fund Deposit cash that will be applicable (subject to independent pricing service utilizing possible amendment or correction) to independent market quotations from (based on information at the end of the previous Business Day). redemption requests received in proper loan dealers or financial institutions. form (as described below) on that day. Generally, the Fund may use fair To be eligible to place orders with the Distributor and to create a Creation Unit All orders are subject to acceptance by valuation in regard to fixed income the Distributor. The Fund’s securities positions when the Fund holds of the Fund, an entity must be: (i) A ‘‘Participating Party,’’ i.e., a broker- received on redemption will generally defaulted or distressed investments or correspond pro rata, to the extent investments in a company in which a dealer or other participant in the clearing process through the Continuous practicable, to the Fund’s securities. The reorganization is pending. Short term Fund’s securities received on investments maturing in 60 days or less Net Settlement System of the NSCC (the ‘‘Clearing Process’’); or (ii) a participant redemption (‘‘Fund Securities’’) may not are generally valued at amortized cost if be identical to Deposit Securities that their original term to maturity was 60 of DTC (‘‘DTC Participant’’) and must have executed an agreement with the are applicable to creations of Creation days or less, or by amortizing their value Units. on the 61st day prior to maturity, if the Distributor (and accepted by the Unless cash only redemptions are original term exceeded 60 days. Transfer Agent), with respect to Investments valued in currencies creations and redemptions of Creation available or specified for the Fund, the other than U.S. dollars will be converted Units (‘‘Participant Agreement’’) redemption proceeds for a Creation Unit to U.S. dollars using exchange rates (discussed below). A Participating Party will generally consist of Fund obtained from independent pricing or DTC Participant who has executed a Securities—as announced on the services for calculation of the NAV. Participant Agreement is referred to as Business Day of the request for a Investments in open-end mutual an ‘‘Authorized Participant.’’ redemption order received in proper funds are valued at the respective NAV Except as described below, and in all form—plus cash in an amount equal to of each open-end mutual fund on the cases subject to the terms of the the difference between the NAV of the Valuation Date. applicable Participant Agreement, all Shares being redeemed, as next Financial instruments for which orders to create Creation Units of the determined after a receipt of a request prices are not available from an Fund must be received by the Transfer in proper form, and the value of the independent pricing service may be Agent no later than the closing time of Fund Securities, less the redemption valued using market quotations the Exchange’s Core Trading Session transaction fee and variable fees obtained from one or more dealers that (‘‘Order Cutoff Time’’) (ordinarily 4:00 described below. Notwithstanding the make markets in the respective financial p.m., Eastern time) in each case on the foregoing, the Trust will substitute a instrument in accordance with date such order is placed for creation of ‘‘cash-in-lieu’’ amount to replace any procedures established by the Trust’s Creation Units to be effected based on Fund Security that is a non-deliverable Board of Trustees. the NAV of shares of the Fund as next instrument. determined after receipt of an order in Orders to redeem Creation Units of Creation and Redemption of Shares proper form. Orders requesting the Fund through the Clearing Process, According to the Registration substitution of a ‘‘cash-in-lieu’’ amount if available, must be delivered through Statement, the Trust will issue and sell or a cash creation, must be received by a Participating Party that has executed Shares of the Fund only in Creation the Transfer Agent no later than 3:00 the Participant Agreement. Units at the NAV next determined after p.m., Eastern time. The date on which Orders to redeem Creation Units of receipt of an order in proper form on an order to create Creation Units (or an the Fund outside the Clearing Process any Business Day. The number of order to redeem Creation Units, as must be delivered through a DTC

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Participant that has executed the Web site at www.sec.gov. Information The Fund intends to qualify for and Participant Agreement. regarding market price and trading to elect treatment as a separate regulated volume of the Shares will be continually investment company under Subchapter Availability of Information available on a real-time basis throughout M of the Internal Revenue Code of The Fund will disclose on the Fund’s the day on brokers’ computer screens 1986.16 Web site (www.hartfordfunds.com) at and other electronic services. The Fund’s investments will be the start of each business day the Information regarding the previous consistent with its investment goal and identities and quantities of the day’s closing price and trading volume will not be used to provide multiple securities and other assets held by the information for the Shares will be returns of a benchmark or to produce Fund that will form the basis of the published daily in the financial section leveraged returns. Fund’s calculation of its net asset value of newspapers. Under normal market conditions, (‘‘NAV’’) on that business day. The Quotation and last sale information except for periods of high cash inflows portfolio holdings so disclosed will be for the Shares, ETFs and ETNs will be or outflows,17 the Fund will satisfy the based on information as of the close of available via the Consolidated Tape following criteria: business on the prior business day and/ Association (‘‘CTA’’) high-speed line, i. The Fund will have a minimum of or trades that have been completed prior and from the national securities 20 non-affiliated issuers; to the opening of business on that exchange on which they are listed. ii. No single municipal securities business day and that are expected to Quotation information from brokers issuer will account for more than 10% settle on the business day. and dealers or pricing services will be of the weight of the Fund’s portfolio; The Web site for the Fund will available for Municipal Bonds. Price iii. No individual bond will account contain the following information, on a information for money market funds for more than 5% of the weight of the per-Share basis, for the Fund: (1) The will be available from the applicable Fund’s portfolio; prior business day’s NAV; (2) the investment company’s Web site and iv. The Fund will limit its reported midpoint of the bid-ask spread from market data vendors. Pricing investments in Municipal Securities of at the time of NAV calculation (the information regarding each asset class in any one state to 20% of the Fund’s total ‘‘Bid-Ask Price’’); (3) a calculation of the which the Fund will invest will assets and will be diversified among premium or discount of the Bid-Ask generally be available through issuers in at least 10 states; Price against such NAV; and (4) data in nationally recognized data service v. The Fund will be diversified among chart format displaying the frequency providers through subscription a minimum of five different sectors of distribution of discounts and premiums agreements. In addition, the iNAV the municipal bond market.18 of the Bid-Ask Price against the NAV, (which is the Portfolio Indicative Value, Pre-refunded bonds will be excluded within appropriate ranges, for each of as defined in NYSE Arca Rule 8.600– from the above limits given that they the four previous calendar quarters (or E(c)(3)), will be widely disseminated at have a high level of credit quality and for the life of the Fund if, shorter). In least every 15 seconds during the Core liquidity.19 addition, on each business day, before Trading Session by one or more major the commencement of trading in Shares market data vendors or other 11, 2008), 73 FR 14618 (March 18, 2008), footnote on the NYSE Arca, the Fund will information providers.14 34. See also, Investment Company Act Release No. disclose on its Web site the identities 5847 (October 21, 1969), 35 FR 19989 (December and quantities of the portfolio securities Investment Restrictions 31, 1970) (Statement Regarding ‘‘Restricted Securities’’); Investment Company Act Release No. and other assets held by the Fund that The Fund may hold up to an aggregate 18612 (March 12, 1992), 57 FR 9828 (March 20, will form the basis for the calculation of amount of 15% of its net assets in 1992) (Revisions of Guidelines to Form N–1A). A NAV at the end of the business day. fund’s portfolio security is illiquid if it cannot be illiquid assets (calculated at the time of disposed of in the ordinary course of business The Fund’s portfolio holdings will be investment) deemed illiquid by the disclosed on the Fund’s Web site daily within seven days at approximately the value Adviser, consistent with Commission ascribed to it by the fund. See Investment Company after the close of trading on the guidance. The Fund will monitor its Act Release No. 14983 (March 12, 1986), 51 FR Exchange and prior to the opening of 9773 (March 21, 1986) (adopting amendments to portfolio liquidity on an ongoing basis Rule 2a–7 under the 1940 Act); Investment trading on the Exchange the following to determine whether, in light of current day. On a daily basis, the Fund will Company Act Release No. 17452 (April 23, 1990), circumstances, an adequate level of 55 FR 17933 (April 30, 1990) (adopting Rule 144A disclose the information required under liquidity is being maintained, and will under the Securities Act). NYSE Arca Rule 8.600–E(c)(2) to the consider taking appropriate steps in 16 26 U.S.C. 851. extent applicable. The Web site 17 ‘‘Periods of high cash inflows or outflows’’ as order to maintain adequate liquidity if, used herein, mean rolling periods of seven calendar information will be publicly available at through a change in values, net assets, no charge. days during which inflows or outflows of cash, in or other circumstances, more than 15% the aggregate, exceed 10% of the Fund’s net assets The approximate value of the Fund’s of the Fund’s net assets are held in as of the opening of business on the first day of investments on a per-Share basis, the illiquid assets. Illiquid assets may such periods. iNAV, will be disseminated every 15 18 The Fund’s investments in Municipal include securities subject to contractual seconds during the Exchange Core Securities will include investments in state and or other restrictions on resale and other Trading Session (ordinarily 9:30 a.m. to local (e.g., county, city, town) Municipal Securities instruments that lack readily available relating to such sectors as the following: Airports; 4:00 p.m., Eastern Time). markets as determined in accordance bridges and highways; hospitals; housing; jails; Investors can also obtain the Fund’s 15 mass transportation; nursing homes; parks; public Statement of Additional Information with Commission staff guidance. buildings; recreational facilities; school facilities; (‘‘SAI’’), shareholder reports, Form streets; and water and sewer works. 14 Currently, it is the Exchange’s understanding 19 The Manager represents that pre-refunded N–CSR and Form N–SAR, filed twice a that several major market data vendors display and/ bonds (also known as refunded or escrow-secured year. The Fund’s SAI and shareholder or make widely available Portfolio Indicative bonds) have a high level of credit quality and reports will be available free upon Values taken from CTA or other data feeds. liquidity because the issuer ‘‘prerefunds’’ the bond request from the Trust, and those 15 The Commission has stated that long-standing by setting aside in advance all or a portion of the Commission guidelines have required open-end amount to be paid to the bondholders when the documents and the Form N–CSR and funds to hold no more than 15% of their net assets bond is called. Generally, an issuer uses the Form N–SAR may be viewed on-screen in illiquid securities and other illiquid assets. See proceeds from a new bond issue to buy high grade, or downloaded from the Commission’s Investment Company Act Release No. 28193 (March interest bearing debt securities, including direct

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Application of Generic Listing Trading Halts administered by the Financial Industry Requirements With respect to trading halts, the Regulatory Authority (‘‘FINRA’’) on The Exchange is submitting this Exchange may consider all relevant behalf of the Exchange, or by regulatory proposed rule change because the factors in exercising its discretion to staff of the Exchange, which are portfolios for the Fund will not meet all halt or suspend trading in the Shares of designed to detect violations of of the ‘‘generic’’ listing requirements of the Fund.21 Trading in Shares of the Exchange rules and applicable federal Commentary .01 to NYSE Arca Rule Fund will be halted if the circuit breaker securities laws. The Exchange 8.600–E applicable to the listing of parameters in NYSE Arca Rule 7.12–E represents that these procedures are Managed Fund Shares. The Fund’s have been reached. Trading also may be adequate to properly monitor Exchange portfolio will meet all such halted because of market conditions or trading of the Shares in all trading requirements except for those set forth for reasons that, in the view of the sessions and to deter and detect in Commentary .01(b)(1).20 Exchange, make trading in the Shares violations of Exchange rules and federal The Exchange believes that it is inadvisable. securities laws applicable to trading on appropriate and in the public interest to the Exchange.23 Trading Rules approve listing and trading of Shares of The surveillances referred to above the Fund on the Exchange The Exchange deems the Shares to be generally focus on detecting securities notwithstanding that the Fund would equity securities, thus rendering trading trading outside their normal patterns, not meet the requirements of in the Shares subject to the Exchange’s which could be indicative of Commentary .01(b)(1) to Rule 8.600–E existing rules governing the trading of manipulative or other violative activity. in that the Fund’s investments in equity securities. Shares will trade on When such situations are detected, municipal securities will be well- NYSE Arca from 4 a.m. to 8 p.m., surveillance analysis follows and diversified. Eastern Time in accordance with NYSE investigations are opened, where The Exchange believes that permitting Arca Rule 7.34–E (Early, Core, and Late appropriate, to review the behavior of Fund Shares to be listed and traded on Trading Sessions). The Exchange has all relevant parties for all relevant the Exchange notwithstanding that less appropriate rules to facilitate trading violations.24 than 75% of the weight of the Fund’s transactions in the Shares during all The Exchange or FINRA, on behalf of portfolio may consist of components trading sessions. As provided in NYSE the Exchange, or both, will with less than $100 million minimum Arca Rule 7.6–E, the minimum price communicate as needed regarding original principal amount outstanding variation (‘‘MPV’’) for quoting and entry trading in the Shares, ETFs and ETNs would provide the Fund with greater of orders in equity securities traded on with other markets and other entities ability to select from a broad range of NYSE Arca is $0.01, with the exception that are members of the ISG, and the Municipal Securities, as described of securities that are priced less than Exchange or FINRA, on behalf of the above, that would support the Fund’s $1.00 for which the MPV for order entry Exchange, or both, may obtain trading investment goal. is $0.0001. information regarding trading in the The Exchange believes that, The Shares of the Fund will conform Shares, ETFs and ETNs from such notwithstanding that the Fund’s to the initial and continued listing markets and other entities. In addition, portfolio may not satisfy Commentary criteria under NYSE Arca Rule 8.600–E. the Exchange may obtain information .01(b)(1) to Rule 8.600–E, the Fund’s Consistent with NYSE Arca Rule 8.600– regarding trading in the Shares, ETFs portfolios will not be susceptible to E(d)(2)(B)(ii), the Adviser will and ETNs from markets and other manipulation. As noted above, the implement and maintain, or be subject entities that are members of ISG or with Fund’s investments will be diversified to, procedures designed to prevent the which the Exchange has in place a among a minimum of 20 non-affiliated use and dissemination of material non- comprehensive surveillance sharing issuers; no single municipal securities public information regarding the actual agreement. In addition, FINRA, on issuer will account for more than 10% components of the Fund’s portfolio. The behalf of the Exchange, is able to access, of the weight of the Fund’s portfolio; no Exchange represents that, for initial as needed, trade information for certain and/or continued listing, the Fund will fixed income securities held by the individual bond will account for more 22 than 5% of the weight of the Fund’s be in compliance with Rule 10A–3 Fund reported to FINRA’s Trade portfolio; the Fund will limit its under the Act, as provided by NYSE Reporting and Compliance Engine investments in Municipal Securities of Arca Rule 5.3–E. A minimum of 100,000 (‘‘TRACE’’). FINRA also can access data any one state to 20% of the Fund’s total Shares will be outstanding at the obtained from the Municipal Securities assets and will be diversified among commencement of trading on the Rulemaking Board (‘‘MSRB’’) relating to issuers in at least 10 states; and the Exchange. The Exchange will obtain a municipal bond trading activity for representation from the issuer of the Fund will be diversified among a surveillance purposes in connection Shares that the NAV per Share will be minimum of five different sectors of the with trading in the Shares. calculated daily and that the NAV and municipal bond market. In addition, the Exchange also has a The Exchange notes that, other than the Disclosed Portfolio will be made general policy prohibiting the Commentary .01(b)(1) to Rule 8.600–E, available to all market participants at distribution of material, non-public the Fund’s portfolio will meet all other the same time. The Fund’s investments information by its employees. requirements of Rule 8.600–E. will be consistent with the Fund’s investment goal and will not be used to 23 FINRA conducts cross-market surveillances on obligations of the U.S. government, which are then enhance leverage. behalf of the Exchange pursuant to a regulatory deposited in an irrevocable escrow account held by Surveillance services agreement. The Exchange is responsible for a trustee bank to secure all future payments of FINRA’s performance under this regulatory services principal and interest on the pre-refunded bonds. The Exchange represents that trading agreement. 20 Commentary .01(b)(1) to NYSE Arca Rule in the Shares will be subject to the 24 For a list of the current members of ISG, see 8.600–E provides that components that in the existing trading surveillances, www.isgportal.org. The Exchange notes that not all aggregate account for at least 75% of the fixed components of the Disclosed Portfolio may trade on income weight of the portfolio each shall have a markets that are members of ISG or with which the minimum original principal amount outstanding of 21 See NYSE Arca Rule 7.12–E, Commentary .04. Exchange has in place a comprehensive $100 million or more. 22 17 CFR 240.10A–3. surveillance sharing agreement.

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All statements and representations under Section 6(b)(5) 25 that an in that the Fund’s investments in made in this filing regarding (a) the exchange have rules that are designed to municipal securities will be well- description of the portfolio, (b) prevent fraudulent and manipulative diversified. As noted above, the Fund’s limitations on portfolio holdings or acts and practices, to promote just and investments will be well-diversified in reference assets, or (c) or (c) the equitable principles of trade, to remove that the Fund will have a minimum of applicability of Exchange listing rules impediments to, and perfect the 20 non-affiliated issuers; no single specified in this rule filing shall mechanism of a free and open market municipal securities issuer will account constitute continued listing and, in general, to protect investors and for more than 10% of the weight of the requirements for listing the Shares of the public interest. Fund’s portfolio; no individual bond the Fund on the Exchange. The Exchange believes that the will account for more than 5% of the The issuer has represented to the proposed rule change is designed to weight of the Fund’s portfolio; the Fund Exchange that it will advise the prevent fraudulent and manipulative will limit its investments in Municipal Exchange of any failure by the Fund to acts and practices in that the Shares will Securities of any one state to 20% of the comply with the continued listing be listed and traded on the Exchange Fund’s total assets and will be requirements, and, pursuant to its pursuant to the initial and continued diversified among issuers in at least 10 obligations under Section 19(g)(1) of the listing criteria in NYSE Arca Rule states; and the Fund will be diversified Act, the Exchange will monitor for 8.600–E. The Exchange has in place among a minimum of five different compliance with the continued listing surveillance procedures that are sectors of the municipal bond market. requirements. If the Fund is not in adequate to properly monitor trading in The Exchange believes that permitting compliance with the applicable listing the Shares in all trading sessions and to Fund Shares to be listed and traded on requirements, the Exchange will deter and detect violations of Exchange the Exchange notwithstanding that less commence delisting procedures under rules and applicable federal securities than 75% of the weight of the Fund’s NYSE Arca Rule 5.5–E(m). laws. The Exchange or FINRA, on behalf portfolio may consist of components of the Exchange, or both, will with less than $100 million minimum Information Bulletin communicate as needed regarding original principal amount outstanding Prior to the commencement of trading in the Shares, ETFs and ETNs would provide the Fund with greater trading, the Exchange will inform its with other markets and other entities ability to select from a broad range of Equity Trading Permit Holders in an that are members of the ISG, and the municipal securities, as described Information Bulletin (‘‘Bulletin’’) of the Exchange or FINRA, on behalf of the above, that would support the Fund’s special characteristics and risks Exchange, or both, may obtain trading investment objective. associated with trading the Shares. information regarding trading in the The proposed rule change is designed Specifically, the Bulletin will discuss Shares, ETFs and ETNs from such to promote just and equitable principles the following: (1) The procedures for markets and other entities. In addition, of trade and to protect investors and the purchases and redemptions of Shares in the Exchange may obtain information public interest in that the Exchange will Creation Unit aggregations (and that regarding trading in the Shares, ETFs obtain a representation from the issuer Shares are not individually redeemable); and ETNs from markets and other of the Shares that the NAV per Share (2) NYSE Arca Rule 9.2–E(a), which entities that are members of ISG or with will be calculated daily and that the imposes a duty of due diligence on its which the Exchange has in place a NAV and the Disclosed Portfolio will be Equity Trading Permit Holders to learn comprehensive surveillance sharing made available to all market the essential facts relating to every agreement. In addition, FINRA, on participants at the same time. In customer prior to trading the Shares; (3) behalf of the Exchange, is able to access, addition, a large amount of information the risks involved in trading the Shares as needed, trade information for certain is publicly available regarding the Fund during the Opening and Late Trading fixed income securities held by the and the Shares, thereby promoting Sessions when an updated iNAV will Fund reported to TRACE. FINRA also market transparency. Quotation and last not be calculated or publicly can access data obtained from the MSRB sale information for the Shares, ETFs disseminated; (4) how information relating to municipal bond trading and ETNs will be available via the CTA regarding the iNAV and the Disclosed activity for surveillance purposes in high-speed line, and from the national Portfolio is disseminated; (5) the connection with trading in the Shares. securities exchange on which they are requirement that Equity Trading Permit The Fund may not purchase illiquid listed. Prior to the commencement of Holders deliver a prospectus to assets if, in the aggregate, more than trading, the Exchange will inform its investors purchasing newly issued 15% of its net assets would be invested Equity Trading Permit Holders in an Shares prior to or concurrently with the in illiquid assets. Neither the Manager Information Bulletin of the special confirmation of a transaction; and (6) nor Sub-Adviser is a registered broker- characteristics and risks associated with trading information. dealer but each is affiliated with a trading the Shares. Trading in Shares of In addition, the Bulletin will broker-dealer. The Manager and Sub- the Fund will be halted if the circuit reference that the Fund is subject to Adviser each has implemented a ‘‘fire breaker parameters in NYSE Arca Rule various fees and expenses described in wall’’ with respect to such broker-dealer 7.12–E have been reached or because of the Registration Statement. The Bulletin affiliate regarding access to information market conditions or for reasons that, in will discuss any exemptive, no-action, concerning the composition of and/or the view of the Exchange, make trading and interpretive relief granted by the changes to the Fund’s portfolio. in the Shares inadvisable. Trading in the Commission from any rules under the The Exchange believes that it is Shares will be subject to NYSE Arca Act. The Bulletin will also disclose that appropriate and in the public interest to Rule 8.600–E(d)(2)(D), which sets forth the NAV for the Shares will be approve listing and trading of Shares of circumstances under which Shares of calculated after 4:00 p.m., Eastern Time the Fund on the Exchange the Fund may be halted. In addition, as each trading day. notwithstanding that the Fund would noted above, investors will have ready not meet the requirements of access to information regarding the 2. Statutory Basis Commentary .01(b)(1) to Rule 8.600–E Fund’s holdings, the iNAV, the The basis under the Act for this Disclosed Portfolio, and quotation and proposed rule change is the requirement 25 15 U.S.C. 78f(b)(5). last sale information for the Shares.

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The proposed rule change is designed IV. Solicitation of Comments For the Commission, by the Division of to perfect the mechanism of a free and Trading and Markets, pursuant to delegated 26 open market and, in general, to protect Interested persons are invited to authority. investors and the public interest in that submit written data, views, and Eduardo A. Aleman, it will facilitate the listing and trading arguments concerning the foregoing, Assistant Secretary. of additional types of actively-managed including whether the proposed rule [FR Doc. 2017–18799 Filed 9–5–17; 8:45 am] exchange-traded products that change is consistent with the Act. BILLING CODE 8011–01–P principally hold municipal bonds and Comments may be submitted by any of that will enhance competition among the following methods: SECURITIES AND EXCHANGE market participants, to the benefit of Electronic Comments investors and the marketplace. As noted COMMISSION above, the Exchange has in place • Use the Commission’s Internet [Release No. 34–81503; File No. SR– surveillance procedures relating to comment form (http://www.sec.gov/ BatsEDGX–2017–35] trading in the Shares and may obtain rules/sro.shtml); or information via ISG from other • Self-Regulatory Organizations; Bats Send an email to rule-comments@ EDGX Exchange, Inc.; Notice of Filing exchanges that are members of ISG or sec.gov. Please include File Number SR– with which the Exchange has entered of a Proposed Rule Change, as NYSEArca–2017–90 on the subject line. into a comprehensive surveillance Modified by Amendment No. 1, To sharing agreement. In addition, as noted Paper Comments Harmonize the Corporate Governance above, investors will have ready access Framework With That of Chicago • to information regarding the Fund’s Send paper comments in triplicate Board Options Exchange, Incorporated holdings, iNAV, Disclosed Portfolio, to Secretary, Securities and Exchange and C2 Options Exchange and quotation and last sale information Commission, 100 F Street NE., Incorporated Washington, DC 20549–1090. for the Shares. August 30, 2017. B. Self-Regulatory Organization’s All submissions should refer to File Pursuant to Section 19(b)(1) of the Statement on Burden on Competition Number SR–NYSEArca–2017–90. This Securities Exchange Act of 1934 (the file number should be included on the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 The Exchange does not believe that subject line if email is used. To help the notice is hereby given that on August the proposed rule change will impose Commission process and review your 23, 2017, Bats EDGX Exchange, Inc. any burden on competition that is not comments more efficiently, please use (‘‘Exchange’’ or ‘‘EDGX’’) filed with the necessary or appropriate in furtherance only one method. The Commission will Securities and Exchange Commission of the purpose of the Act. The Exchange post all comments on the Commission’s (‘‘Commission’’) the proposed rule notes that the proposed rule change will Internet Web site (http://www.sec.gov/ change as described in Items I and II facilitate the listing and trading of an rules/sro.shtml). Copies of the below, which Items have been prepared additional type of actively-managed submission, all subsequent by the Exchange. On August 25, 2017, exchange-traded product that amendments, all written statements the Exchange filed Amendment No. 1 to principally hold municipal bonds and with respect to the proposed rule the proposed rule change. The Commission is publishing this notice to that will enhance competition among change that are filed with the market participants, to the benefit of solicit comments on the proposed rule Commission, and all written investors and the marketplace. change, as modified by Amendment No. communications relating to the 1, from interested persons. C. Self-Regulatory Organization’s proposed rule change between the Statement on Comments on the Commission and any person, other than I. Self-Regulatory Organization’s Proposed Rule Change Received From those that may be withheld from the Statement of the Terms of Substance of Members, Participants, or Others public in accordance with the the Proposed Rule Change provisions of 5 U.S.C. 552, will be The Exchange filed a proposal to No written comments were solicited available for Web site viewing and amend and restate its certificate of or received with respect to the proposed printing in the Commission’s Public incorporation and bylaws, as well as rule change. Reference Room, 100 F Street NE., amend its Rules. III. Date of Effectiveness of the Washington, DC 20549, on official The text of the proposed rule change Proposed Rule Change and Timing for business days between the hours of is available at the Exchange’s Web site Commission Action 10:00 a.m. and 3:00 p.m. Copies of the at www.bats.com, at the principal office filing also will be available for of the Exchange, and at the Within 45 days of the date of inspection and copying at the principal Commission’s Public Reference Room. publication of this notice in the Federal office of the Exchange. All comments II. Self-Regulatory Organization’s Register or within such longer period received will be posted without change; up to 90 days (i) as the Commission may Statement of the Purpose of, and the Commission does not edit personal designate if it finds such longer period Statutory Basis for, the Proposed Rule identifying information from to be appropriate and publishes its Change submissions. You should submit only reasons for so finding or (ii) as to which In its filing with the Commission, the information that you wish to make the self-regulatory organization Exchange included statements consents, the Commission will: available publicly. All submissions concerning the purpose of and basis for should refer to File Number SR– (A) By order approve or disapprove the proposed rule change and discussed NYSEArca–2017–90, and should be any comments it received on the the proposed rule change, or submitted on or before September 27, (B) institute proceedings to determine 2017. 26 17 CFR 200.30–3(a)(12). whether the proposed rule change 1 15 U.S.C. 78s(b)(1). should be disapproved. 2 17 CFR 240.19b–4.

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proposed rule change. The text of these herein as the ‘‘CBOE Certificate’’) and shall be its Board. Article Fifth, statements may be examined at the the Eighth Amended and Restated subparagraph (b) provides that the places specified in Item IV below. The Bylaws of Chicago Board Options Board shall consist of not less than five Exchange has prepared summaries, set Exchange, Incorporated and the Eighth (5) Directors and subparagraph (c) forth in Sections A, B, and C below, of Amended and Restated Bylaws of C2 includes language regarding the the most significant parts of such Options Exchange, Incorporated nomination of directors, which statements. (collectively referred to herein as the information is substantially similar as is ‘‘CBOE Bylaws’’)). The proposed provided in the CBOE Bylaws and the A. Self-Regulatory Organization’s Certificate and proposed Bylaws reflect proposed Bylaws.3 Article Fifth, Statement of the Purpose of, and the expectation that the Exchange will subparagraph (d) of the proposed Statutory Basis for, the Proposed Rule be operated with governance structures Certificate provides that in discharging Change similar to those of CBOE and C2. his or her responsibilities as a member 1. Purpose Accordingly, the Exchange proposes to of the Board, each Director shall take EDGX submits this rule filing to the adopt corporate documents that set forth into consideration the effect that his or Securities and Exchange Commission a substantially similar corporate her actions would have on the ability of (the ‘‘Commission’’) in connection with governance framework and related the Exchange to carry out the a corporate transaction (the processes as those contained in the Exchange’s responsibilities under the CBOE Certificate and CBOE Bylaws. The ‘‘Transaction’’) involving, among other Act and on the ability of the Exchange: Exchange believes the proposed changes things, the recent acquisition of EDGX To engage in conduct that fosters and to the current Certificate and current along with Bats BYX Exchange, Inc. does not interfere with the Exchange’s Bylaws are consistent with the (‘‘Bats BYX’’), Bats BZX Exchange, Inc. ability to prevent fraudulent and requirements of the Securities Exchange (‘‘Bats BZX’’) and Bats EDGA Exchange, manipulative acts and practices; to Act of 1934, as amended (the ‘‘Act’’). Inc. (‘‘Bats EDGA’’ and, together with promote just and equitable principles of Bats BYX, Bats BZX, and Bats EDGX, (a) Changes to the Certificate trade; to foster cooperation and the ‘‘Bats Exchanges’’) by CBOE coordination with persons engaged in In connection with the Transaction, regulating, clearing, settling, processing Holdings, Inc. (‘‘CBOE Holdings’’). the Exchange proposes to amend and CBOE Holdings is also the parent of information with respect to, and restate the current Certificate to conform facilitating transactions in securities; to Chicago Board Options Exchange, to the certificates of incorporation of Incorporated (‘‘CBOE’’) and C2 Options remove impediments to and perfect the CBOE and C2. The proposed Certificate mechanisms of a free and open market Exchange, Incorporated (‘‘C2’’). This is set forth in Exhibit 5B. Specifically, filing proposes to amend and restate the and a national market system; and, in the Exchange proposes to make the general, to protect investors and the bylaws (and amend the rules, following substantive amendments to accordingly) and the certificate of public interest. In discharging his or her the current Certificate. responsibilities as a member of the incorporation of the Exchange based on • Adopt an introductory section. the bylaws and certificates of • Amend Article Third to provide Board or as an officer or employee of the incorporation of CBOE and C2. further details as to the nature of the Exchange, each such Director, officer or Specifically, the Exchange proposes to business of the Exchange. Specifically, employee shall comply with the federal replace the certificate of incorporation the proposed Certificate will further securities laws and the rules and of Bats EDGX Exchange, Inc., (the specify that the nature of the Exchange regulations thereunder and shall ‘‘current Certificate’’) in its entirety with is (i) to conduct and carry on the cooperate with the Commission, and the the Second Amended and Restated function of an ‘‘exchange’’ within the Exchange pursuant to its regulatory Certificate of Incorporation of Bats meaning of that term in the Act and (ii) authority. The Exchange notes that EDGX Exchange, Inc. (the ‘‘proposed similar language is included in the to provide a securities market place 4 Certificate’’). Additionally, the with high standards of honor and current Bylaws. • Article Sixth of the proposed Exchange proposes to replace the Sixth integrity among its Exchange Members Certificate governs the indemnification Amended and Restated Bylaws of Bats and other persons holding rights to of Directors of the Board. The Exchange EDGX Exchange, Inc. (the ‘‘current access the Exchange’s facilities and to notes that its indemnification provision Bylaws’’) in its entirety with the promote and maintain just and equitable is currently contained in Article VIII of Seventh Amended and Restated Bylaws principles of trade and business. of Bats EDGX Exchange, Inc. (the • Article Fourth of the proposed the current Bylaws. In order to conform ‘‘proposed Bylaws’’). The Exchange Certificate specifies that Direct Edge governance documents across all CBOE believes that it is important for each of LLC will be the sole owner of the Holdings’ exchanges and conform CBOE Holdings’ six U.S. securities Common Stock and that any sale, indemnification practices, the Exchange exchanges to have a consistent, uniform transfer or assignment by Direct Edge is eliminating its indemnification in the approach to corporate governance. LLC of any shares of Common Stock bylaws and adopting the same Therefore, to simplify and unify the will be subject to prior approval by the indemnification language that is governance and corporate practices of SEC pursuant to a rule filing. The currently contained in Article Sixth of these six exchanges, the Exchange Exchange notes that Article IV, Section the CBOE Certificate. • Article Seventh of the proposed proposes to revise the current Certificate 7 of the current Bylaws similarly Certificate is the same as Article and current Bylaws to conform them to precludes the stockholder from Seventh of the CBOE Certificate and the certificates of incorporation and transferring or assigning, in whole or in provides that the Exchange reserves the bylaws of the CBOE and C2 exchanges part, its ownership interest(s) in the right to amend, change or repeal any (i.e., the Third Amended and Restated Exchange. Certificate of Incorporation of Chicago • Article Fifth of the proposed provision of the certificate. It also Board Options Exchange, Incorporated Certificate is the same as Article Fifth of 3 See Article III of the CBOE Bylaws and proposed and the Fourth Amended and Restated the CBOE Certificate. Specifically, Bylaws. Certificate of C2 Options Exchange, Article Fifth, subparagraph (a) provides 4 See Article III, Section 1(d) and Section 1(e) of Incorporated (collectively referred to that the governing body of the Exchange the current Bylaws.

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provides that before any amendment or regulations thereunder, or to limit or Office and Agent repeal of any provision of the certificate impede the ability of any officers, The Exchange notes that the shall be effective, the changes must be directors, employees or agents of the information in Article II (Office and submitted to the Board, and if such Exchange to disclose such confidential Agent) of the current Bylaws is not amendment or repeal must be filed with information to the Commission. included in the proposed Bylaws. The or filed with and approved by the (b) Substantive Changes to the Bylaws Exchange notes that the language Commission, it won’t be effective until contained in Section 2 and 3 of Article In connection with the Transaction, filed with or filed with and approved by II is already located in the current the Commission. the Exchange also proposes to amend • Certificate and will continue to be Article Eighth of the proposed and restate the current Bylaws to located in the proposed Certificate.8 The Certificate is the same as Article Eighth conform to the Bylaws of CBOE and C2. Exchange does not believe the of the CBOE Certificate. Proposed The proposed Bylaws is set forth in information contained in Section 1 of Article Eighth provides that a Director Exhibit 5D. Specifically, the Exchange Article II is necessary to include in the of the Exchange shall not be liable to the proposes to make the following proposed Bylaws and notes that the Exchange or its stockholders for substantive amendments to the current CBOE Bylaws do not contain monetary damages for breach of Bylaws: information relating to the principal fiduciary duty as a Director, except to Definitions business office. the extent such exemption from liability or limitation is not permitted under The Exchange first notes that Section Nomination and Election Process Delaware Corporate law. 1.1 of the proposed Bylaws, titled Article III of the proposed Bylaws, • Article Ninth of the proposed ‘‘Definitions,’’ contains key definitions titled ‘‘Board of Directors’’, mirrors the Certificate is the same as Article Ninth of terms used in the proposed Bylaws, language in Article III of the CBOE of the CBOE Certificate. Specifically it and are based on the defined terms used Bylaws and contains key provisions provides that unless and except to the in Section 1.1 of the CBOE Bylaws. The regarding the processes for nominating extent that the Exchange’s bylaws Exchange notes that certain differences and electing Representative Directors. require, election of Directors of the in terminology in the proposed Bylaws Exchange need not be by written ballot. and CBOE Bylaws will exist (e.g., use of General Nomination and Election • Article Tenth of the proposed the term ‘‘Exchange Member’’ instead of Under the Exchange’s current director Certificate is the same as Article Tenth ‘‘Trading Permit Holder’’). The nomination and election process, the of the CBOE Certificate and provides Exchange proposes to eliminate from Nominating Committee (which is not a that in furtherance and not in limitation the current Bylaws certain definitions Board committee, but rather is of the powers conferred by the laws of that would be obsolete under the composed of Exchange member the State of Delaware, the Board is proposed Bylaws (e.g., references to representatives) 9 nominates Directors expressly authorized to make, alter and ‘‘Member Representative Directors’’ and for each Director position standing for repeal the Exchange’s bylaws, which is ‘‘Member Nominating Committee’’) and election for that year. Additionally, for already provided for in both the current also proposes to move certain defined Member Representative Director Bylaws and proposed Bylaws.5 terms located in the current Bylaws to positions,10 the Nominating Committee • Article Eleventh of the proposed the EDGX Rules (i.e., ‘‘Industry must nominate the Directors that have Certificate is the same as Article member’’ and ‘‘Member Representative been approved and submitted by the Eleventh of the CBOE Certificate and is member’’).6 Additionally, the Exchange Member Nominating Committee (which similar to Article XI, Section 3 of the proposes to define certain terms in the is also not a Board committee, but rather current Bylaws. Particularly, Article current Bylaws in places other than is composed of Member Representative Eleventh provides that confidential Section 1.1, so as to match the CBOE members).11 Additionally, pursuant to information pertaining to the self- Bylaws (e.g., the definition of ‘‘Industry Article III, Section 3(b) of the current regulatory function of the Exchange Director’’ is being relocated to Article Bylaws, the Exchange Directors are (including but not limited to III, Section 3.1 of the proposed Bylaws divided into three classes, designated as disciplinary matters, trading data, and the definition of ‘‘Record Date’’ is Class I, Class II and Class III. Directors trading practices and audit information) being relocated to Article II, Section 2.7 contained in the books and records of of the proposed Bylaws).7 in making those same determinations. The the Exchange shall: (i) Not be made definition of ‘‘Record Date’’ in Article I, available to any persons other than to 6 See Proposed EDGX Rules, Rule 8.6. The subparagraph (z) of the current Bylaws means a date Exchange notes that the definition of a Member at least thirty-five (35) days before the date of the those officers, directors, employees and annual meeting of stockholders, whereas Article II, agents of the Exchange that have a Representative member is being revised to eliminate the reference to a Stockholder Exchange Member. Section 2.7 of the proposed Bylaws provides that reasonable need to know the contents Currently, a Stockholder Exchange Member means the Record Date shall be at least 10 days before the thereof; (ii) be retained in confidence by an Exchange Member that also maintains, directly date of the annual meeting of stockholders and not the Exchange and the officers, directors, or indirectly, an ownership interest in the more than 60 days before the annual meeting. 8 See Article Second of the current and proposed employees and agents of the Exchange; Company. The exchange notes that the sole stockholder of EDGX is Direct Edge LLC, which is Certificates. and (iii) not be used for any commercial a wholly owned subsidiary of CBOE Holdings and 9 See Current Bylaws, Article III, Section 4 purposes. Additionally, Article Eleventh is not an Exchange member, and as such, the (‘‘Nomination and Election’’) and Article VI, of the proposed Certificate further concept of a Stockholder Exchange Member need Section 2 (‘‘Nominating Committee’’). provides that nothing in Article not be referenced. 10 See Current Bylaws, Article I, (s), which 7 The Exchange notes a few differences between defines a ‘‘Member Representative Director’’. A Eleventh shall be interpreted as to limit the definitions of Industry Director and Record Date Member Representative Director must be an officer, or impede the rights of the Commission in the current Bylaws and the proposed Bylaws. director, employee, or agent of an Exchange to access and examine such confidential Specifically, the definition of ‘‘Industry Director’’ in Member that is not a Stockholder Exchange information pursuant to the federal Article I, subparagraph (o) of the current Bylaws Member. contains references to specific percentages in order 11 See Current Bylaws Article I, subparagraph (t) securities laws and the rules and to determine whether a Director qualifies as an (‘‘Member Representative member’’). See also, Industry Director, whereas the definition of Article III, Section 4 (‘‘Nomination and Election’’) 5 See Article IX, Section 1 of the current Bylaws ‘‘Industry Director’’ in Article III, Section 3.1, of the and Article VI, Section 3 (‘‘Member Nominating and Article IX, Section 9.1 of the proposed Bylaws. proposed Bylaws uses the term ‘‘material portion’’ Committee’’) of the current Bylaws.

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other than the Chief Executive Officer of Record Date, the Secretary shall include the Advisory Board.15 The Nominating the Exchange (‘‘CEO’’) serve staggered such additional nominees, along with and Governance Committee shall be three-year terms. The Exchange the initial nominees nominated by the bound to accept and nominate the proposes to adopt a nomination and Member Nominating Committee, on a Representative Director nominees election process identical to CBOE and list of nominees (the ‘‘List of recommended by the Nominating Body C2 as set forth in Article III of the Candidates’’) that is sent to all Exchange or, in the event of a petition candidate, proposed Bylaws. As such, the tiered Members, accompanied by a notice the Representative Director nominees class system will be eliminated, regarding the time and date of an who receive the most votes pursuant to Directors will serve one-year terms election to be held at least twenty (20) a Run-off Election. Any person ending on the annual meeting following days prior to the annual or special nominated by the Nominating Body and the meeting at which Directors were stockholders’ meeting. Each Exchange any petition candidate must satisfy the elected or at such time as their Member has the right to cast one (1) vote compositional requirements determined successors are elected or appointed and for each available Member by the Board, pursuant to a resolution the newly established Nominating and Representative Director nomination (the adopted by the Board, designating the Governance Committee will be vote must be cast for a person on the number of Representative Directors that responsible for nominating each List of Candidates and no Exchange are Non-Industry Directors and Industry Director.12 Member, together with its affiliates, may Directors (if any). Not earlier than account for more than twenty percent December 1 and not later than January Nomination and Election of (20%) of the votes cast for a candidate). 15th (or the first business day thereafter Representative Directors The persons on the List of Candidates if January 15th is not a business day), Currently, pursuant to Article III, who receive the most votes shall be the Nominating Body shall issue a Section 4(b) of the current Bylaws, for selected as the nominees for the circular to Exchange Members Member Representative Directors, the Member Representative Director identifying the Representative Director Member Nominating Committee positions. nominees. As is the case under the consults with the Nominating For purposes of harmonizing the current Bylaws, Exchange Members may Committee, the Chairman of the Board governance structure and process across nominate alternative candidates for and the CEO, and also solicits all of CBOE Holdings’ U.S. securities election to the Representative Director comments from Exchange Members for exchanges, the Exchange proposes to positions to be elected in a given year purposes of approving and submitting eliminate the Nominating Committee by submitting a petition signed by the names of candidates for election as and Member Nominating Committee individuals representing not less than a Member Representative Director. The and adopt a nomination and election ten percent (10%) of the Exchange initial nominees for Member process substantially similar to CBOE Members at that time. Petitions must be Representative Directors must be and C2 for Member Representative filed with the Secretary no later than reported to the Nominating Committee Directors (to be renamed 5:00 p.m. (Chicago time) on the 10th and Secretary no later than sixty (60) ‘‘Representative Directors’’).14 The business day following the issuance of days prior to the annual or special Exchange notes that unlike the current the circular to the Exchange Members stockholders’ meeting, at which point Bylaws, the proposed Bylaws will not identifying the Representative Director the Secretary will promptly notify require Representative Directors to be an nominees (the ‘‘Petition Deadline’’). The Exchange Members. Exchange Members officer, director, employee, or agent of names of all Representative Director may then identify other candidates by an Exchange Member that is not a nominees recommended by the delivering to the Secretary, at least Stockholder Exchange Member, as Nominating Body and those selected thirty-five (35) days before the annual or neither CBOE nor C2 maintain such a pursuant to a valid and timely petition special stockholders’ meeting, a written requirement. The new process will shall, immediately following their petition, identifying the alternative provide that the ‘‘Representative selection, be given to the Secretary who candidate and signed by Executive Director Nominating Body’’ shall be shall promptly issue a circular to all of Representatives 13 of 10% or more of responsible for nominating the Exchange Members identifying all Exchange Members. No Exchange Representative Directors. The such Representative Director Member, together with its affiliates, may Representative Director Nominating candidates. account for more than fifty percent Body (‘‘Nominating Body’’) is either (i) If one or more valid petitions are (50%) of the signatures endorsing a the Industry-Director Subcommittee of received, the Secretary shall issue a particular candidate. If no valid the Nominating and Governance circular to all of the Exchange Members petitions from Exchange Members are Committee if there are at least two (2) identifying those individuals nominated received by the Record Date, the initial Industry Directors on the Nominating for Representative Director by the nominees approved and submitted by and Governance Committee, or (ii) if the Nominating Body and those individuals the Member Nominating Committee Nominating and Governance Committee nominated for Representative Director shall be nominated as Member has less than two (2) Industry Directors, through the petition process, as well as Representative Directors by the then the Nominating Body shall mean of the time and date of a run-off election Nominating Committee. If one or more the Exchange Member Subcommittee of to determine which individuals will be valid petitions are received by the nominated as Representative Director(s) 14 Article III, Section 3.1. of the proposed Bylaws by the Nominating and Governance 12 See Article III, Section 3.1 and Article IV, requires that at all times, at least 20% of Directors Committee (the ‘‘Run-off Election’’). The Section 4.3 of the proposed Bylaws. serving on the Board shall be Representative Run-off Election will be held not more 13 The term ‘‘Executive Representative’’ as Directors, which is the same percentage required than forty-five (45) days after the defined in the current Bylaws, Article I, means the under the current Bylaws (see Article III, Section person identified to the Company by an Exchange 2(b)(ii) of the current Bylaws). Article III, Section Petition Deadline. In any Run-off Member as the individual authorized to represent, 3.2 of the proposed Bylaws further clarifies that if vote, and act on behalf of the Exchange Member. 20% of the Directors then serving on the Board is 15 The Exchange notes that if there are less than An Executive Representative of an Exchange not a whole number, the number of required two (2) Industry Directors on the Nominating and Member or a substitute shall be a member of senior Representative Directors shall be rounded up to the Governance Committee, it would institute an management of the Exchange Member. next whole number. Advisory Board, if not already established.

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Election, each Exchange Member shall 3.5 of the proposed Bylaws, which is following the date when the Board have one (1) vote for each substantially similar to Article III, determines the Director is unqualified. Representative Director position to be Section 3.5 of the CBOE Bylaws, will Further, the Board shall be the sole filled that year; provided, however, that provide that a vacancy on the Board judge of whether the Director has no Exchange Member, either alone or may be filled by a vote of majority of the requalified. If a Director is determined together with its affiliates, may account Directors then in office, or by the sole to have requalified, the Board, in its sole for more than twenty percent (20%) of remaining Director, so long as the discretion, may fill an existing vacancy 16 the votes cast for a candidate. The elected Director qualifies for the in the Board or may increase the size of Secretary shall issue a circular to all of position. Additionally, for vacancies of the Board, as necessary, to appoint such Representative Directors, the the Exchange Members setting forth the Director to the Board; provided, results of the Run-off Election. The Nominating Body will recommend an however, that the Board shall be under number of individual Representative individual to be elected, or provide a Director nominees equal to the number list of recommended individuals, and no obligation to return such Director to of Representative Director positions to the position shall be filled by the vote the Board. Similar to the current be filled that year receiving the largest of a majority of the Directors then in Bylaws, Section 3.4 of the proposed number of votes in the Run-off Election office. Under the proposed Bylaws, Bylaws provides that Representative will be the persons approved by the Directors elected to fill a vacancy will Directors may only be removed for Exchange Members to be nominated as serve until the next annual meeting of cause. In addition to specifying that the Representative Director(s) by the stockholders. cause includes being subject to a Nominating and Governance Committee Statutory Disqualification, the proposed Removals and Resignation for that year. The Exchange believes Bylaws further lists additional examples that, under the proposed Board Article III, Section 7 of the current of cause in Section 3.4 (e.g., breach of structure, the Representative Directors Bylaws provides that any Director may a Representative Director’s duty of serve the same function as the Member be removed with or without cause by a loyalty to the Exchange or its Representative Directors in that both majority vote of stockholders and may stockholders and transactions from directorships give Exchange members a be removed by the Board, provided which a Representative Director derived voice in the Exchange’s use of self- however, that any Member an improper personal benefit). Lastly, Representative Director may only be regulatory authority. the Exchange notes that under the removed for cause, which includes such proposed Bylaws, resignation must be Vacancies Director being subject to a Statutory written and must be given to either the Article III, Section 6 of the current Disqualification. Additionally, a Chairman of the Board or the Secretary. Bylaws provides that during a vacancy Director shall be immediately removed of any Director other than a Member upon a determination by the Board, by Board Composition Representative Director, the Nominating a majority vote of remaining Directors Committee shall nominate an individual that (a) the Director no longer satisfies Pursuant to Article III, Section 2 of Director and the stockholders of EDGX the classification for which the Director the current Bylaws, the Board must shall elect the new Director.17 In the was elected and (b) the Director’s consist of four (4) or more Directors, and event of a vacancy of a Member continued service would violate the consist at all times of one (1) Director Representative Director, the Member compositional requirements of the who is the CEO and a sufficient number Nominating Committee shall either (i) Board. Article III, Section 7 of the of Industry, Non-Industry and Member recommend an individual to the current Bylaws also provides that any Representative Directors to ensure that stockholders to be elected to fill such Director may resign at any time upon the number of Non-Industry Directors, vacancy or (ii) provide a list of notice of resignation to the Chairman of including at least on Independent recommended individuals to the the Board, the President or Secretary. Director, shall equal or exceed the sum Resignation shall take effect at the time stockholders from which the of Industry and Member Representative specified, or if no time is specified, stockholders shall elect the individual Directors. Additionally, the number of to fill such vacancy. The current Bylaws upon receipt of the notice. Under Article III, Section 3.4 of the Member Representative Directors must provide that Directors elected to fill a be at least twenty (20) percent of the vacancy are to hold office until the proposed Bylaws, which is the same as Article III, Section 3.4, of the CBOE Board. The Exchange proposes to expiration of the remaining term. replace the Board composition and The Exchange proposes to adopt the Bylaws, a Director who fails to maintain same process to fill vacancies as CBOE the applicable Industry or Non-Industry structure with that of CBOE and C2. As and C2. Specifically, Article III, Section qualifications required under the is the case with CBOE and C2, pursuant proposed Bylaws, of which the Board to Article III, Section 3.1, of the 16 Article III, Section 3.2 of the CBOE Bylaws shall be the sole judge, will cease being proposed Bylaws, the Board must provides that in any Run-off Election, a holder of a Director. The Exchange notes that consist of at least five (5) directors a Trading Permit shall have one vote with respect while the current Bylaws do not address (which is the minimum number of to each Trading Permit held by such Trading Permit the requalification of a Director, Section Holder for each Representative Director position to Directors required for the Nominating be filled. The Exchange notes that because no 3.4 of the proposed Bylaws permits a and Governance Committee), instead of ‘‘Trading Permits’’ or similar concept exist on the Director that fails to maintain the 4 as required by the current Bylaws. Exchange, it is deviating from this practice and applicable qualifications to requalify Additionally, the following would apply providing instead that each Exchange Member shall within the later of forty-five (45) days have one (1) vote for each Representative Director to the new Board structure: from the date when the Board position to be filled, which the Exchange does not • The number of Non-Industry believe is a significant change. The Exchange also determines the Director is unqualified notes that other Exchanges have similar practices. or until the next regular Board meeting Directors, Industry Directors and the See e.g., Amended and Restated By-Laws of Miami following the date when the Board number of Representative Directors that International Securities Exchange, LLC, Article II, are Non-Industry Directors and Industry Section 2.4(f). makes such determination. The Director 17 The sole stockholder of EDGX is Direct Edge shall be deemed not to hold office (i.e., Directors (if any) will be determined by LLC, a wholly owned subsidiary of CBOE Holdings. the Director’s seat is considered vacant)

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the Board pursuant to resolution held at such place and time as Quorum and Vote Required for Action adopted by the Board.18 determined by the Board. The Exchange at a Stockholder Meeting • The proposed Bylaws provide that notes that Article II, Section 2.2 of the Article IV, Section 4 of the current the number of Non-Industry Directors proposed Bylaws is being amended to Bylaws provides, among other things, cannot be less than the number of conform to Article II, Section 2.2 of the that the holders of a majority of the Industry Directors, whereas the current CBOE Bylaws, which provides as a capital stock issued and outstanding Bylaws, as noted above, provide that the default that if required by applicable and entitled to vote, present in person number of Non-Industry Directors, law, an annual meeting of stockholders or represented by proxy, shall constitute including at least on Independent shall be held on the third Tuesday in a quorum at all meetings of the Director, shall equal or exceed the sum May of each year or such other date as stockholders. The provision also of Industry and Member Representative may be fixed by the Board, at such time provides that if there is no quorum at Directors.19 Unlike the current Bylaws, as may be designated by the Secretary any meeting of the stockholders, the the proposed Bylaws provide that the prior to the giving of notice of the stockholders, present in person or CEO is excluded from the calculation of meeting. Section 2.2 of the proposed represented by proxy, shall have power Industry Directors, as is the practice to adjourn the meeting until a quorum 20 Bylaws also provides that in no event under CBOE Bylaws. Additionally, the is present or represented. Additionally, Exchange notes that the CBOE Bylaws shall the annual meeting be held prior to the completion of the process for the if an adjournment of a meeting of the do not contain the term or concept of stockholders is for more than thirty (30) ‘‘Independent Directors’’ and in order to nomination of Representative Directors. The proposed Bylaws also provide in days, or if after the adjournment a new conform the proposed Bylaws to the record date is fixed for the adjourned CBOE Bylaws, the proposed Bylaws also Article II, Section 2.1 that in addition to the Board, the Chairman (or CEO if there meeting, a notice of the adjourned do not reference ‘‘Independent meeting shall be given to each Directors’’ with respect to composition. is no Chairman) may designate the • location of the annual meeting. The stockholder of record entitled to vote at The Board or the Nominating and the meeting. Additionally, Article IV, Exchange notes that it is not including Governance Committee will make all Section 4 provides that when a quorum the information contained in Article IV, materiality determinations regarding is present at any meeting, the vote of the who qualifies as an Industry Director Section 3 of the current Bylaws. 21 holders of a majority of the capital stock and Non-Industry Director. Specifically, Section 3 provides that the having voting power present in person • Unlike the current Bylaws which Secretary of the Exchange (or designee), or represented by proxy shall decide provide that the CEO shall be the shall prepare at least ten (10) days any question brought before such Chairman of the Board,22 the proposed before every meeting of stockholders, a meeting, unless the question is one Bylaws, provide that the Chairman will complete list of stockholder entitled to upon which by express provision of be appointed by the Board and further vote at the meeting. The Exchange does statute or of the Certificate of provides that the Board may designate not believe this provision is necessary Incorporation, a different vote is an Acting Chairman in the event the given that EDGX’s sole stockholder is required, in which case such express Chairman is absent or fails to act.23 • Direct Edge LLC, a wholly owned provision shall govern and control the Unlike the current Bylaws which subsidiary of CBOE Holdings (and also provide that a Lead Director must be decision of such question. notes that neither CBOE nor C2 follow The Exchange proposes to adopt designated by the Board among the this practice). Article II, Sections 2.5 and 2.6 of the Board’s Independent Directors,24 the proposed Bylaws which are the same as proposed Bylaws provide that the Board Special Meetings of the Stockholders Article II, Sections 2.5 and 2.6 of the may, but does not have to, appoint a CBOE Bylaws and similar to Article IV, Lead Director, who if appointed, must Article IV, Section 2 of the current Section 4 of the current Bylaws. The be a Non-Industry Director, which is the Bylaws provides that special meetings Exchange notes that unlike the current same practice under CBOE’s Bylaws.25 of the stockholders may be called by the • The number of Representative Chairman, the Board or the President, Bylaws, Article II, Section 2.5 of the Directors must be at least twenty (20) and shall be called by the Secretary at proposed Bylaws and CBOE Bylaws do percent of the Board,26 which is the the request in writing of stockholders not require notice of an adjourned same requirement under the current owning not less than a majority of the meeting to be given to each stockholder of record entitled to vote at the meeting Bylaws as noted above. then issued and outstanding capital if an adjournment is for more than thirty stock of the Exchange entitled to vote. Meetings (30) days, or if after the adjournment a In order to streamline the rules under Annual Meeting of the Stockholders new record date is fixed for the which special meetings can be called, adjourned meeting. The Exchange does Article IV, Section 1 of the current the Exchange proposes to adopt the not believe this requirement is Bylaws provides that the annual same special meeting provision as necessary given that EDGX’s sole meeting of the stockholders shall be Article II, Section 2.3 of the CBOE stockholder is Direct Edge LLC, a Bylaws. Particularly, under Article II, wholly owned subsidiary of CBOE 18 See Proposed Bylaws and CBOE Bylaws, Section 2.3 of the proposed Bylaws, Holdings. Additionally, in order to Article III, Section 3.1. special meetings of stockholders may 19 conform Article II, Section 2.6 of the See Current Bylaws, Article III, Section 2. only be called by the Chairman or by a 20 Id. proposed Bylaws to the CBOE Bylaws, 21 Id. majority of the Board. The CBOE Bylaws the Exchange also proposes to explicitly 22 See Current Bylaws, Article III, Section 5. do not include the ability of provide that a plurality of votes 23 See Proposed Bylaws and CBOE Bylaws, stockholders to request a special properly cast shall elect the directors, Article III, Sections 3.6 and 3.8. meeting. The Exchange does not believe notwithstanding the language in Article 24 See Current Bylaws, Article III, Section 5. this provision is necessary given that II, 2.6 that provides that when a quorum 25 See Proposed Bylaws and CBOE Bylaws, Article III, Section 3.7. EDGX’s sole stockholder is Direct Edge is present, a majority of the votes 26 See Proposed Bylaws and CBOE Bylaws, LLC, a wholly owned subsidiary of properly cast will decide any question Article III, Section 3.2. CBOE Holdings. brought before a meeting unless a

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different vote is required by express may establish an Executive Committee Compensation Committee recommends provision of statute or the Certificate of and a Finance Committee.28 The the compensation of executive officers Incorporation. Exchange proposes to modify the whose compensation is not already committees of the Board to eliminate the determined by the CBOE Holdings Regular Meetings of the Board Audit Committee, Appeals Committee, Compensation Committee, its activities Article III, Sections 8 and 9 of the and Compensation Committee, as well are duplicative of the activities of the current Bylaws provide that, with or as eliminate the provision relating to a CBOE Holdings Compensation without notice, a resolution adopted by Finance Committee. Additionally, the Committee. Indeed, the Exchange notes the Board determines the time and place Exchange proposes to require a that currently the EDGX Compensation of the regular meeting and that if no mandatory Executive Committee and Committee only fixes the compensation designation as to place is made, then the Nominating and Governance amount of the EDGX CEO. The meeting will be held at the principal Committee, as well as make several Exchange notes that currently the business office of the Exchange. Article amendments to the Regulatory Exchange’s CEO is the CEO (i.e., an III, Section 3.10 of the proposed Bylaws, Oversight Committee provision. The executive officer) of CBOE Holdings, which is the same as Article III, Section Exchange notes that CBOE and C2 have and as such, the CBOE Holdings 3.10 of the CBOE Bylaws, provides that eliminated their Audit and Compensation Committee already regular meetings shall be held at such Compensation Committees and do not performs this function. To the extent time and place as is determined by the maintain an Appeals Committee at the that compensation need be determined Chairman with notice provided to the Board level. As previously noted, CBOE for any EDGX officer who is not also a full Board. and C2 do maintain a Board-level CBOE Holdings officer in the future, the Board or senior management will Special Meetings of the Board Nominating and Governance Committee, which performs the perform such action without the use of Article III, Section 10 of the current functions of EDGX’s current Nominating a compensation committee, as provided Bylaws provides that special meetings and Member Nominating Committees, for in Article V, Section 5.11 of the of the Board may be called on a which the Exchange proposes to proposed Bylaws (which is identical to minimum of two (2) days’ notice to each eliminate. Article V, Section 5.11 of the CBOE Director by the Chairman or the Bylaws). Thus, the responsibilities of President and shall be called by the Elimination of Compensation the EDGX Compensation Committee are Secretary upon written request of three Committee duplicated by the responsibilities of the (3) Directors. Article III, Section 3.11 of The Exchange seeks to eliminate the CBOE Holdings Compensation the proposed Bylaws, which is the same Compensation Committee because it Committee. The Exchange believes that as Article III, Section 3.11 of the CBOE believes that the Compensation its proposal to eliminate its Bylaws, however, provides that special Committee’s functions are duplicative of Compensation Committee is meetings of the Board may be called by the functions of the Compensation substantially similar to prior actions the Chairman and shall be called by the Committee of its parent company, CBOE taken by other securities exchanges with Secretary upon written request of any Holdings. Specifically, under its parent company compensation four (4) directors. Additionally, under committee charter, the CBOE Holdings committees to eliminate their exchange- the proposed Bylaws, the Secretary shall Compensation Committee has authority level compensation committees, give at least twenty-four (24) hours’ to assist the CBOE Holdings Board of including CBOE and C2.30 notice of such meeting. Directors in carrying out its overall Elimination of Audit Committee responsibilities relating to executive Board Quorum compensation and also, among other The Exchange also proposes to Article III, Section 12 of the current things, (i) recommending the eliminate its Audit Committee because Bylaws provides that a majority of the compensation of the CBOE Holdings’ its functions are duplicative of the number of Directors then in office shall CEO and certain other executive officers functions of the Audit Committee of its constitute a quorum, whereas Article III, and (ii) approving and administering all parent company, CBOE Holdings. Under Section 3.9 of the proposed Bylaws, cash and equity-based incentive its committee charter, the CBOE which is the same as Article III, Section compensation plans of CBOE Holdings Holdings Audit Committee has broad 3.9 of the CBOE Bylaws, provides that that affect employees of the CBOE authority to assist the CBOE Holdings two-thirds of the Directors then in office Holdings and its subsidiaries. Similarly, Board in fulfilling its oversight shall constitute a quorum. Increasing under its committee charter, the EDGX responsibilities in assessing controls the quorum requirement from a majority Compensation Committee has authority that mitigate the regulatory and to two-thirds will ensure that more to fix the compensation of EDGX’s CEO operational risks associated with Directors are present at meetings of the and to consider and recommend operating the Exchange and assist the CBOE Holdings Board of Directors in Board in order to transact business for compensation policies, programs, and discharging its responsibilities relating the Exchange. practices to the EDGX CEO in to, among other things, (i) the connection with the EDGX CEO’s fixing Committees of the Board qualifications, engagement, and of the salaries of other officers and oversight of CBOE Holdings’ The current bylaws provide for the agents of the Exchange.29 As such, other independent auditor, (ii) CBOE following standing committees of the than to the extent that the EDGX Board: A Compensation Committee, an 30 See e.g., Securities Exchange Act Release No. Audit Committee, a Regulatory 28 See Current Bylaws, Article V, Sections 6(e) 80523 (April 25, 2017), 82 FR 20399 (May 1, 2017) Oversight Committee, and an Appeals and (f), respectively. (SR–CBOE–2017–017) and Securities Exchange Act Committee, each to be comprised of at 29 The Exchange notes that the Regulatory Release No. 80522 (April 25, 2017), 82 FR 20409 least three (3) members.27 The current Oversight Committee (‘‘ROC’’) of the EDGX Board (May 1, 2017) (SR–C2–2017–009). See also recommends to the Board compensation for the Securities Exchange Act Release No. 60276 (July 9, Bylaws also provide that the Exchange Chief Regulatory Officer. The Exchange also notes 2009), 74 FR 34840 (July 17, 2009) (SR–NASDAQ– that currently not all executive officers of EDGX are 2009–042) and Securities Exchange Act Release No. 27 See Current Bylaws, Article V, Section 1 and required to have their compensation determined by 62304 (June 16, 2010), 75 FR 36136 (June 24, 2010) Section 2(a). the Compensation Committee. (SR–NYSEArca-2010–31).

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Holdings’ financial statements and to prior actions by other securities Elimination of Finance Committee disclosure matters, (iii) CBOE Holdings’ exchanges with parent company audit Pursuant to Article V, Section 6(f) of internal audit function and internal committees to eliminate their exchange- the current Bylaws, the Chairman, with controls, and (iv) CBOE Holdings’ level audit committees, including CBOE the approval of the Board, may appoint oversight and risk management, and C2.32 a Finance Committee. The Finance including compliance with legal and Committee shall advise the Board with Elimination of Appeals Committee regulatory requirements. Because CBOE respect to the oversight of the financial Holdings’ financial statements are The Exchange next proposes to operations and conditions of the prepared on a consolidated basis that Exchange, including recommendations includes the financial results of CBOE eliminate the Appeals Committee. Pursuant to Article V, Section 6(d) of for the Exchange’s annual operating and Holdings’ subsidiaries, including EDGX, capital budgets. The Exchange notes the CBOE Holdings Audit Committee’s the current Bylaws, the Chairman, with the approval of the Board, shall appoint that it does not currently have a Finance purview necessarily includes EDGX. Committee and that, similarly, CBOE an Appeals Committee. The Appeals The Exchange notes that unconsolidated and C2 do not have an exchange-level Committee shall consist of one (1) financial statements of the Exchange Finance Committee. As the Exchange will still be prepared for each fiscal year Independent Director, one (1) Industry currently does not maintain, and has no in accordance with the requirements set Director, and one (1) Member current intention of establishing, an forth in its application for registration as Representative Director and presides exchange-level Finance Committee, it a national securities exchange. The over all appeals related to disciplinary does not believe it is necessary to CBOE Holdings Audit Committee is and adverse action determinations in maintain this provision. The Exchange composed of at least three (3) CBOE accordance with the Rules. The notes that should it desire to establish Holdings directors, all of whom must be Exchange notes that neither CBOE nor a Finance Committee in the future, it independent within the meaning given C2 maintain a Board-level Appeals still maintains the authority to do so to that term in the CBOE Holdings Committee. Rather, CBOE and C2 under Article IV, Section 4.1 of the Bylaws and Corporate Governance currently maintain an Exchange-level proposed Bylaws. Guidelines and Rule 10A–3 under the Appeals Committee.33 The Exchange 31 Changes to the Regulatory Oversight Act. All CBOE Holdings Audit notes that although it is proposing to Committee Committee members must be financially eliminate the Appeals Committee as a literate (or become financially literate specified Board-level committee at this Article V, Section 6(c) of the current within a reasonable period of time after time, the Exchange will still have the Bylaws relates to the Regulatory appointment to the Committee), and at ability to appoint either a Board-level or Oversight Committee (‘‘ROC’’), which least one (1) member of the Committee oversees the adequacy and effectiveness must be an ‘‘audit committee financial exchange-level Appeals Committee pursuant to its powers under Article IV, of the Exchange’s regulatory and self- expert’’ as defined by the Securities and regulatory organization responsibilities. Exchange Commission (‘‘SEC’’). By Section 4.1 of the proposed Bylaws. Although, CBOE and C2 have a standing The Exchange proposes to adopt Article contrast, the EDGX Audit Committee IV, Section 4.4, which amends the ROC exchange-level Appeals Committee, the has a more limited role, focused on provision to conform to Article IV, Exchange prefers not to have to EDGX. Under its charter, the primary Section 4.4 of the CBOE Bylaws.35 First, maintain and staff a standing Appeals functions of the EDGX Audit Committee the Exchange also proposes to specify Committee, but rather provide its Board are focused on (i) EDGX’s financial that the ROC shall consist of at least statements and disclosure matters and the flexibility to determine whether to three (3) directors, all of whom are Non- (ii) EDGX’s oversight and risk establish a Board-level or exchange- Industry Directors who are appointed by management, including compliance level Appeals Committee, as needed or the Board on the recommendation of the with legal and regulatory requirements, desired. The Exchange also notes that Non-Industry Directors serving on the in each case, only to the extent required other Exchanges similarly do not require Nominating and Governance Committee in connection with EDGX’s discharge of standing Appeals Committees.34 The (including the designation of the its obligations as a self-regulatory elimination of the requirement in the Chairman of the ROC). While the organization. However, to the extent bylaws to maintain a standing Appeals current Bylaws also require all ROC that the EDGX Audit Committee reviews Committee would provide consistency members to be Non-Industry Directors, financial statements and disclosure among the Bylaws for all of CBOE it does not specify a minimum number matters, its activities are duplicative of Holdings’ U.S. securities exchanges, of directors. The current Bylaws also the activities of the CBOE Holdings while still providing the Board the provide that the Chairman of the Board Audit Committee, which is also charged authority to appoint an Appeals (instead of a Nominating and with review of financial statements and Committee in the future as needed. Governance Committee), with approval disclosure matters. Similarly, the CBOE of the Board, appoints the ROC Holdings Audit Committee has general 32 members. responsibility for oversight and risk See, e.g., Securities Exchange Act Release No. 64127 (March 25, 2011), 76 FR 17974 (March 31, Next, while the current Bylaws management, including compliance 2011) (SR–CBOE–2011–010) and Securities explicitly delineate some of the ROC’s with legal and regulatory requirements, Exchange Act Release No. 64128 (March 25, 2011), 76 FR 17973 (March 31, 2011) (SR–C2–2011–003). responsibilities, the Exchange proposes for CBOE Holdings and all of its to provide more broadly that the ROC subsidiaries, including EDGX. Thus, the See also, Securities Exchange Act Release No. 60276 (July 9, 2009), 74 FR 34840 (July 17, 2009) shall have the duties and may exercise responsibilities of the EDGX Audit (SR–NASDAQ–2009–042). such authority as may be prescribed by Committee are fully duplicated by the 33 See e.g., CBOE Rule 2.1 and C2 Chapter 19, resolution of the Board, the Bylaws or responsibilities of the CBOE Holdings which incorporates by reference CBOE Chapter XIX the Rules of the Exchange. Particularly, Audit Committee. The Exchange (Hearings and Review), which references the believes that its proposal to eliminate its Appeals Committee. 34 For example, neither the Bylaws nor Rules of 35 The Exchange does not intend at this time to Audit Committee is substantially similar BOX Options Exchange, LLC mandate an Appeals rename the ROC the ‘‘Regulatory Oversight and Committee. See Bylaws of Box Options Exchange Compliance Committee’’ (‘‘ROCC’’), which is the 31 17 CFR 240.10A–3. LLC and Rules of Box Options Exchange, LLC. name of the equivalent committee of CBOE and C2.

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Article V, Section 6(c) of the current Exchange maintain an Executive Elimination of Nominating and Member Bylaws provide that the ROC shall Committee and delineates its Nominating Committees and Creation of oversee the adequacy and effectiveness composition and functions in Article IV, Nominating and Governance Committee of the Exchange’s regulatory and self- Section 4.2 of the proposed Bylaws. The Exchange also proposes to regulatory organization responsibilities, Similar to the current Bylaw provisions eliminate the current Nominating and assess the Exchange’s regulatory relating to the Executive Committee, the Member Nominating Committees, and to performance, assist the Board and Board proposed Executive Committee shall prescribe that their duties be performed committees in reviewing the regulatory have and may exercise all the powers by the new Nominating and Governance plan and the overall effectiveness of and authority of the Board in the Committee of the Board (as discussed Exchange’s regulatory functions and, in management of the business and affairs below). The Nominating Committee is a consultation with the CEO, establish the of the Exchange. Unlike the current non-Board committee and is elected on goals, assess the performance, and fix Executive Committee provisions, an annual basis by vote of the the compensation of the Chief however, the proposed Executive Exchange’s sole stockholder, Direct Regulatory Officer (‘‘CRO’’). The Committee shall not have the power and Edge LLC.39 The Nominating Committee Exchange notes that the ROC will authority of the Board to (i) approve or is primarily charged with nominating continue to have the foregoing duties adopt or recommend to the stockholders candidates for election to the Board at and authority, with the exception that any action or matter (other than the the annual stockholder meeting and all the ROC will no longer consult the CEO election or removal of Directors) other vacant or new Director positions with respect to establishing the goals, expressly required by Delaware law to on the Board and ensuring, in making assessing the performance and fixing be submitted to stockholders for such nominations, that candidates meet compensation of the CRO. The proposed approval, including without limitation, the compositional requirements set forth change to eliminate the CEO’s amending the certificate of in the bylaws. The Member Nominating involvement in establishing the goals, incorporation, adopting an agreement of Committee is also a non-Board assessing the performance and fixing merger or consolidation, approving a committee and elected on an annual compensation of the CRO is consistent sale, lease or exchange of all or basis by vote of the Exchange’s sole with the Exchange’s desire to maintain substantially all of the Exchange’s stockholder, Direct Edge LLC.40 Each the independence of the regulatory property and assets, or approval of a Member Nominating Committee functions of the Exchange. The dissolution of the Exchange or member must be a Member Exchange notes that each of the revocation of a dissolution, or (ii) adopt, Representative member (i.e., an officer, abovementioned proposed changes alter, amend or repeal any bylaw of the director, employee or agent of an provide for the same language and Exchange. Additionally, Section 4.2 of Exchange Member that is not a appointment process used by CBOE and the proposed Bylaws provides that the Stockholder Exchange Member).41 The C2 with respect to the ROC, which Executive Committee shall consist of the Member Nominating Committee is provides consistency among the CBOE Chairman, the CEO (if a Director), the primarily charged with nominating Holdings U.S. securities exchanges.36 Lead Director, if any, at least one (1) candidates for each Member Representative Director and such other Representative Director position on the Creation of a Mandatory Executive number of Directors that the Board Committee Board. deems appropriate, provided that in no The Exchange proposes to adopt a Article V, Section 6(e) of the current event shall the number of Non-Industry Nominating and Governance Committee Bylaws provides that the Chairman, Directors constitute less than the which would have the same with approval of the Board, may appoint number of Industry Directors serving on responsibilities currently delegated to an Executive Committee, which shall, to the Executive Committee (excluding the the CBOE and C2 Nominating and the fullest extent permitted by Delaware CEO from the calculation of Industry Governance Committees. Specifically, and other applicable law, have and be Directors for this purpose). The the Exchange proposes to adopt Article permitted to exercise all the powers and Directors (other than the Chairman, CEO IV, Section 4.3, which is the same as authority of the Board in the and Lead Director, if any) serving on the Article IV, Section 4.3 of the CBOE management of the business and affairs Executive Committee shall be appointed Bylaws, which would provide that the of the Exchange between meetings of the by the Board on the recommendation of Nominating and Governance Committee Board.37 The current Bylaws provide the Nominating and Governance shall consist of at least five (5) directors that the number of Non-Industry Committee of the Board. Directors and shall at all times have a majority of Directors on the Executive Committee serving on the Executive Committee Non-Industry Directors. Members of the shall equal or exceed the number of may be removed by the Board in committee would be recommended by Industry Directors on the Executive accordance with the bylaws. The the Nominating and Governance Committee. In addition, the percentage Chairman of the Board shall be the Committee for approval by the Board of Independent Directors on the Chairman of the Executive Committee. and shall not be subject to removal Executive Committee shall be at least as Each member of the Executive except by the Board. The Chairman of great as the percentage of Independent Committee shall be a voting member the Nominating and Governance Directors on the whole Board, and the and shall serve for a term of one (1) year Committee shall be recommended by percentage of Member Representative expiring at the first regular meeting of the Nominating and Governance Directors on the Executive Committee Directors following the annual meeting shall be at least as great as the of stockholders each year or until their 39 See Article VI, Sections 1 and 2. A Nominating percentage of Member Representative successors are appointed. The Exchange Committee member may simultaneously serve on Directors on the whole Board. notes that CBOE and C2 have an the Nominating Committee and the Board, unless Under the proposed Bylaws, the Executive Committee and that the the Nominating Committee is nominating Director proposed composition requirements and candidates for the Director’s class. The number of Exchange proposes to require that the Non-Industry members on the Nominating functions are the same as CBOE and Committee shall equal or exceed the number of 38 36 See CBOE Bylaws Article IV, Section 4.4. C2. Industry members on the Nominating Committee. 37 The Exchange does not presently have an 40 See Article VI, Sections 1 and 3. Executive Committee. 38 See CBOE Bylaws, Article IV, Section 4.2. 41 See Article VI, Section 3.

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Committee for approval by the Board. authority to act on behalf of the Bylaws will be identical to the relevant The Nominating and Governance Exchange. The Exchange notes that provisions of the CBOE Bylaws.47 Committee would be primarily charged CBOE and C2 currently maintain an Compensation with the authority to nominate Advisory Board, with the same individuals for election as Directors of proposed compositional requirements Article VII, Section 4 of the current the Exchange. The Nominating and and functions.42 The Exchange also Bylaws provides that the CEO, after Governance Committee would also have notes, however, that while for CBOE consultation of the Compensation such other duties and may exercise such and C2 an Advisory Board is mandatory, Committee, shall fix the salaries of other authority as may be prescribed by an Advisory Board for the Exchange officers of the Exchange and also states resolution of the Board and the would be permissive as the Exchange that the CEO’s compensation shall be Nominating and Governance Committee desires flexibility to determine if an fixed by the Compensation Committee. charter as adopted by resolution of the Advisory Board should be established in In order to conform compensation Board. If the Nominating and the future. The Exchange notes that practices to those of CBOE and C2, the Governance Committee has two (2) or there is no statutory requirement to Exchange proposes to modify these more Industry Directors, there shall be maintain an Advisory Board or provisions to provide that in lieu of the an Industry-Director Subcommittee Advisory Committee and indeed, other CEO, the Board, unless otherwise consisting of all of the Industry Exchanges, including EDGX itself, do delegated to a committee of the Board or Directors then serving on the not require the establishment of an to members of senior management, may Nominating and Governance Advisory Board.43 fix the salaries of officers of the Committee, which shall act as the Exchange.48 Additionally, in Representative Director Nominating Officers, Agents, and Employees conjunction with the proposed change Body (as previously discussed) if and to General to eliminate the EDGX Compensation the extent required by the proposed Committee, the Exchange proposes to Bylaws. The Exchange believes that the Article VII, Section 1 of the current eliminate language providing that the duties and functions of the eliminated Bylaws provides that that an individual CEO’s compensation is fixed by the Nominating and Member Nominating may not hold office as both the Compensation Committee. President and Secretary, whereas the Committees would continue to be Chief Executive Officer and President performed and covered in the new CBOE Bylaws provide an individual corporate governance structure under may not hold office as both the CEO and Article VII, Section 6 of the current the proposed Bylaws. President and that the CEO and Bylaws pertains to the CEO. The current President may not hold office as either Bylaws provide that the CEO shall be Creation of an Advisory Board the Secretary or Assistant Secretary.44 the Chairman of the Board. CBOE and The Exchange proposes to adopt As these requirements are similar, if not C2, however, do not require that the Article VI, Section 6.1, which provides more restrictive under the CBOE CEO be Chairman of the Board. The that the Board may establish an Bylaws, the Exchange proposes to Exchange desires similar flexibility in Advisory Board which shall advise the include the same provisions in the appointing its Chairman and, therefore, Board and management regarding CBOE Bylaws Article V, Section 5.1 of this requirement is not carried over in matters of interest to Exchange the proposed Bylaws. the proposed Bylaws.49 Instead, Article Members. The Exchange believes the V, Section 5.1 of the proposed Bylaws Advisory Board could provide a vehicle Resignation and Removal provides that the CEO shall be for Exchange management to receive Article VII, Section 3 of the current appointed by an affirmative vote of the advice from the perspective of Exchange Bylaws provides that any officer may majority of the Board, and may but need not be, the Chairman of the Board. The Members and regarding matters that resign at any time upon notice of Exchange notes that to conform the impact Exchange Members. Under resignation to the Chairman and CEO, language to the CBOE Bylaws, Article V, Article VI, Section 6.1 of the proposed the President or the Secretary. The Section 5.2 of the proposed Bylaws also Bylaws, the Board would determine the Exchange proposes to amend the states that the CEO shall be the official number of members of an Advisory provision relating to officer resignations representative of the Exchange in all Board, if established, including at least to provide that any officer may resign at public matters and provides that the two members who are Exchange any time upon delivering written notice CEO shall not engage in another Members or persons associated with to the Exchange at its principal office, business during his incumbency except Exchange Members. Additionally, the or to the CEO or Secretary.45 Article VII, CEO or his or her designee would serve with approval of the Board. Section 3 of the current Bylaws also Additionally, the Exchange proposes as the Chairman of an Advisory Board provides that any officer may be and the Nominating and Governance not to carry over language in the current removed, with or without cause, by the Bylaws that provides that the CEO shall Committee would recommend the Board. The Exchange proposes to members of an Advisory Board for not participate in executive sessions of provide that, in addition to being the Board, as CBOE Bylaws do not approval by the Board. There would removed by the Board, an officer may be also be an Exchange Member contain a similar restriction. removed at any time by the CEO or Article V, Section 5.3 of the proposed Subcommittee of the Advisory Board President (provided that the CEO can consisting of all members of the Bylaws proposes to provide that the only be removed by the Board).46 Advisory Board who are Exchange President shall be the chief operating Provisions relating to resignation and Members or persons associated with officer of the Exchange. The Exchange removal of officers in the proposed Exchange Members, which shall act as notes that the current Bylaws do not the Representative Director Nominating address appointing a chief operating 42 Body if and to the extent required by the See Article VI, Section 6.1 of CBOE Bylaws. 43 For example, BOX Options Exchange, LLC does 47 proposed Bylaws. An Advisory Board See Article V, Sections 5.8 and 5.9 of the CBOE not require an advisory committee. Bylaws. would be completely advisory in nature 44 See Article V, Section 5.1 of CBOE Bylaws. 48 See Proposed Bylaws, Article V, Section 5.11. and not be vested with any Exchange 45 See Proposed Bylaws, Article V, Section 5.9. 49 The Exchange notes that currently the CEO of decision-making authority or other 46 See Proposed Bylaws, Article V, Section 5.8. EDGX is also Chairman of the Board.

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officer. Additionally, while Article VII, may be proscribed by the Board, CEO or Next, the Exchange proposes to adopt Section 7 of the current Bylaws provides President). Article VIII, Section 8.4, which provides that the President shall have all powers • While the current Bylaws contain that, except as the Board may otherwise and duties usually incident to the office separate provisions relating to an designate, the Chairman of the Board, of the President, except as specifically Assistant Secretary and an Assistant CEO, CFO or Treasurer may waive limited by a resolution of the Board, and Treasurer, the proposed Bylaws do not, notice of, and act as, or appoint any shall exercise such other powers and as CBOE Bylaws similarly do not person or persons to act as, proxy or perform such other duties as may be contain such provisions.51 attorney-in-fact for the Exchange (with assigned to the President from time to or without power of substitution) at, any Amendments time by the Board, Article V, Section 5.3 meeting of stockholders or shareholders of the proposed Bylaws further states Article IX, Section 1 of the current of any other corporation or organization, that in the event that the CEO does not Bylaws provides that the bylaws may be the securities of which may be held by act, the President shall perform the altered, amended, or repealed, or new the Exchange. The proposed provision officer duties of the CEO, which is bylaws adopted, (i) by written consent is the same as Article VIII, Section 8.4 consistent with the language in the of the stockholders of the Exchange or of the CBOE Bylaws and similar to CBOE Bylaws. (ii) at any meeting of the Board by Article XI, Section 7 of the current Other Officers resolution. The proposed Bylaws, Bylaws, which provides generally that however, eliminate the ability of the CEO has the power and authority to The Exchange notes the following stockholders to act by written consent act on behalf of the Company at any modifications relating to officer and instead provides that in order for meeting of stockholders, partners or provisions in the proposed Bylaws, the stockholders of the Exchange to equity holders of any other corporation which are intended to conform the alter, amend, repeal or adopt new or organization, the securities of which proposed Bylaws to the CBOE Bylaws: • bylaws, there must be an affirmative may be held by the Exchange. Article V, Sections 5.1 and 5.4 of vote of the stockholders present at any the proposed Bylaws, which is identical The Exchange proposes to adopt annual meeting at which a quorum is Article VIII, Section 8.7, which governs to Article V, Sections 5.1 and 5.4 of the present.52 Additionally, unlike the CBOE Bylaws, will provide that the transactions with interested parties. current Bylaws, the Exchange proposes Proposed Article VIII, Section 8.7 is the Chief Financial Officer (‘‘CFO’’) is to explicitly provide that changes to the designated as an officer of the Exchange same as Article VIII, Section 8.7 of the bylaws shall not become effective until CBOE Bylaws and substantially similar and that the Board and CEO may assign filed with or filed with and approved by the CFO powers and duties as they see to language contained in Article III, the SEC, to avoid confusion as to when Section 18 of the current Bylaws. fit. The Exchange notes that the role of proposed amendments to the Bylaws a CFO is not referenced in the current Similarly, the Exchange proposes to can take effect.53 The proposed adopt Article VIII, Section 8.8 which Bylaws. provisions are the same as the • The proposed Bylaws eliminate the governs severability and is the same as corresponding provisions in the CBOE requirement in the current Bylaws that Article VIII, Section 8.8 of CBOE Bylaws Bylaws.54 the Chief Regulatory Officer (‘‘CRO’’) is and substantially similar to Article XI, a designated officer of the Exchange.50 General Provisions Section 8 of the current Bylaws. As noted above, the Exchange desires to The Exchange proposes to adopt The Exchange proposes to add Article Article VIII, Section 8.10 which conform its Bylaws to the Bylaws of VIII, Section 8.1 of the proposed CBOE and the CBOE Bylaws do not provides that the board may authorize Bylaws, which is the same as Article any officer or agent of the Corporation reference the role of the CRO. The VIII, Section 8.1 of the CBOE Bylaws, Exchange notes that notwithstanding to enter into any contract, or execute that unless otherwise determined by the and deliver any instrument in the name the proposed elimination of the CRO Board, the fiscal year of the Exchange provision, there is no intention to of, or on behalf of the Corporation. The ends on the close of business December proposed language is the same as the eliminate the role of the CRO. 31 each year, as compared to Article XI, • Article VII, Section 10 of the language in Article VIII, Section 8.10 of Section 1 of the current Bylaws, which current Bylaws requires the Secretary to the CBOE Bylaws and similar to related provides that the fiscal year of the keep official records of Board meetings. language in Article XI, Section 6 of the Exchange shall be as determined from The Exchange proposes to add to Article current Bylaws. time to time by the Board. Note that the V, Section 5.6 of the proposed Bylaws, The Exchange proposes to adopt Exchange’s fiscal year currently ends on which is similar to the current Bylaws Article VIII, Section 8.12, relating to the close of business December 31 each and based on Article V, Section 5.6 of books and records and which is the year. the CBOE Bylaws, which requires that same as Article VIII, Section 8.12 of The Exchange also proposes to add in addition to all meetings of the Board, CBOE Bylaws and which is similar to Article VIII, Section 8.2 of the proposed the Secretary must keep official records language contained in Article XI, Bylaws, which is the same as Article of all meetings of stockholders and of Section 3 of the current Bylaws. VIII, Section 8.2 of the CBOE Bylaws, Exchange Members at which action is which governs the execution of New Bylaw Provisions taken. • Article V, Section 5.7 of the instruments such as checks, drafts and The Exchange proposes to add proposed Bylaws, which is based on bills of exchange and contracts and provisions to the proposed Bylaws that Article 5.7 of the CBOE Bylaws, would which is similar to Article XI, Section are not included in the current Bylaws provide that the Treasurer perform such 6 of the current Bylaws. in order to conform the Exchange’s duties and powers as the Board, the bylaws to those of CBOE and C2 and CEO or CFO proscribes (whereas Article 51 See Article VII, Sections 11 and 13 of the provide consistency among the CBOE current Bylaws. VII, Section 12 of the current Bylaws 52 See Proposed Bylaws, Article IX, Section 9.2. Holdings’ U.S. securities exchanges. provides that such duties and powers 53 See Proposed Bylaws, Article IX, Section 9.3. Specifically, the Exchange proposes to 54 See Article IX, Sections 9.2 and 9.3 of the add the following to the proposed 50 See Current Bylaws, Article VII, Section 9. CBOE Bylaws. Bylaws:

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• Article VII, which addresses notice wish to include these provisions in the • Article X, Section 4, which relates requirements for any notice required to proposed Bylaws as no equivalent to fees, provides that the Board has be given by the bylaws or Rules, provisions exist in the CBOE Bylaws authority to fix and charge fees, dues, including Article VII, Section 7.2, which and the Exchange wishes to have assessments, and other charges to be provides whenever any notice to any uniformity across the bylaws of the paid by Exchange Members and issuers stockholder is required, such notice may CBOE Holdings’ exchanges. and any other persons using any facility • be given by a form of electronic Article IX, Section 2, which relates or system that the Company operates or transmission if the stockholder to whom to the Board’s authority to adopt controls; provided that such fees, dues, such notice is given has previously emergency Bylaws to be operative assessments, and other charges shall be consented to the receipt of notice by during any emergency resulting from, equitably allocated among Exchange electronic transmission. The language among other things, any nuclear or Members and issuers and any other mirrors the language set forth in Article atomic disaster or attack on the United persons using any facility or system that VII, Section 7.2 of the CBOE Bylaws. States, any catastrophe, or other • Article VIII, Section 8.3 which is the Company operates or controls. The emergency condition, as a result of Exchange does not wish to include this identical to Article VIII, Section 8.3 of which a quorum of the Board or a section of the provision in the proposed the CBOE Bylaws, which provides that committee cannot readily be convened Bylaws as no equivalent provisions exist the corporate seal, if any, shall be in for action. Similarly, Article IX, Section in the CBOE Bylaws. To the extent the such form as approved by the board or 3, provides that the Board, or Board’s officer of the Corporation. designee, in the event of extraordinary Board wishes to adopt such fees and • Article VIII, Section 8.5, which market conditions, has the authority to dues, it has the authority pursuant to provides that a certificate by the take certain actions. The Exchange does Article III, Section 3.3 of the proposed Secretary, or Assistant Secretary, if any, not wish to include these provisions in Bylaws. The Exchange notes that with as to any action taken by the the proposed Bylaws as no equivalent respect to the language in Article X, stockholders, directors, a committee or provisions exist in the CBOE Bylaws Section 4 of the current Bylaws relating any officer or representative of the and the Exchange wishes to have to the prohibition of using revenues Exchange shall, as to all persons who uniformity across the bylaws of the received from fees derived from its rely on the certificate in good faith, be CBOE Holdings’ exchanges. regulatory function or penalties for non- conclusive evidence of such action. This • Article X, Section 2, which relates regulatory purposes, similar language language is identical to the language to disciplinary proceedings and exists within CBOE Rules, particularly, contained in Article VIII, Section 8.5 of provides that the Board is authorized to CBOE Rule 2.51. In order to conform the the CBOE Bylaws. Bylaws, the Exchange wishes to • establish procedures relating to Article VIII, Section 8.6., which is disciplinary proceedings involving similarly, relocate this language to its identical to Article VIII, Section 8.6 of Exchange Members and their associated rules, instead of maintaining it in its the CBOE Bylaws, which provides all persons, as well as impose various Bylaws. Specifically, the Exchange references to the Certificate of sanctions applicable to Exchange proposes to adopt new Rule 15.2, which Incorporation shall be deemed to refer Members and persons associated with language is based off CBOE Rule 2.51. to the Certificate of Incorporation of the Exchange Members. The Exchange does The Exchange notes that this provision Corporation, as amended, altered or not wish to include this provision in the is designed to preclude the Exchange restated and in effect from time to time. proposed Bylaws as no equivalent from using its authority to raise • Article VIII, Section 8.11, which provisions exist in the CBOE Bylaws. regulatory funds for the purpose of provides that the Exchange may lend Additionally, the Exchange notes that benefitting its Stockholder. Unlike money or assist an employee of the Article III, Section 3.3 of the proposed Exchange when the loan, guarantee or CBOE Rule 2.51 however, proposed Bylaws grants the Board broad powers Rule 15.2 explicitly provides that assistance may reasonably benefit the to adopt such procedures and/or rules if Exchange. This language is identical to regulatory funds may not be distributed necessary or desirable.55 to the stockholder. The Exchange notes the language contained in Article VIII, • Article X, Section 3, which relates Section 8.11 of the CBOE Bylaws. that this language is currently contained to membership qualifications and in Article X, section 4 of the current Eliminated Bylaw Provisions provides, among other things, that the Bylaws. Additionally, while not explicit The Exchange notes that the following Board has authority to adopt rules and in CBOE Rule 2.51, the Exchange notes provisions in the current Bylaws are not regulations applicable to Exchange that the rule filing that adopted Rule carried over in either the proposed Members and Exchange Member 2.51 does similarly state that regulatory Bylaws or proposed Certificate in order applicants, as well as establish specified funds may be not distributed to CBOE’s to conform the Exchange’s bylaws to and appropriate standards with respect stockholder.56 Although proposed Rule to the training, experience, competence, those of CBOE and C2 and provide 15.2 will differ slightly from CBOE Rule financial responsibility, operational consistency among the CBOE Holdings’ 2.51, the Exchange wishes to make this capability, and other qualifications. The U.S. securities exchanges: point clear to avoid potential confusion. Exchange does not wish to include this • Article III, Sections 13 and 17. Lastly, the Exchange notes that unlike provision in the proposed Bylaws as no Section 13 provides that a director who Article X, Section 4 of the current equivalent provisions exist in the CBOE is present at a Board or Board Bylaws, proposed Rule 15.2, like CBOE Bylaws. The Exchange again notes that Committee meeting at which action is Rule 2.51, will provide that taken is conclusively presumed to have Article III, Section 3.3 of the proposed Bylaws grants the Board broad powers notwithstanding the preclusion to use assented to action being taken unless his regulatory revenue for non-regulatory or her dissent or election to abstain is to adopt such rules and regulations if necessary or desirable. purposes, in the event of liquidation of entered into the minutes or filed. the Exchange, Direct Edge LLC will be Section 17 provides that the Board has 55 The Exchange notes that the language in the power to interpret the Bylaws and proposed Article III, Section 3.3 is similar to 56 See Securities Exchange Act Release No. 62158 any interpretations made shall be final language provided for in Article X, Section 1 of the (May 24, 2010), 75 FR 30082 (May 28, 2010) (SR– and conclusive. The Exchange does not current Bylaws. CBOE–2008–088).

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entitled to the distribution of the bylaws). The Exchange also proposes to principles of trade, to foster cooperation remaining assets of the Exchange. eliminate language in Rule 2.10 that, in and coordination with persons engaged • Certain sections in Article XI, connection with a reference to in regulating, clearing, settling, including Section 2 (‘‘Participation in ‘‘Director’’, states ‘‘as such term is processing information with respect to, Board and Committee Meetings’’), defined in the Bylaws of the Exchange’’. and facilitating transactions in Section 4 (‘‘Dividends’’) and Section 5 As the definition of Director is being securities, to remove impediments to (‘‘Reserves’’). More specifically, Article eliminated in the Bylaws, the Exchange and perfect the mechanism of a free and XI, Section 2 governs who may attend is seeking to remove the obsolete open market and a national market Board and Board committee meetings language in Rule 2.10. system, and, in general, to protect pertaining to the self-regulatory function Lastly, as discussed above, the investors and the public interest. of the Exchange and particularly, Exchange proposes to add new Rule Additionally, the Exchange believes the provides among other things, that Board 15.2, which will provide that any proposed rule change is consistent with and Board Committee meetings relating revenues received by the Exchange from the Section 6(b)(5) 61 requirement that to the self-regulatory function of the fees derived from its regulatory function the rules of an exchange not be designed Company are closed to all persons other or regulatory fines will not be used for to permit unfair discrimination between than members of the Boards, officers, non-regulatory purposes or distributed customers, issuers, brokers, or dealers. staff and counsel or other advisors to the Stockholder, but rather, shall be The Exchange also believes that its whose participation is necessary or applied to fund the legal and regulatory proposal is consistent with Section 6(b) appropriate. 57 Article XI, Section 4 operations of the Exchange (including of the Act in general, and furthers the provides that dividends may be surveillance and enforcement activities), objectives of Section 6(b)(1) of the Act declared upon the capital stock of the or be used to pay restitution and in particular, in that it enables the Exchange by the Board. Article XI, disgorgement of funds intended for Exchange to be so organized as to have Section 5 provides that before any customers (except in the event of the capacity to be able to carry out the dividends are paid out, there must be liquidation of the Exchange, which case purposes of the Act and to comply, and set aside funds that the Board Direct Edge LLC will be entitled to the to enforce compliance by its exchange determines is proper as a reserves. The distribution of the remaining assets of members and persons associated with Exchange does not wish to include these the Exchange). As more fully discussed its exchange members, with the provisions in the proposed Bylaws as no above in the ‘‘Eliminated Bylaw provisions of the Act, the rules and equivalent provisions exist in the CBOE Provisions’’ section, the proposed regulations thereunder, and the rules of Bylaws and the Exchange wishes to change is similar to Article X, Section the Exchange. have uniformity across the bylaws of the 4 of the current Bylaws and based on The Exchange also believes that its CBOE Holdings’ U.S. securities Rule 2.51 of CBOE Rules. proposal to adopt the Board and exchanges. The Exchange believes that the committee structure and related proposed changes to the current Bylaws nomination and election processes set (c) Changes to Rules and current Certificate would align its forth in the proposed Bylaws are The Exchange will also amend its governance documents with the consistent with the Act, including rules in conjunction with the proposed governance documents of each of CBOE Section 6(b)(1) of the Act, which changes to its bylaws. The proposed and C2, which preserves governance requires, among other things, that a rule changes are set forth in Exhibit 5E. continuity across each of CBOE national securities exchange be First, the Exchange proposes to update Holdings’ six U.S. securities exchanges. organized to carry out the purposes of the reference to the bylaws in Rule 1.1. The Exchange also notes that the the Act and comply with the Next, the Exchange notes that in order Exchange will continue to be so requirements of the Act. In general, the to keep the governance documents organized and have the capacity to be proposed changes would make the uniform, it proposes to eliminate the able to carry out the purposes of the Act Board and committee composition definitions of ‘‘Industry member’’, and to comply and to enforce requirements, and related nomination ‘‘Member Representative member’’ and compliance by its Members and persons and election processes, more consistent ‘‘Director’’ from Article I of the current associated with its Members, with the with those of its affiliates, CBOE and C2. Bylaws. The Exchange notes that provisions of the Act, the rules and The Exchange therefore believes that the Industry members and Member regulations thereunder, and the Rules, proposed changes would contribute to Representative members are still used as required by Section 6(b)(1) of the the orderly operation of the Exchange for Hearing Panels pursuant to Rule 8.6. Act.58 and would enable the Exchange to be so As such, the Exchange proposes to organized as to have the capacity to relocate these definitions to the rules 2. Statutory Basis carry out the purposes of the Act and (specifically, Rule 8.6) and proposes to The Exchange believes the proposed comply with the provisions of the Act update the reference to the location of rule change is consistent with the Act by its members and persons associated the definitions in Rule 8.6 accordingly and the rules and regulations with members. The Exchange also (i.e., refer to the definition in Rule 8.6 thereunder applicable to the Exchange believes that this proposal furthers the as opposed to the definition in the and, in particular, the requirements of objectives of Section 6(b)(3) 62 and (b)(5) Section 6(b) of the Act.59 Specifically, of the Act in particular, in that it is 57 Article XI, Section 2 also provides that in no the Exchange believes the proposed rule designed to assure a fair representation event shall members of the Board of Directors of change is consistent with the Section of Exchange Members in the selection of CBOE Holdings, Inc., CBOE V, LLC or Direct Edge 60 its directors and administration of its LLC who are not also members of the Board, or any 6(b)(5) requirements that the rules of officers, staff, counsel or advisors of CBOE an exchange be designed to prevent affairs and provide that one or more Holdings, Inc., CBOE V, LLC or Direct Edge LLC fraudulent and manipulative acts and directors would be representative of who are not also officers, staff, counsel or advisors practices, to promote just and equitable issuers and investors and not be of the Company (or any committees of the Board), associated with a member of the be allowed to participate in any meetings of the Board (or any committee of the Board) pertaining 58 15 U.S.C. 78f(b)(1). to the self-regulatory function of the Company 59 15 U.S.C. 78f(b). 61 Id. (including disciplinary matters). 60 15 U.S.C. 78f(b)(5). 62 15 U.S.C. 78f(b)(3).

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exchange, broker, or dealer; and is the public interest.63 The Exchange purposes of the Act. The proposed rule designed to promote just and equitable believes that conforming its governance change relates to the corporate principles of trade, to remove documents based on the documents of governance of EDGX and not the impediments to and perfect the the CBOE and C2 exchanges would operations of the Exchange. This is not mechanism of a free and open market streamline the CBOE Holdings’ U.S. a competitive filing and, therefore, and a national market system, and, in securities exchanges’ governance imposes no burden on competition. general to protect investors and the process, create equivalent governing public interest. For example, the standards among the exchanges and also C. Self-Regulatory Organization’s number of Non-Industry Directors must provide clarity to its members, which is Statement on Comments on the not be less than the number of Industry beneficial to both investors and the Proposed Rule Change Received From Directors. Additionally, the Exchange public interest. Members, Participants or Others believes that the 20% requirement for To the extent there are differences The Exchange neither solicited nor Representative Directors and the between the current CBOE and C2 received comments on the proposed proposed method for selecting framework and the proposed Exchange rule change. Representative Directors ensures fair framework, the Exchange believes the III. Date of Effectiveness of the representation and allows members to differences are reasonable. First, the Proposed Rule Change and Timing for have a voice in the Exchange’s use of its Exchange believes it’s reasonable to Commission Action self-regulatory authority. For instance, provide that in Run-Off Elections, each the proposed Bylaws includes a process Exchange Member shall have one (1) Within 45 days of the date of by which Exchange members can vote for each Representative Director publication of this notice in the Federal directly petition and vote for position to be filled that year instead of Register or within such longer period representation on the Board. one vote per Trading Permit held, up to 90 days (i) as the Commission may Additionally, the Exchange believes because the Exchange, unlike CBOE and designate if it finds such longer period the proposed Certificate, Bylaws and C2, does not have Trading Permits and to be appropriate and publishes its rules support a corporate governance because other exchanges have similar reasons for so finding or (ii) as to which framework, including the proposed practices.64 The Exchange believes it’s the Exchange consents, the Commission Board and Board Committee structure also reasonable not to require the will: (a) By order approve or disapprove that preserves the independence of the establishment of an Advisory Board, as such proposed rule change, or (b) Exchange’s self-regulatory function and the Exchange desires flexibility in institute proceedings to determine insulates the Exchange’s regulatory maintaining such a Committee, and is whether the proposed rule change functions from its market and other not statutorily required to maintain such should be disapproved. commercial interests so that the a committee. Additionally, the IV. Solicitation of Comments Exchange can continue to carry out its Exchange notes that it currently does regulatory obligations. Particularly, the not have an Advisory Board. Lastly, the Interested persons are invited to proposed governance documents Exchange notes that it is reasonable to submit written data, views and provide that Directors must take into not require a standing exchange-level arguments concerning the foregoing, consideration the effect that his or her Appeals Committee because the Board including whether the proposal is actions would have on the ability of the still has the authority to appoint an consistent with the Act. Comments may Company to carry out its regulatory Appeals Committee in the future as be submitted by any of the following responsibilities under the Act and the needed pursuant to its powers under methods: proposed changes to the rules includes Article IV, Section 4.1 of the proposed Electronic Comments the restriction on using revenues Bylaws and because an Appeals derived from the Exchange’s regulatory Committee is not statutorily required. • Use the Commission’s Internet function for non-regulatory purposes, Finally, the proposed amendments to comment form (http://www.sec.gov/ which further underscores the the rules as discussed above are non- rules/sro.shtml); or • independence of the Exchange’s substantive changes meant to merely Send an email to rule-comments@ regulatory function. The Exchange also update the Rules in light of the sec.gov. Please include File No. SR– believes that requiring that the number proposed changes to the current Bylaws BatsEDGX–2017–35 on the subject line. of Non-Industry Directors not be less and to relocate certain provisions to Paper Comments better conform the Exchange’s than the number of Industry Directors • and requiring that all Directors serving governance documents to those of CBOE Send paper comments in triplicate on the ROC be Non-Industry Directors and C2. to Secretary, Securities and Exchange would help to ensure that no single Commission, 100 F Street NE., B. Self-Regulatory Organization’s Washington, DC 20549–1090. group of market participants will have Statement on Burden on Competition the ability to systematically All submissions should refer to File No. disadvantage other market participants The Exchange does not believe the SR-BatsEDGX–2017–35. This file through the exchange governance proposed rule change will impose any number should be included on the process, and would foster the integrity burden on competition not necessary or subject line if email is used. To help the of the Exchange by providing unique, appropriate in furtherance of the Commission process and review your unbiased perspectives. comments more efficiently, please use Moreover, the Exchange believes that 63 See e.g., Securities Exchange Act Release No. only one method. The Commission will the new corporate governance 62158 (May 24, 2010), 75 FR 30082 (May 28, 2010) post all comments on the Commission’s (SR–CBOE–2008–088); Securities Exchange Act framework and related processes being Release No. 64127 (March 25, 2011), 76 FR 17974 Internet Web site (http://www.sec.gov/ proposed are consistent with Section (March 31, 2011) (SR–CBOE–2011–010); and rules/sro.shtml). Copies of the 6(b)(5) of the Act because they are Securities Exchange Act Release No. 80523 (April submission, all subsequent substantially similar to the framework 25, 2017), 82 FR 20399 (May 1, 2017) (SR–CBOE– amendments, all written statements 2017–017). and processes used by CBOE and C2, 64 See e.g., Amended and Restated By-Laws of with respect to the proposed rule which have been well-established as fair Miami International Securities Exchange, LLC, change that are filed with the and designed to protect investors and Article II, Section 2.4(f). Commission, and all written

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communications relating to the of each year. Funds use Form N–PX to estimated to be zero because portfolios proposed rule change between the file annual reports with the Commission holding no equity securities generally Commission and any person, other than containing their complete proxy voting have no proxy votes to report and those that may be withheld from the record for the most recent twelve-month therefore do not require third-party public in accordance with the period ended June 30. service providers to assist with proxy provisions of 5 U.S.C. 552, will be The Commission estimates that there voting and preparing reports on Form available for Web site viewing and are approximately 2,376 funds N–PX. The estimated cost burden of printing in the Commission’s Public registered with the Commission, Form N–PX for fund of funds is Reference Room, 100 F Street NE., representing approximately 11,818 fund estimated to be $100 per portfolio Washington, DC 20549 on official portfolios that are required to file Form because fund of funds generally either business days between the hours of N–PX reports. The 11,818 portfolios are have no proxy votes to report; or if 10:00 a.m. and 3:00 p.m. Copies of the comprised of approximately 7,111 proxy votes are reported, they are filing will also be available for portfolios holding equity securities, generally limited in the number of inspection and copying at the principal 3,249 portfolios holding no equity securities and the number of voting office of the Exchange. All comments securities, and 1,458 portfolios holding matters relative to portfolios holding received will be posted without change; fund securities (i.e., fund of funds).1 The equity securities. Therefore, the the Commission does not edit personal currently approved burden of Form N– aggregate cost burden, when calculated identifying information from PX for portfolios holding equity using the current number of portfolios, submissions. You should submit only securities is 7.2 hours per response, the is approximately $7.3 million in information that you wish to make current burden estimate for funds external costs.5 We continue to believe available publicly. All submissions holding no equity securities is 0.17 that these estimates for Form N–PX’s should refer to File No. SR–BatsEDGX– hours (10 minutes) per response, and current cost burden are appropriate. 2017–35 and should be submitted on or the current burden estimate for fund of Estimates of average burden hours before September 27, 2017. funds is 1 hour per response. Therefore, and costs are made solely for the For the Commission, by the Division of the number of aggregate burden hours, purposes of the Paperwork Reduction Trading and Markets, pursuant to delegated when calculated using the current Act and are not derived from a authority.65 number of portfolios, is approximately comprehensive or even representative Eduardo A. Aleman, 53,210 hours.2 We continue to believe survey or study of the costs of Assistant Secretary. that these estimates for Form N–PX’s Commission rules and forms. [FR Doc. 2017–18797 Filed 9–5–17; 8:45 am] current burden are appropriate. Based Compliance with the collection of BILLING CODE 8011–01–P on the Commission’s estimate of 53,210 information requirements of Form N–PX burden hours and an estimated wage is mandatory. Responses to the rate of approximately $345 per hour,3 collection of information will not be SECURITIES AND EXCHANGE the total cost to reporting persons of the kept confidential. An agency may not COMMISSION hour burden for filing Form N–PX is conduct or sponsor, and a person is not approximately $18.44 million.4 required to respond to, a collection of Proposed Collection; Comment The estimated cost burden of Form N– information unless it displays a Request PX is $1,000 in external costs per currently valid OMB control number. Upon Written Request, Copies Available portfolio holding equity securities that Written comments are invited on: (a) From: Securities and Exchange is paid to third-party service providers. Whether the collection of information is Commission, Office of FOIA Services, External costs for portfolios holding no necessary for the proper performance of 100 F Street NE., Washington, DC equity securities have previously been the functions of the Commission, 20549–2736. including whether the information has 1 The estimate of 2,376 funds is based on the practical utility; (b) the accuracy of the Extension: number of management investment companies Commission’s estimate of the burden of Form N–PX, SEC File No. 270–524, OMB currently registered with the Commission. The Control No. 3235–0582. Commission staff estimates that there are the collection of information; (c) ways to approximately 6,385 portfolios that invest primarily enhance the quality, utility, and clarity Notice is hereby given that, pursuant in equity securities, 726 ‘‘hybrid’’ or bond portfolios of the information collected; and (d) to the Paperwork Reduction Act of 1995 that may hold some equity securities, 2,831 bond ways to minimize the burden of the (44 U.S.C. 3501 et seq.) (‘‘Paperwork portfolios that hold no equity securities, and 418 collection of information on Reduction Act’’), the Securities and money market fund portfolios, and 1,458 fund of funds, for a total of 11,818 portfolios required to file respondents, including through the use Exchange Commission (the Form N–PX reports. The staff has based its portfolio of automated collection techniques or ‘‘Commission’’) is soliciting comments estimates on a number of publications. See other forms of information technology. on the collection of information Investment Company Institute, Trends in Mutual Fund Investing (April 2017); Investment Company Consideration will be given to summarized below. The Commission comments and suggestions submitted in plans to submit this existing collection Institute, Closed-End Fund Assets and Net Issuance (First Quarter 2017); Investment Company Institute, writing within 60 days of this of information to the Office of ETF Assets and Net Issuance (April 2017). publication. Management and Budget (‘‘OMB’’) for 2 (7,111 portfolios that hold equity securities × 7.2 Please direct your written comments extension and approval. hours per year) + (3,249 portfolios holding no to Pamela Dyson, Director/Chief Rule 30b1–4 (17 CFR 270.30b1–4) equity securities × 0.17 hours per year) + (1,458 Information Officer, Securities and under the Investment Company Act of portfolios holding fund securities x 1 hour per year) = 53,210 hours. Exchange Commission, C/O Remi 1940 (15 U.S.C. 80a-1 et seq.) requires 3 The hourly wage figure for a compliance Pavlik-Simon, 100 F Street NE., every registered management attorney is from the Securities Industry and Washington, DC 20549; or send an email investment company, other than a small Financial Markets Association’s Management & to: [email protected]. business investment company registered Professional Salaries in the Securities Industry on Form N–5 (‘‘funds’’), to file a report 2013, modified by Commission staff to account for an 1800-hour work-year and inflation and 5 (7,111 portfolios holding equity securities × on Form N–PX not later than August 31 multiplied by 5.35 to account for bonuses, firm size, $1,000 per year) + (3,249 portfolios holding no employee benefits and overhead. equity securities × $0 per year) + (1,458 fund of 65 17 CFR 200.30–3(a)(12). 4 53,210 hours × $345 per hour = $18,357,288. funds × $100) = $7,256,800.

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Dated: August 31, 2017. Regulatory Authority, Inc. (‘‘FINRA’’); ‘‘Exchanges,’’ and, together with FINRA, Eduardo A. Aleman, International Securities Exchange, LLC are referred to as the ‘‘SROs.’’ Assistant Secretary. (‘‘ISE’’); Investors Exchange LLC On June 1, 2017, the proposed rule [FR Doc. 2017–18858 Filed 9–5–17; 8:45 am] (‘‘IEX’’); Miami International Securities changes submitted by Bats BZX, Bats BILLING CODE 8011–01–P Exchange LLC (‘‘MIAX’’); MIAX PEARL, EDGX, BOX, C2, CBOE, FINRA, IEX, LLC (‘‘PEARL’’); NYSE Arca, Inc. ISE, MIAX, and PEARL; both proposed (‘‘NYSE Arca’’); and NYSE MKT LLC rule changes submitted by NYSE MKT; SECURITIES AND EXCHANGE (‘‘NYSE MKT’’) (n/k/a NYSE American and one of the proposed rule changes COMMISSION LLC) 1 filed with the Securities and submitted by NYSE Arca were [Release No. 34–81499; File Nos. SR– Exchange Commission (‘‘Commission’’), published for comment in the Federal BatsBZX–2017–37; SR–BatsEDGX–2017–23; pursuant to Section 19(b)(1) of the Register.8 On June 2, 2017, the proposed SR–BOX–2017–17; SR–C2–2017–018; SR– Securities Exchange Act of 1934 rule change submitted by NYSE and the CBOE–2017–041; SR–FINRA–2017–013; (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 other proposed rule change submitted SR–ISE–2017–46; SR–IEX–2017–18; SR– proposed rule changes to eliminate or by NYSE Arca were published for MIAX–2017–20; SR–PEARL–2017–23; SR– 9 modify certain rules that require the comment in the Federal Register. On NASDAQ–2017–055; SR–BX–2017–027; SR– June 5, 2017, the proposed rule changes Phlx–2017–43; SR–NYSE–2017–23; SR– collection or reporting of information submitted by NASDAQ, BX, and Phlx NYSEArca–2017–57; SR–NYSEArca–2017– that is duplicative of the information were published for comment in the 59; SR–NYSEMKT–2017–29; SR–NYSEMKT– that will be collected by the 2017–30] Federal Register.10 Consolidated Audit Trail (‘‘CAT’’) Four comments were submitted to established pursuant to the National Self-Regulatory Organizations; Bats File Number SR–FINRA–2017–013.11 BZX Exchange, Inc.; Bats EDGX Market System Plan contemplated by Rule 613 of Regulation NMS.4 On May On June 22, 2017, each of NASDAQ, Exchange, Inc.; BOX Options BX, ISE, and Phlx filed an amendment Exchange LLC; C2 Options Exchange, 22, 2017, the New York Stock Exchange Incorporated; Chicago Board Options LLC (‘‘NYSE’’) filed with the 8 See Securities Exchange Act Release No. 80796 Exchange, Incorporated; Financial Commission a proposed rule change for (May 26, 2017), 82 FR 25374 (SR–BatsBZX–2017– Industry Regulatory Authority, Inc.; the same purpose, and each of NYSE 37) (‘‘Bats BZX Notice’’); Securities Exchange Act International Securities Exchange, Arca 5 and NYSE MKT filed an Release No. 80795 (May 26, 2017), 82 FR 25358 LLC; Investors Exchange LLC; Miami additional proposed rule change for the (SR–BatsEDGX–2017–23) (‘‘Bats EDGX Notice’’); Securities Exchange Act Release No. 80789 (May International Securities Exchange LLC; same purpose. On May 26, 2017, the 26, 2017), 82 FR 25492 (SR–BOX–2017–17) (‘‘BOX MIAX PEARL, LLC; The NASDAQ Stock NASDAQ Stock Market LLC Notice’’); Securities Exchange Act Release No. Market LLC; NASDAQ BX, Inc.; (‘‘NASDAQ’’) and NASDAQ PHLX LLC 80798 (May 26, 2017), 82 FR 25385 (SR–C2–2017– NASDAQ PHLX LLC; New York Stock (‘‘Phlx’’) filed with the Commission 018) (‘‘C2 Notice’’); Securities Exchange Act Release Exchange LLC; NYSE Arca, Inc.; NYSE No. 80797 (May 26, 2017), 82 FR 25429 (SR–CBOE– proposed rule changes for the same 2017–041) (‘‘CBOE Notice’’); Securities Exchange MKT LLC; Notice of Filing of purpose.6 On May 30, 2017, NASDAQ Act Release No. 80783 (May 26, 2017), 82 FR 25423 Amendment No. 1 by Bats BZX BX, Inc. (‘‘BX’’) filed with the (SR–FINRA–2017–013) (‘‘FINRA Notice’’); Securities Exchange Act Release No. 80788 (May Exchange, Inc.; Bats EDGX Exchange, Commission a proposed rule change for Inc.; BOX Options Exchange LLC; C2 26, 2017), 82 FR 25400 (SR–IEX–2017–18) (‘‘IEX the same purpose.7 In this notice and Notice’’); Securities Exchange Act Release No. Options Exchange, Incorporated; order, all of these proposed rule changes 80787 (May 26, 2017), 82 FR 25469 (SR–ISE–2017– Chicago Board Options Exchange, are referred to collectively as the 46) (‘‘ISE Notice’’); Securities Exchange Act Release Incorporated; Financial Industry No. 80790 (May 26, 2017), 82 FR 25366 (SR–MIAX– Regulatory Authority, Inc.; Investors ‘‘Systems Retirement Proposals.’’ Bats 2017–20) (‘‘MIAX Notice’’); Securities Exchange Act Release No. 80792 (May 26, 2017), 82 FR 25436 Exchange LLC; New York Stock BZX, Bats EDGX, BOX, BX, C2, CBOE, ISE, IEX, MIAX, PEARL, NASDAQ, (SR–PEARL–2017–23) (‘‘PEARL Notice’’); Securities Exchange LLC; NYSE Arca, Inc.; NYSE Exchange Act Release No. 80791 (May 26, 2017), 82 MKT LLC, of Amendment Nos. 1 and 2 NYSE, NYSE Arca, NYSE MKT, and FR 25362 (SR–NYSEArca–2017–59) (‘‘NYSE Arca by International Securities Exchange, Phlx are collectively referred to as the Notice 1’’); Securities Exchange Act Release No. 80793 (May 26, 2017), 82 FR 25443 (SR– LLC; The NASDAQ Stock Market LLC; NYSEMKT–2017–29) (‘‘NYSE MKT Notice 1’’); 1 NASDAQ BX, Inc.; and NASDAQ PHLX See Securities Exchange Act Release No. 80283 Securities Exchange Act Release No. 80794 (May LLC, of Amendment No. 2 by MIAX (March 21, 2017), 82 FR 15244 (March 27, 2017) 26, 2017), 82 FR 25439 (SR–NYSEMKT–2017–30) (SR–NYSEMKT–2017–14). The name change was (‘‘NYSE MKT Notice 2’’). PEARL, LLC, and of Amendment No. 3 not yet effective when NYSE MKT filed SR– 9 See Securities Exchange Act Release No. 80799 by Miami International Securities NYSEMKT–2017–29 and SR–NYSEMKT–2017–30. (May 26, 2017), 82 FR 25635 (SR–NYSE–2017–23) 2 Exchange LLC; Order Instituting 15 U.S.C. 78s(b)(1). (‘‘NYSE Notice’’); Securities Exchange Act Release Proceedings To Determine Whether To 3 17 CFR 240.19b–4. No. 80800 (May 26, 2017), 82 FR 25639 (SR– Approve or Disapprove the Proposed 4 17 CFR 242.613. NYSEArca–2017–57) (‘‘NYSE Arca Notice 2’’). 5 Rule Changes, as Modified by Effective August 17, 2017, NYSE Arca amended, 10 See Securities Exchange Act Release No. 80813 among other things, certain rules of the Exchange (May 30, 2017), 82 FR 25820 (SR–NASDAQ–2017– Amendments Thereto, To Eliminate to create a single rulebook. See Securities Exchange 055) (‘‘NASDAQ Notice’’); Securities Exchange Act Requirements That Will Be Duplicative Act Release No. 81419 (August 17, 2017) (SR– Release No. 80814 (May 30, 2017), 82 FR 25872 of CAT NYSEArca–2017–40) (the ‘‘Arca Merger Filing’’). (SR–BX–2017–027) (‘‘BX Notice’’); Securities NYSE Arca rule text references in this notice and Exchange Act Release No. 80811 (May 30, 2017), 82 August 30, 2017. order reflect rule numbering changes as a result of FR 25863 (SR–Phlx–2017–43) (‘‘Phlx Notice’’). the Arca Merger Filing. 11 See letters from William H. Herbert, Managing I. Introduction 6 Nasdaq and Phlx initially filed proposed rule Director, Financial Information Forum, dated June changes on May 15, 2017 (SR–NASDAQ–2017–050 22, 2017 (‘‘FIF Letter’’); Manisha Kimmel, Chief On May 15, 2017, Bats BZX Exchange, and SR–PHLX–2017–38). On May 26, 2017, Nasdaq Regulatory Officer, Wealth Management, Thomson Inc. (‘‘Bats BZX’’); Bats EDGX Exchange, and Phlx withdrew these filings and submitted new Reuters, dated June 22, 2017 (‘‘Thomson Reuters Inc. (‘‘Bats EDGX’’); BOX Options proposed rule changes (SR–NASDAQ–2017–055 Letter’’); Marc R. Bryant, Senior Vice President, Exchange LLC (‘‘BOX’’); C2 Options and SR–PHLX–2017–43). Deputy General Counsel, Fidelity Investments, 7 BX initially filed a proposed rule change on May dated June 22, 2017 (‘‘Fidelity Letter’’); and Ellen Exchange, Incorporated (‘‘C2’’); Chicago 15, 2017 (SR–BX–2017–025). On May 30, 2017, BX Greene, Managing Director and Theodore R. Lazo, Board Options Exchange, Incorporated withdrew that initial filing and submitted a new Managing Director and Associate General Counsel, (‘‘CBOE’’); Financial Industry proposed rule change (SR–BX–2017–027). SIFMA, dated June 23, 2017 (‘‘SIFMA Letter’’).

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to its proposed rule change.12 On July proposed rule filing.17 On August 25, 1 to its proposed rule filing,21 CBOE 14, 2017, the Commission extended the 2017, Bats BZX submitted Amendment submitted Amendment No. 1 to its time period for Commission action on No. 1 to its proposed rule filing,18 Bats proposed rule filing,22 FINRA submitted all of the Systems Retirement Proposals EDGX submitted Amendment No. 1 to Amendment No. 1 to its proposed rule to August 30, 2017.13 its proposed rule filing,19 BX submitted filing,23 ISE submitted Amendment No. On August 24, 2017, BOX submitted Amendment No. 1 to its proposed rule 2 to its proposed rule filing,24 NASDAQ Amendment No. 1 to its proposed rule filing,20 C2 submitted Amendment No. submitted Amendment No. 2 to its filing,14 IEX submitted Amendment No. proposed rule filing,25 NYSE submitted 1 to its proposed rule filing,15 PEARL 17 MIAX filed Amendment No. 1 to its proposed rule change on August 22, 2017 and withdrew and 21 This amendment added introductory language submitted Amendment No. 2 to its replaced it with Amendment No. 2 on the same day. 16 to C2’s rule regarding securities accounts and orders proposed rule filing, and MIAX On August 24, 2017, MIAX withdrew Amendment of market makers to clarify that the rule will be submitted Amendment No. 3 to its No. 2 and replaced it with Amendment No. 3. amended upon announcement by C2 that the CAT Amendment No. 3 modified the rule text for has achieved a sufficient level of accuracy and MIAX’s EBS rule and its rule regarding market reliability. When C2 filed Amendment No. 1 to its 12 These amendments modified Section 2 of the maker order and account information to clarify that proposal with the Commission, it also submitted Form 19b–4 submitted by each of NASDAQ, BX, MIAX will not request trade data or information, Amendment No. 1 to the public comment file for ISE, and Phlx to state that on June 1, 2017, the and members will not be required to provide trade its proposal. exchange obtained the necessary approval from its data or information, pursuant to such rule for trades 22 This amendment: (1) Added introductory Board of Directors for the proposed rule change. reported to the CAT after MIAX announces that it language to CBOE’s COATS-related rules and rule When NASDAQ, BX, ISE, and Phlx each filed has determined that the accuracy and reliability of regarding securities accounts and orders of market Amendment No. 1 to their respective proposals the CAT are sufficient to replace requests pursuant with the Commission, they also submitted the to these rules. When MIAX filed Amendment No. makers to clarify that the rules will be amended Amendment No. 1 to the public comment file for 3 to its proposal with the Commission, it also upon announcement by CBOE that the CAT has achieved a sufficient level of accuracy and each of their respective proposals. submitted Amendment No. 3 to the public comment reliability; and (2) modified rule text language for 13 file for its proposal. See Securities Exchange Act Release No. 81145, CBOE’s EBS rule and the rule regarding complaints 18 This amendment: (1) Added introductory 82 FR 33533 (July 20, 2017). and investigations to clarify that CBOE will not 14 language to BZX’s rule regarding securities accounts This amendment: (1) Added introductory request trade data or information, and members will and orders of market makers to clarify that the rules language to BOX’s COATS-related rules to clarify not be required to provide trade data or will be amended upon announcement by BZX that that the rules will be amended upon announcement information, pursuant to the rule for trades reported the CAT has achieved a sufficient level of accuracy by BOX that the CAT has achieved a sufficient level to the CAT after CBOE announces that it has and reliability; and (2) modified rule text language of accuracy and reliability; (2) modified rule text determined that the accuracy and reliability of the language for BOX’s EBS rule and the rule regarding for BZX’s EBS rule and the rule regarding furnishing of records to clarify that BZX will not CAT are sufficient to replace requests pursuant to securities accounts and orders of market makers to these rules. When CBOE filed Amendment No. 1 to clarify that BOX will not request trade data or request trade data or information, and members will not be required to provide trade data or its proposal with the Commission, it also submitted information, and members will not be required to Amendment No. 1 to the public comment file for provide trade data or information, pursuant to the information, pursuant to the rule for trades reported to the CAT after BZX announces that it has its proposal. rule for trades reported to the CAT after BOX 23 determined that the accuracy and reliability of the This amendment: (1) Added introductory announces that it has determined that the accuracy CAT are sufficient to replace requests pursuant to language to FINRA’s OATS rule series to clarify that and reliability of the CAT are sufficient to replace these rules. When BZX filed Amendment No. 1 to the rules will be deleted upon announcement by requests pursuant to these rules; and (3) clarified its proposal with the Commission, it also submitted FINRA that the CAT has achieved a level of that the accuracy and reliability standards Amendment No. 1 to the public comment file for accuracy and reliability sufficient to replace OATS; discussed in its Systems Retirement Proposal apply its proposal. and (2) modified FINRA’s EBS rule text to clarify to all of the rules discussed therein. When BOX 19 that FINRA will not request trade data or filed Amendment No. 1 to its proposal with the This amendment: (1) Added introductory language to Bats EDGX’s rule regarding securities information, and members will not be required to Commission, it also submitted Amendment No. 1 to provide trade data or information, pursuant to its the public comment file for its proposal. accounts and orders of market makers to clarify that the rule will be amended upon announcement by EBS rules for trades reported to the CAT after 15 This amendment: (1) Added introductory Bats EDGX that the CAT has achieved a sufficient FINRA announces that it has determined that the language to IEX’s OATS rule series to clarify that level of accuracy and reliability; and (2) modified accuracy and reliability of the CAT are sufficient to the rules will be deleted upon announcement by rule text language for Bats EDGX’s EBS rule and the replace requests pursuant to these rules. When IEX that the CAT has achieved a level of accuracy rule regarding furnishing of records to clarify that FINRA filed Amendment No. 1 to its proposal with and reliability sufficient to replace OATS; (2) Bats EDGX will not request trade data or the Commission, it also submitted Amendment No. modified IEX’s EBS rule text language to clarify that information, and members will not be required to 1 to the public comment file for its proposal. 24 IEX (or FINRA on behalf of IEX) will not request provide trade data or information, pursuant to the This amendment modified ISE’s EBS rule text trade data or information, and members will not be rule for trades reported to the CAT after Bats EDGX language to clarify that ISE will not request trade required to provide trade data or information, announces that it has determined that the accuracy data or information, and members will not be pursuant to the EBS rule for trades reported to the and reliability of the CAT are sufficient to replace required to provide trade data or information, CAT after IEX announces that it has determined requests pursuant to these rules. When Bats EDGX pursuant to ISE’s Rule 1404 for trades reported to that the accuracy and reliability of the CAT are filed Amendment No. 1 to its proposal with the the CAT after ISE announces that it has determined sufficient to replace requests pursuant to the EBS Commission, it also submitted Amendment No. 1 to that the accuracy and reliability of the CAT are rule; and (3) made two clarifying revisions to the the public comment file for its proposal. sufficient to replace requests pursuant to the rule. Purpose section of its proposal. When IEX filed 20 This amendment: (1) Added introductory When ISE filed Amendment No. 2 to its proposal Amendment No. 1 to its proposal with the language to BX’s OATS rule series to clarify that the with the Commission, it also submitted Commission, it also submitted Amendment No. 1 to rules will be deleted upon announcement by BX Amendment No. 2 to the public comment file for the public comment file for its proposal. that the CAT has achieved a level of accuracy and its proposal. 16 PEARL filed Amendment No. 1 to its proposed reliability sufficient to replace OATS; (2) added 25 This amendment: (1) Added introductory rule change on August 22, 2017. On August 24, introductory language to BX’s COATS-related rules language to NASDAQ’s OATS rule series to clarify 2017, PEARL withdrew Amendment No. 1 and to clarify that the rules will be amended upon that the rules will be deleted upon announcement replaced it with Amendment No. 2. Amendment announcement by BX that the CAT has achieved a by NASDAQ that the CAT has achieved a level of No. 2 modified the rule text for PEARL’s EBS rule level of accuracy and reliability sufficient to replace accuracy and reliability sufficient to replace OATS; (which is incorporated by reference from the MIAX COATS; and (3) modified BX’s EBS rule text and (2) added introductory language to NASDAQ’s rulebook) and its rule regarding market maker order the language of Chapter VII, Section 7, to clarify COATS-related rules to clarify that these rules will and account information to clarify that PEARL will that BX will not request trade data or information, be amended upon announcement by NASDAQ that not request trade data or information, and members and members will not be required to provide trade the CAT has achieved a level of accuracy and will not be required to provide trade data or data or information, pursuant to EBS Rules or reliability sufficient to replace COATS; and (3) information, pursuant to such rule for trades Chapter VII, Section 7, for trades reported to the modified NASDAQ’s EBS rule text and the language reported to the CAT after PEARL announces that it CAT after BX announces that it has determined that of Chapter VII, Section 7, to clarify that NASDAQ has determined that the accuracy and reliability of the accuracy and reliability of the CAT are will not request trade data or information, and the CAT are sufficient to replace requests pursuant sufficient to replace requests pursuant to these members will not be required to provide trade data to these rules. When PEARL filed Amendment No. rules. When BX filed Amendment No. 2 to its or information, pursuant to the EBS Rules or 2 to its proposal with the Commission, it also proposal with the Commission, it also submitted Chapter VII, Section 7, for trades reported to the submitted Amendment No. 2 to the public comment Amendment No. 2 to the public comment file for CAT after NASDAQ announces that it has file for its proposal. its proposal. Continued

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Amendment No. 1 to its proposed rule submitted Amendment No. 2 to its system on a daily basis.32 Several other filing,26 NYSE Arca submitted proposed rule filing.29 SROs have their own OATS rules that Amendment No. 1 to each of its The Commission is publishing this mirror FINRA’s rule or incorporate it by proposed rule filings,27 NYSE MKT notice and order to solicit comments on reference.33 FINRA and the other SROs submitted Amendment No. 1 to each of the proposed rule changes, as modified with OATS rules (the ‘‘OATS SROs’’) its proposed rule filings,28 and Phlx by the respective amendments thereto, have proposed to delete their OATS from interested persons and to institute rules from their respective rulebooks. As determined that the accuracy and reliability of the proceedings pursuant to Section described in more detail below, these CAT are sufficient to replace requests pursuant to 19(b)(2)(B) of the Act 30 to determine deletions will be implemented once these rules. When NASDAQ filed Amendment No. 2 to its proposal with the Commission, it also whether to approve or disapprove the CAT Data achieves certain pre- and submitted Amendment No. 2 to the public comment proposed rule changes, as modified by post-correction error rates and certain file for its proposal. the respective amendments thereto.31 qualitative criteria have been met. 26 This amendment: (1) Added introductory In its Systems Retirement Proposal, II. Description of the Proposals, as language to NYSE’s OATS rules to clarify that they FINRA stated that it believes that will be deleted upon announcement by FINRA that Modified by Amendments Thereto the CAT has achieved a level of accuracy and relevant error rates are the primary, but reliability sufficient to replace OATS; and (2) As required by the CAT NMS Plan, not the sole, metric by which to modified NYSE’s EBS rule text to clarify that NYSE the Systems Retirement Proposals determine the CAT’s accuracy and will not request trade data or information, and discuss: (1) The specific standards that reliability and will serve as the baseline member organizations will not be required to will govern when SRO rules and related provide trade data or information, pursuant to the requirement needed before OATS can be rule for trades reported to the CAT after FINRA systems that are duplicative of CAT— retired to account for information being announces that it has determined that the accuracy including the Order Audit Trail System available in the CAT.34 and reliability of the CAT are sufficient to replace (‘‘OATS’’), the Consolidated Options FINRA noted that the Participants requests pursuant to FINRA’s EBS rules. When Audit Trail System (‘‘COATS’’), and the NYSE filed Amendment No. 1 to its proposal with established an initial Error Rate, as the Commission, it also submitted Amendment No. Electronic Blue Sheets system defined in the Plan, of 5% on initially 1 to the public comment file for its proposal. (‘‘EBS’’)—will be modified or submitted data (i.e., data as submitted 27 Amendment No. 1 to SR–NYSEArca–2017–59: eliminated; (2) whether the availability by a CAT Reporter before any required (1) Added introductory language to NYSE Arca’s of data from Small Industry Members in 35 OATS rules to clarify that the OATS rules will be corrections are performed). The deleted upon announcement by FINRA that the November of 2018 would facilitate Participants noted in the Plan their CAT has achieved a level of accuracy and reliability duplicative systems retirement; and (3) expectation that ‘‘error rates after sufficient to replace OATS; and (2) modified NYSE the feasibility of granting exemptions reprocessing of error corrections will be Arca’s EBS rule text to clarify that NYSE Arca will from reporting to duplicative systems to 36 not request trade data or information, and ETP de minimis.’’ The Participants based Holders, OTP Holders, OTP Firms, and associated individual Industry Members whose this Error Rate on their consideration of persons of ETP Holders and OTP Firms (as defined CAT reporting meets certain accuracy ‘‘current and historical OATS Error in NYSE Arca’s rulebook) will not be required to and reliability thresholds. Rates, the magnitude of new reporting provide trade data or information, pursuant to the rule for trades reported to the CAT after FINRA A. Specific Accuracy and Reliability requirements on the CAT Reporters and announces that it has determined that the accuracy Standards the fact that many CAT Reporters may and reliability of the CAT are sufficient to replace have never been obligated to report data requests pursuant to FINRA’s EBS rules. 1. OATS to an audit trail.’’ 37 Amendment No. 1 to SR–NYSEArca–2017–57 In its Systems Retirement Proposal, added introductory language to NYSE Arca’s FINRA’s OATS rules require certain COATS-related rules to clarify that these rules will FINRA members to report a variety of FINRA expressed agreement with the be amended upon announcement by NYSE Arca, in data regarding transactions in OTC Participants’ conclusion that a 5% pre- conjunction with the other options exchanges, that equity securities and NMS stocks to the correction threshold ‘‘strikes the balance CAT has achieved a level of accuracy and reliability of adapting to a new reporting regime, sufficient to replace COATS. When NYSE Arca filed Amendment No. 1 to each of its proposed rule 29 This amendment: (1) Added introductory while ensuring that the data provided to changes with the Commission, it also submitted language to Phlx OATS rule series to clarify that the regulators will be capable of being used Amendment No. 1 to the public comment file for rules will be deleted upon announcement by Phlx to conduct surveillance and market each respective proposed rule change. that the CAT has achieved a level of accuracy and reconstruction, as well as having a 28 Amendment No. 1 to SR–NYSEMKT–2017–30: reliability sufficient to replace OATS; (2) added (1) Added introductory language to NYSE MKT’s introductory language to Phlx’s COATS-related sufficient level of accuracy to facilitate OATS rules to clarify that they will be deleted upon rules to clarify that the rules will be amended upon the retirement of existing regulatory announcement by FINRA that the CAT has announcement by Phlx that the CAT has achieved reports and systems where possible.’’ 38 achieved a level of accuracy and reliability a level of accuracy and reliability sufficient to However, FINRA believed that, when sufficient to replace OATS; and (2) modified NYSE replace COATS; (3) modified Phlx’s EBS rule text MKT’s EBS rule text to clarify that NYSE MKT will and language in Phlx Rule 1022 to clarify that Phlx assessing the accuracy and reliability of not request trade data or information, and member will not request trade data or information, and the data for the purposes of retiring organizations and ATP Holders (as defined in NYSE members will not be required to provide trade data OATS, the error thresholds should be MKT’s rulebook) will not be required to provide or information, pursuant to the EBS Rule or Rule measured in more granular ways and trade data or information, pursuant to the rule for 1022 for trades reported to the CAT after Phlx trades reported to the CAT after FINRA announces announces that is has determined that the accuracy should also include minimum error that it has determined that the accuracy and and reliability of the CAT are sufficient to replace rates of post-correction data, which reliability of the CAT are sufficient to replace requests pursuant to these rules; and (4) made a conforming change to Phlx Option Floor Procedure requests pursuant to FINRA’s EBS rules. 32 See FINRA Rule 7400. Advices and Order and Decorum Regulations C–2 Amendment No. 1 to SR–NYSEMKT–2017–29 33 to delete rule text that corresponds to rule text that See BX Rule 6950, IEX Rule 11.420, NASDAQ added introductory language to NYSE MKT’s Rule 7000A Series, NYSE Rule 7400 Series, NYSE COATS-related rules to clarify that the COATS- Phlx previously proposed to delete in Rule 1063. When Phlx filed Amendment No. 2 to its proposal Arca Rule 6–E, and NYSE MKT Rule 7400— related rules will be amended upon announcement Equities Series, Phlx Rule 3400 series. by NYSE MKT, in conjunction with the other with the Commission, it also submitted 34 See FINRA Notice, 82 FR at 25424. options exchanges, that CAT has achieved a level Amendment No. 2 to the public comment file for 35 of accuracy and reliability sufficient to replace its proposal. See CAT NMS Plan, Appendix B, Section COATS. When NYSE MKT filed Amendment No. 1 30 15 U.S.C. 78s(b)(2)(B). A.3(b). to each of its proposed rule changes with the 31 For purposes of this notice and order, 36 CAT NMS Plan, Appendix C, Section A.3(b), at Commission, it also submitted Amendment No. 1 to capitalized terms are defined as set forth in the n. 102. the public comment file for each respective Notices or in the CAT NMS Plan unless otherwise 37 CAT NMS Plan, Appendix C, Section A.3(b). proposed rule change. specified. 38 Id. See also FINRA Notice, 82 FR at 25424.

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represents the data most likely to be rejection rates (measured separately for same match rate for orders linked to used by FINRA to conduct surveillance. equities and options) must be no more trade reports. Although FINRA is proposing to than 5% pre-correction or 2% post- FINRA believes that an error rate of measure the appropriate error rates in correction across all CAT Reporters. 5% or lower, measured on a pre- the aggregate rather than firm-by-firm, • Intra-Firm Linkages. The Plan correction or as-submitted basis, and FINRA expressed the belief that the requires that ‘‘the Plan Processor must 2% or lower on a post-correction basis error rates for equity securities should be able to link all related order events (measured at T+5),50 should be attained be measured separately from options from all CAT Reporters involved in the since options orders are not currently across a 180-day period before retiring lifecycle of an order.’’ 44 At a minimum, reported regularly or included in OATS. FINRA believes that this time this requirement includes the creation OATS.39 period is necessary to reveal any errors FINRA has proposed that, before of an order lifecycle between ‘‘[a]ll order that could manifest themselves only OATS could be retired, the CAT would events handled within an individual after surveillance patterns and other generally need to achieve a sustained CAT Reporter, including orders routed queries have been run and to confirm error rate for Industry Member reporting to internal desks or departments with that the Plan Processor is meeting its in each of the categories below: different functions (e.g., an internal obligations and performing its functions 45 • Rejection Rates and Data ATS).’’ FINRA is proposing that adequately. FINRA would not require a Validations. Data validations for the aggregate intra-firm linkage rates across maximum 5% pre-correction error rate all Industry Member Reporters must be CAT, while not expected to be designed and 2% post-correction error rate each at least 95% pre-correction and 98% the same as OATS, must be functionally day for 180 consecutive days. FINRA’s post-correction. equivalent to OATS in accordance with Systems Retirement Proposal also • the CAT NMS Plan (i.e., the same types Inter-Firm Linkages. The order provides that, during the 180-day period of basic data validations must be linkage requirements in the Plan also over which the thresholds are performed by the Plan Processor to require that the Plan Processor be able calculated, FINRA’s use of the data in comply with the CAT NMS Plan to create the lifecycle between orders the CAT must confirm that (i) usage requirements). Appendix D of the Plan, 46 routed between broker-dealers. FINRA over that time period has not revealed for example, requires that certain file is proposing that at least a 95% pre- validations40 and syntax and context material issues that have not been correction and 98% post-correction corrected, (ii) the CAT includes all data checks be performed on all submitted aggregate match rate be achieved for 41 necessary to allow FINRA to continue to records. If a record does not pass these orders routed between two Industry meet its surveillance obligations, and basic data validations, it must be Member Reporters. rejected and returned to the CAT (iii) the Plan Processor is sufficiently • Reporter to be corrected and Order Linkage Rates. In addition to meeting all of its obligations under the resubmitted.42 The specific validations creating linkages within and between Plan. broker-dealers, the Plan also includes can be determined only after the Plan Finally, FINRA notes that it will Processor has finalized the Industry requirements that the Plan Processor be able to create lifecycles to link various implement the deletion of its OATS Member Technical Specifications; rules on a date to be announced in a however, the Plan also requires the Plan pieces of related orders.47 For example, Regulatory Notice once FINRA Processor to provide daily statistics on the Plan requires linkages between concludes the thresholds for accuracy rejection rates after the data has been customer orders and ‘‘representative’’ processed, including the number of files orders created in firm accounts for the and reliability described above have 51 rejected and accepted, the number of purpose of facilitating a customer order, been met. In addition, FINRA added order events accepted and rejected, and various legs of option/equity complex proposed introductory language to its the number of each type of report orders, riskless principal orders, and OATS rules in its Amendment No. 1 rejected.43 FINRA is proposing that, orders worked through average price that clarified that, if approved, the over the 180-day period, aggregate accounts.48 FINRA is proposing that OATS rules will be deleted from its there be at least a 95% pre-correction rulebook upon announcement by FINRA 39 See FINRA Notice, 82 FR at 25424. and 98% post-correction linkage rate for that the CAT has achieved a level of 40 See CAT NMS Plan, Appendix D, Section 7.2. multi-legged orders (e.g., related equity/ accuracy and reliability sufficient to The Plan requires the Plan Processor to confirm that options orders, VWAP orders, riskless file transmission and receipt are in the correct replace OATS. formats, including validation of header and trailers principal transactions). In their Systems Retirement on the submitted report, confirmation of a valid • Exchange and TRF/ORF Match 52 SRO-Assigned Market Participant Identifier, and Proposals, some of the OATS SROs verification of the number of records in the file. See Rates. The Plan requires that an order proposed to assess when to eliminate id. lifecycle be created to link ‘‘[o]rders their respective OATS rules based on 41 See id. The Plan notes that syntax and context routed from broker-dealers to the same accuracy and reliability checks would include format checks (i.e., that data exchanges’’ and ‘‘[e]xecuted orders and standards as proposed by FINRA, and to is entered in the specified format); data type checks 49 (i.e., that the data type of each attribute conforms trade reports.’’ FINRA is proposing at announce the implementation date of to the specifications); consistency checks (i.e., that least a 95% pre-correction and 98% the elimination of their OATS rules via all attributes for a record of a specified type are post-correction aggregate match rate to regulatory notice once each has consistent); range/logic checks (i.e., that each each equity exchange for orders routed attribute for every record has a value within concluded that these standards have specified limits and the values provided are from Industry Members to an exchange associated with the event type they represent); data and, for over-the-counter executions, the validity checks (i.e., that each attribute for every 50 The Plan requires the Plan Processor to ensure record has an acceptable value); completeness 44 CAT NMS Plan, Appendix D, Section 3. that regulators have access to corrected and linked checks (i.e., that each mandatory attribute for every 45 order and Customer data by 8:00 a.m. Eastern Time record is not null); and timeliness checks (i.e., that Id. the records were submitted within the submission 46 See id. on T+5. See CAT NMS Plan, Appendix C, Section timelines). See id. 47 See id. A.2(a). 42 See id. 48 See id. 51 See FINRA Notice, 82 FR at 25426. 43 See id. 49 Id. 52 BX, IEX, NASDAQ, and Phlx.

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been met.53 Other OATS SROs 54 COATS. The COATS SROs also have 2% error rates would be measured proposed to implement the elimination proposed to eliminate certain provisions across a 180-day period. For purposes of of their OATS rules via regulatory of their rules that reference COATS or COATS retirement, the COATS SROs notice once FINRA has determined that implement COATS requirements 58 and/ have proposed to measure the error rates the accuracy and reliability standards or to replace certain provisions that for CAT records relating only to listed proposed by FINRA had been met, and implement COATS requirements with options and not to equities, as only FINRA publishes a notice announcing others that provide for compliance with options orders and transactions are the date it will retire its OATS rules.55 CAT requirements.59 currently subject to COATS reporting. Similar to the standards described in As with the proposals to retire OATS, 2. COATS the Systems Retirement Proposals that the COATS SROs believe that, during Bats BZX, Bats EDGX, BX, BOX, discuss eliminating OATS-related rules, the minimum 180-day period during CBOE, C2, NASDAQ, NYSE Arca, NYSE the COATS SROs believe that, before which the error thresholds are MKT, and Phlx (collectively, the COATS can be retired and the proposed calculated, their use of CAT Data must ‘‘COATS SROs’’) utilize COATS to modifications to COATS-related rules confirm that (1) there are no material collect and review data regarding can be implemented, the CAT would issues that have not been corrected, (2) orders, quotes, and transactions in listed need to achieve an aggregate average the CAT includes all data necessary to options.56 In their Systems Retirement error rate of 5% or lower measured on allow the COATS SROs to continue to Proposals, the COATS SROs noted that a pre-correction or as-submitted basis, meet their surveillance obligations, and the Participants have provided COATS and 2% or lower on a post-correction (3) the Plan Processor is sufficiently technical specifications to the CAT Plan basis (measured at T+5).60 The 5% and meeting all of its obligations under the Processor for use in developing the CAT NMS Plan. Each COATS SRO also Technical Specifications for the CAT, 58 See CBOE Notice, 82 FR at 25430 (proposing noted that, if the Commission approves and that the Participants are working to eliminate, from CBOE Rule 6.24, references to its proposed rule change, it would with the Plan Processor to include the and background on COATS as well as COATS requirements regarding the reporting of the time of announce the date for modification or necessary COATS data elements in the receipt of an execution report); NYSE Arca Notice elimination, as applicable, of reporting CAT Technical Specifications.57 2, 82 FR at 25640 (proposing to eliminate the requirements and the implementation Accordingly, the COATS SROs have COATS-related clock synchronization requirements date of the proposed rule changes via proposed to eliminate COATS once CAT of NYSE Arca Rule 6.20–O). 59 See BX Notice, 82 FR at 25876 (proposing to regulatory notices or circulars that is operational and CAT Data is eliminate the COATS-based information reporting would be published once the thresholds sufficiently accurate and reliable for the requirements of BX Chapter V, Section 7, and to for accuracy and reliability described COATS SROs to perform the regulatory replace them with a requirement that BX members above have been met and the Plan functions that they now perform via maintain order records consisting of the elements Processor is sufficiently meeting all of required by BX’s CAT Compliance Rule); 61 Amendment No. 1 to BOX Notice (proposing to its obligations under the Plan. In 53 See BX Notice, 82 FR at 25873–74; IEX Notice, eliminate the COATS-based data requirements of amendments to their respective filings, 82 FR at 25401–02; NASDAQ Notice, 82 FR at BOX Rule 7120(b) and to replace them with a 25821–22; Phlx Notice, 82 FR at 25864. Similar to each COATS SRO also added requirement that order tickets consist of the introductory language to each of the FINRA, each of these Exchanges also added elements required by BOX’s CAT Compliance Rule); proposed introductory language to its OATS rules CBOE Notice, 82 FR at 25430 (proposing to amend rules that it has proposed to modify in to clarify that, if approved, the OATS rules will be various interpretations and policies of CBOE Rule connection with the retirement of deleted from its rulebook upon announcement by 6.24 to require that certain systems and data reports the Exchange that CAT has achieved a level of COATS specifying that the rule will be comply with the functionality and format amended upon announcement by the accuracy and reliability sufficient to replace OATS. requirements of CAT rather than COATS); Nasdaq See Amendment No. 1 to IEX Notice and Notice, 82 FR at 25824 (proposing to eliminate the SRO that the CAT has achieved a Amendment No. 2 to BX Notice, NASDAQ Notice, COATS-based information reporting requirements sufficient level of accuracy and and Phlx Notice. of Nasdaq Chapter V, Section 7, and to replace them reliability.62 54 NYSE, NYSE Arca, and NYSE MKT. with a requirement that Nasdaq members maintain 55 See NYSE Notice, 82 FR at 25636–37; NYSE order records consisting of the elements required by Notice, 82 FR at 25387–88; CBOE Notice, 82 FR at Arca Notice 1, 82 FR at 25363–64; NYSE MKT Nasdaq’s CAT Compliance Rule); NYSE Arca Notice 25432; NYSE Arca Notice 2, 82 FR at 25641; NYSE Notice 2, 82 FR at 25440. Similar to FINRA, each 2, 82 FR at 25640 (proposing to amend NYSE Arca MKT Notice 1, 82 FR at 25445; NASDAQ Notice, of NYSE, NYSE Arca, and NYSE MKT also added Rule 6.68–O to require order records to include the 82 FR at 25825; Phlx Notice, 82 FR at 25869. proposed introductory language to its OATS rules elements required by NYSE Arca’s CAT Compliance 61 See Bats BZX Notice, 82 FR at 25376; Bats to clarify that, if approved, the OATS rules will be Rule rather than the elements required under EDGX Notice, 82 at FR 25361; CBOE Notice, 82 FR deleted from its rulebook upon announcement by COATS); NYSE MKT Notice 1, 82 FR at 25444 at 25432; C2 Notice, 82 FR at 25388 (all stating that FINRA that the CAT has achieved a level of (proposing to amend NYSE MKT Rule 956NY to the proposed modifications will be implemented accuracy and reliability sufficient to replace OATS. require order records to include the elements See Amendment No. 1 to NYSE Notice, NYSE Arca ‘‘once the Exchange (and other options exchanges required by NYSE MKT’s CAT Compliance Rule with respect to COATS and EBS) determines that Notice 1, and NYSE MKT Notice 2. rather than the elements required under COATS); the thresholds for accuracy and reliability described 56 COATS was developed to comply with an order Phlx Notice, 82 FR at 25868 and Amendment No. above have been met and that the Plan Processor of the Commission requiring CBOE, in coordination 2 to Phlx Notice (proposing to amend Phlx Rule is sufficiently meeting all of its obligations under with other exchanges, to design and implement a 1063, which implements certain reporting the CAT NMS Plan’’); BX Notice, 82 FR at 25877, consolidated audit trail to ‘‘enable the options requirements related to COATS, and Option Floor NASDAQ Notice, 82 FR at 25826, and Phlx Notice, exchanges to reconstruct markets promptly, Procedure Advices and Order and Decorum 82 FR at 25869 (all stating that the proposed effectively surveil them and enforce order handling, Regulation C–2, which repeats these requirements modifications will be implemented ‘‘once [the firm quote, trade reporting and other rules.’’ and imposes a schedule of fines for violating them, Exchange] concludes the thresholds for accuracy Securities Exchange Act Release No. 43268, Section by replacing the COATS requirements with and reliability described above have been met and IV.B.e.(v) (September 11, 2000) (Administrative provisions stating that order records must include that the Plan Processor is sufficiently meeting all of Proceeding File No. 3–10282) (Order Instituting the elements enumerated in Phlx’s CAT its obligations under the CAT NMS Plan’’); BOX Public Administrative Proceedings Pursuant to Compliance Rule). See also Bats EDGX Notice, 82 Notice, 82 FR at 25494, NYSE Arca Notice 2, 82 FR Sections 19(h)(1) of the Act, Making Findings and FR at 25359; BZX Notice, 82 FR at 25375; C2 at 25640, and NYSE MKT Notice 1, 82 FR at 25444 Imposing Remedial Sanctions). Notice, 82 FR at 25386 (noting that BZX, EDGX, and (all stating that the proposed modifications will be 57 See Bats BZX Notice, 82 FR at 25375; Bats C2 do not have any specific rules or requirements implemented ‘‘once the options exchanges EDGX Notice, 82 FR at 25359; BOX Notice, 82 FR related to COATS but refer to the retirement of determine that the thresholds for accuracy and at 25492; BX Notice, 82 FR at 25876; C2 Notice, 82 COATS in their filings to be consistent with the reliability described . . . have been met and that FR at 25386; CBOE Notice, 82 FR at 25430; NYSE other options exchanges). the Plan Processor is sufficiently meeting all of its Arca Notice 2, 82 FR at 25640; NYSE MKT Notice 60 See Bats BZX Notice, 82 FR at 25376; Bats obligations under the CAT NMS Plan’’). 1, 82 FR at 25444; NASDAQ Notice, 82 FR at 25824; EDGX Notice, 82 FR at 25360–61; BOX Notice, 82 62 See Amendment No. 1 to Bats BZX Notice, Bats Phlx Notice, 82 FR at 25868. FR at 25493–94; BX Notice, 82 FR at 25877; C2 EDGX Notice, BOX Notice, C2 Notice, CBOE Notice,

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3. EBS remain in effect with respect to those addition, each of the EBS SROs states transactions. that it (or, in some cases, FINRA) can Each of Bats BZX, Bats EDGX, BX, Each of the EBS SROs proposed to rely on CAT Data to replace EBS BOX, CBOE, C2, FINRA, IEX, ISE, add new language to its EBS rule to requests only after it has determined MIAX, PEARL, Phlx, NASDAQ, NYSE, clarify how it will request data under that its usage of the CAT Data over a NYSE Arca, and NYSE MKT (each an these rules after members are reporting 180-day period has not revealed ‘‘EBS SRO’’) has a rule requiring a to the CAT.66 Specifically, the proposed material issues that have not been member, upon request by the SRO, to new language notes that the SRO will corrected, confirmed that the CAT provide trading information using the not request trade data or information includes all data necessary to allow it or electronic blue sheets (‘‘EBS’’) system in under the rule, and members will not be FINRA to continue to meet its such format as may be prescribed by the required to provide trade data or 63 surveillance obligations, and confirmed SRO. information under the rule, for trades that the Plan Processor is fulfilling its According to the EBS SROs, after reported to the CAT after the SRO (or, obligations under the Plan.69 broker-dealer reporting to the CAT in some cases, FINRA) announces that begins, CAT will contain much of the it has determined that the accuracy and 4. Other Rules data with respect to transactions in reliability of the CAT are sufficient to Certain Exchanges proposed to amend CAT-Eligible Securities that an SRO replace requests pursuant to the EBS other reporting rules that they have could otherwise have requested via the rule.67 determined are duplicative of CAT EBS system.64 Consequently, the EBS As noted above, the EBS SROs believe requirements. BatsBZX, BatsEDGX, SROs would no longer need to request (or reiterate FINRA’s belief) that the BOX, BX, C2, CBOE, MIAX, PEARL, information pursuant to the EBS Rules CAT must meet certain minimum Phlx, and NASDAQ currently have rules for transactions in CAT-Eligible accuracy and reliability standards before requiring certain market participants Securities after such time as appropriate it, or FINRA, could rely on the CAT (e.g., specialists and market makers) to thresholds for accuracy and reliability, Data to replace existing regulatory tools, report certain account or order including for customer and account including EBS. Therefore, the EBS SROs information for accounts over which the information, are achieved. However, the propose to implement the new rule text market participant engages in trading EBS SROs do not believe that the EBS related to their EBS rules only after CAT activities or exercises investment rules can be completely removed from achieves certain accuracy thresholds. discretion.70 These Exchanges stated their rulebooks and the EBS system The EBS SROs proposed similar completely retired, because EBS standards to those for eliminating at 25359; BOX Notice, 82 FR at 25493; C2 Notice, requests might have to be made to OATS-related rules set forth above, as 82 FR at 25386; CBOE Notice, 82 FR at 25431; IEX obtain information about transactions well as specific accuracy standards for Notice, 82 FR at 25403; ISE Notice, 82 FR at 25470– 68 71; MIAX Notice, 82 FR at 25367–68; NASDAQ occurring before CAT has attained an customer and account information. In Notice, 82 FR at 25823–24; PEARL Notice, 82 FR appropriate threshold for accuracy and at 25437–38; and Phlx Notice, 82 FR at 25866–68, reliability. Some of the EBS SROs 65 also 66 See Amendment No. 1 to Bats BZX Notice, Bats respectively (stating that each SRO will assess noted that their EBS rules apply to EDGX Notice, BOX Notice; C2 Notice, CBOE Notice, whether ‘‘an acceptable accuracy rate for customer FINRA Notice, IEX Notice, NYSE Notice, NYSE and account information’’ has been reached); transactions in non-CAT-Eligible Arca Notice 1, and NYSE MKT Notice 2; FINRA Notice, 82 FR at 25426; NYSE Notice, 82 FR Securities, such as fixed-income Amendment No. 2 to BX Notice, ISE Notice, at 25638; NYSE Arca Notice 1, 82 FR at 25365; and securities. Thus, the rules would have to NASDAQ Notice, PEARL Notice, and Phlx Notice; NYSE MKT Notice 2, 82 FR at 25442, respectively and Amendment No. 3 to MIAX Notice. (stating that FINRA will assess whether ‘‘an 67 See proposed revisions to Bats BZX Rule 24.4, accuracy rate for customer and account information NYSE Arca Notice 2, NYSE MKT Notice 1; and as modified by Amendment No. 1; proposed of 95% for pre-corrected data and 98% for post- Amendment No. 2 to BX Notice, NASDAQ Notice, revisions to Bats EDGX Rule 24.4, as modified by correction data’’ has been reached). and Phlx Notice. Amendment No. 1; proposed Supplementary 69 See Bats BZX Notice, 82 FR at 25376; Bats 63 See Bats BZX Rule 24.4; Bats EDGX Rule 24.4; Material to BX Equity Rule 8211, as modified by EDGX Notice, 82 FR at 25360–61; BOX Notice, 82 BOX Rule 10040; BX Equity Rule 8211; BX Options Amendment No. 2; proposed Supplementary FR at 25494; BX Notice, 82 FR at 25876; C2 Notice, Rule Chapter IX, Section 4; C2 Chapter 15 Material to BX Options Rule Chapter IX, Section 4, 82 FR at 25387; CBOE Notice, 82 FR at 25432; (incorporating CBOE Rule 15.7 by reference); CBOE as modified by Amendment No. 2; proposed FINRA Notice, 82 FR at 25426; IEX Notice, 82 FR Rule 15.7; IEX Rule 8.220; ISE Rule 1404; FINRA Interpretive Material to BOX Rule 10040, as at 25403; ISE Notice, 82 FR at 25471; MIAX Notice, Rules 8211 and 8213; MIAX Rule 804; Nasdaq modified by Amendment No. 1; C2 Chapter 15 82 FR at 25368; NYSE Notice, 82 FR at 25636; Equity Rule 8211; Nasdaq Options Rule Chapter IX, (incorporating by reference the proposed revisions NYSE Arca Notice 1, 82 FR at 25365; NYSE MKT Section 4; NYSE Rule 8211; NYSE Arca Rule to CBOE Rule 15.7); proposed revisions to CBOE Notice 2, 82 FR at 25442; NASDAQ Notice, 82 FR 10.2(e); NYSE MKT Rule 8211; Phlx Rule 785; Rule 15.7, as modified by Amendment No. 1; at 25824; PEARL Notice, 82 FR at 25438; Phlx PEARL Rule 804. PEARL notes that PEARL Rule proposed Supplementary Material to FINRA Rules Notice, 82 FR at 25868. NYSE, NYSE Arca, and 8211 and 8213, as modified by Amendment No. 1; 804 is incorporated by reference from the rules in NYSE MKT will implement this change by proposed Supplementary Material .01 to IEX Rule MIAX rulebook Chapter VIII. See PEARL Notice, 82 regulatory notice once FINRA publishes a notice 8.220, as modified by Amendment No. 1; proposed FR at 25437, n. 14. announcing a date that it will retire its EBS Rules Supplementary Material to ISE Rule 1404, as 64 See Bats BZX Notice, 82 FR at 25375; Bats and thus will rely on FINRA’s conclusion that the modified by Amendment No. 2; proposed EDGX Notice, 82 FR at 25359; BOX Notice, 82 FR Interpretation and Policy .01 to MIAX Rule 804, as described accuracy and reliability thresholds have at 25493; BX Notice, 82 FR at 25875; C2 Notice, 82 modified by Amendment No. 3; proposed been met and the CAT Plan Processor is sufficiently FR at 25386; CBOE Notice, 82 FR at 25431; FINRA Supplementary Material to Phlx Rule 785, as meeting all of its obligations under the CAT NMS Notice, 82 FR at 25426; IEX Notice, 82 FR at 25403; modified by Amendment No. 2; proposed Plan. See NYSE Notice, 82 FR at 25636; NYSE Arca ISE Notice, 82 FR at 25470; MIAX Notice, 82 FR at Supplementary Material to Nasdaq Equity Rule Notice 1, 82 FR at 25365; NYSE MKT Notice 2, 82 25367; NYSE Notice, 82 FR at 25637; NYSE Arca 8211, as modified by Amendment No. 2; proposed FR at 25442. Notice 1, 82 FR at 25364; NYSE MKT Notice 2, 82 Supplementary Material to Nasdaq Options Rule 70 See Bats BZX Rule 22.7 and Interpretation and FR at 25442; NASDAQ Notice, 82 FR at 25823; Chapter IX Section 4, as modified by Amendment Policy .01 to Bats BZX Rule 22.7 (requiring market PEARL Notice, 82 FR at 25437; Phlx Notice, 82 FR No. 2; proposed Supplementary Material .01 to makers to identify accounts and report orders, and at 25866. NYSE Rule 8211, as modified by Amendment No. specifying requirements for joint accounts); Bats 65 See Bats BZX Notice, 82 FR at 25375; Bats 1; proposed Commentary .01(E) to NYSE Arca Rule EDGX Rule 22.7 and Interpretation and Policy .01 EDGX Notice, 82 FR at 25359–60; BX Notice, 82 FR 10.2, as modified by Amendment No. 1; proposed to Bats EDGX Rule 22.7 (requiring market makers at 25875; CBOE Notice, 82 FR at 25431; C2 Notice, Supplementary Material .01 to NYSE MKT Rule to identify accounts and report orders, and 82 FR at 25386–87; FINRA Notice, 82 FR at 25426; 8211, as modified by Amendment No. 1; proposed specifying requirements for joint accounts); BOX Phlx Notice, 82 FR at 25867 ; NASDAQ Notice, 82 Interpretation and Policy .01 to PEARL Rule 804, Rule 8060 (requiring market makers to identify FR at 25823; NYSE Notice, 82 FR at 25637; NYSE as modified by Amendment No. 2. accounts and report orders, and specifying Arca Notice 1, 82 FR at 25365; and NYSE MKT 68 See BX Notice, 82 FR at 25876; Bats BZX requirements for joint accounts); BX Options Rule Notice 2, 82 FR at 25442. Notice, 82 FR at 25375; Bats EDGX Notice, 82 FR Continued

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that, once broker-dealers are reporting to duplicative of CAT while retaining their Data to replace information required to CAT, CAT will contain some of the data position reporting requirements, which be reported under duplicative rules only the Exchanges would otherwise have are not duplicative of CAT.73 In their after it has determined that its usage of requested under these rules.71 Similar to respective amendments, these the CAT Data over a 180-day period has the proposed revisions to the EBS rules, Exchanges proposed to add introductory not revealed material issues that have some of the Exchanges have proposed to language to these rules to clarify that the not been corrected, confirmed that the add new text to these order and account rules will be amended upon CAT includes all data necessary to identification rules stating that the announcement by the Exchange that the allow it to continue to meet its Exchange will not request information CAT has achieved a sufficient level of surveillance obligations, and confirmed under the rule, and members will not be accuracy and reliability.74 that the CAT Plan Processor is fulfilling required to provide information under In addition, CBOE and EDGX its obligations under the CAT NMS the rule, for trades reported to CAT after currently require members to submit to Plan.77 the Exchange announces that it has the Exchange stock transaction B. Small Industry Member Data determined that the accuracy and information for each Qualified Availability reliability of the CAT are sufficient to Contingent Cross order executed at the replace requests pursuant to the rule.72 Exchange.75 CAT will require exchange As noted above, the CAT NMS Plan Other Exchanges have proposed to members to report stock transaction requires the SROs, in their Systems revise these rules by deleting specific information. Therefore, CBOE and Retirement Proposals, to address reporting requirements that are EDGX intend to eliminate this reporting ‘‘whether the availability of certain data requirement in accordance with the from Small Industry Members two years Chapter VII, Section 7 and Commentary .01 to BX proposed timeline and standards below. after the Effective Date would facilitate Options Rule Chapter VII, Section 7 (requiring These Exchanges proposed standards a more expeditious retirement of market makers to identify accounts and report 78 for when the proposed modifications to duplicative systems.’’ orders, and specifying requirements for joint In its Systems Retirement Proposal, accounts); C2 Rule 8.7 (requiring market makers to these reporting rules will be FINRA stated its view that there is no identify accounts and report orders, and specifying implemented that are similar to those effective way to retire OATS until all requirements for joint accounts); CBOE Rule 8.9 and for eliminating OATS-related rules set Interpretation and Policy .07 to CBOE Rule 8.9 current OATS reporters are reporting to forth above. Accordingly, these (requiring market makers to identify accounts and the CAT and that having data from report orders, and specifying requirements for joint Exchanges proposed that CAT would Small Industry Members currently accounts); MIAX Rule 607 (requiring market makers need to achieve a sustained error rate for reporting to OATS available two years to identify accounts and report orders, and a period of at least 180 days of 5% or specifying requirements for joint accounts); Nasdaq after the Effective Date rather than three lower measured on a pre-correction or Options Rule Chapter VII, Section 7 and would ‘‘substantially facilitate a more Commentary .01 to Nasdaq Options Rule Chapter as-submitted basis, and 2% or lower on 79 VII, Section 7 (requiring market makers to identify expeditious retirement of OATS.’’ a post-correction basis (measured at Therefore, FINRA supports an accounts and report orders, and specifying T+5).76 These Exchanges have proposed requirements for joint accounts); PEARL Rule 606 amendment to the Plan that would and Interpretation and Policy .01 to PEARL Rule to measure the 5% pre-correction and require current OATS reporters that are 606 (requiring market makers to identify accounts 2% post-correction thresholds by and report orders, and specifying requirements for Small Industry Members to report to averaging the error rate across the CAT two years after the Effective Date joint accounts); Phlx Options Rule 1022 and period, not requiring a 5% pre- Commentary .01 and .02 to Phlx Options Rule 1022 (instead of three) and stated that it (requiring specialists and market makers to identify correction and 2% post-correction intends to work with the other SROs to accounts and, with respect to options in a foreign maximum each day for 180 consecutive propose such an amendment to the currency, make available books and records days. In addition, each of these Plan.80 concerning transactions). Exchanges stated that it can rely on CAT 71 See Bats BZX Notice, 82 FR at 25375; Bats FINRA has identified approximately EDGX Notice, 82 FR at 25359; BOX Notice, 82 FR 300 member firms that currently report at 25492; BX Notice at 25875; C2 Notice, 82 FR at 73 See proposed revisions to Bats BZX Rule to OATS and meet the definition of 22.7(b) and Interpretation and Policy .01 to Bats 25386; CBOE Notice, 82 FR at 25431; MIAX Notice, ‘‘Small Industry Member.’’ According to 82 FR at 25367; NASDAQ Notice, 82 FR at 25823; BZX Rule 22.7 (proposing to replace requirement PEARL Notice, 82 FR at 25437; Phlx Notice, 82 FR that market makers report orders with requirement FINRA, only ten of these firms submit at 25866. that market makers report positions and eliminate information to OATS on their own 72 See proposed Interpretive Material 8060–1 to required elements of report pertaining to orders); behalf, and eight of those ten firms proposed revisions to Bats EDGX Rule 22.7(b) and BOX Rule 8060, as modified by Amendment No. 1; report very few records to OATS.81 The proposed Commentary .02 to BX Options Rule Interpretation and Policy .01 to Bats EDGX Rule Chapter VII, Section 7, as modified by Amendment 22.7 (proposing to replace requirement that market 77 No. 2; proposed Interpretation and Policy .01 to makers report orders with requirement that market See Bats BZX Notice, 82 FR at 25376; Bats MIAX Rule 607, as modified by Amendment No. 3; makers report positions and eliminate required EDGX Notice, 82 FR at 25360–61; BX Notice, 82 FR proposed Commentary .02 to Nasdaq Options Rule elements of report pertaining to orders); proposed at 25876; BOX Notice, 82 FR at 25494; C2 Notice, Chapter VII, Section 7, as modified by Amendment revisions to C2 Rule 8.7(b) (proposing to replace 82 FR at 25387; CBOE Notice, 82 FR at 25432; No. 2; proposed Interpretation and Policy .02 to requirement that market makers report orders with MIAX Notice, 82 FR at 25368; NASDAQ Notice, 82 PEARL Rule 606, as modified by Amendment No. requirement that market makers report positions FR at 25824; PEARL Notice, 82 FR at 25438; Phlx 2; proposed Commentary .03 to Phlx Options Rule and eliminate required elements of report Notice, 82 FR at 25867–68. 1022, as modified by Amendment No. 2. In pertaining to orders); proposed revisions to CBOE 78 CAT NMS Plan, Appendix C, Section C.9. addition, BZX, CBOE, and EDGX proposed language Rule 8.9(b) and Interpretation and Policy .07 to 79 FINRA Notice, 82 FR at 25425. for other rules that require the furnishing of data CBOE Rule 8.9 (proposing to replace requirement 80 FINRA notes that the 180-day timeframes similar to the proposed revisions to the EBS rules— that market makers report orders with requirement discussed above with respect to usage of the data that is, that they will not request information for that market makers report positions and eliminate and calculation of error rates would apply to data trades reported to the CAT after each has required elements of report pertaining to orders). reported to the CAT by Small Industry Members announced that it has determined that CAT is 74 See Amendment No. 1 to each of Bats BZX that are reporting to OATS. If an amendment to the sufficiently accurate and reliable. See Amendment Notice, Bats EDGX Notice, C2 Notice, and CBOE Plan to accelerate the reporting requirement for No. 1 to BZX Notice (proposing to add such Notice. those firms is not approved, the retirement of OATS language to Interpretation and Policy .02 to BZX 75 See CBOE Notice, 82 FR at 25431; EDGX could not be accomplished until at least 180 days Rule 4.2); Amendment No. 1 to EDGX Notice Notice, 82 FR at 25360. after Small Industry Members begin reporting, (proposing to add such language to Interpretation 76 The Plan requires the Plan Processor to ensure which is currently scheduled to begin in November and Policy .02 to EDGX Rule 4.2); Amendment No. that regulators have access to corrected and linked 2019. See FINRA Notice, 82 FR at 25425. 1 to CBOE Notice (proposing to add such language order and Customer data by 8:00 a.m. Eastern Time 81 See FINRA Notice, 82 FR at 25425 (noting that to Interpretation and Policy .04 to CBOE Rule 17.2). on T+5. See CAT NMS Plan, at C–15. in one recent month eight of the ten firms submitted

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vast majority of these 300 firms use EBS SROs stated that the submission of gaps as a result of such exemptions. third parties to fulfill their reporting data to the CAT by Small Industry These SROs believed that such a obligations, and many of these third Members a year earlier than is required function would be costly to create and parties will begin reporting to CAT in in the CAT NMS Plan, at the same time would give rise to a greater likelihood November 2018. Consequently, FINRA as the other Industry Members, would of data errors or other issues. These believes that the burden on current expedite the replacement of EBS data SROs stated that, given the limited time OATS reporters that are Small Industry with CAT Data because CAT would then in which such exemptions would be Members would not be significant if have all necessary data from Industry necessary, they did not believe that such those firms are required to report to Members to enable these SROs to exemptions would be an appropriate CAT beginning in November 2018 rather perform the regulatory surveillance that use of limited resources. Some of the than November 2019. FINRA does not currently is performed via EBS.86 SROs also noted that, if an amendment believe that it is necessary or C. Individual Industry Member to require Small Industry Members who appropriate to accelerate CAT reporting Exemptions currently report to OATS to begin for Small Industry Members that are not reporting to CAT in November of 2018 currently reporting to OATS.82 As noted above, the CAT NMS Plan were approved by the Commission, The Systems Retirement Proposals of also requires the SROs, in their Systems there would be no need to exempt BX, IEX, NYSE, NYSE Arca, NYSE Retirement Proposals, to address members from OATS requirements on a MKT, NASDAQ, and Phlx contain the ‘‘whether individual Industry Members firm-by-firm basis.90 can be exempted from reporting to same analysis as FINRA (or summarize FINRA argued that the primary FINRA’s analysis) in connection with duplicative systems once their CAT reporting meets specified accuracy and beneficiary of its proposed approach whether the earlier availability of data would be the investing public.91 FINRA from Small Industry Members would reliability standards, including, but not limited to, ways in which establishing noted that firm-by-firm retirement of facilitate the retirement of their own OATS would require merging OATS respective OATS rules, and these cross-system regulatory functionality or integrating data from existing systems and CAT data, and that such an Exchanges expressed support for the approach would be ‘‘technologically 83 and the CAT would facilitate such Plan amendment described by FINRA. costly and difficult and could introduce Some of the Systems Retirement Individual Industry Member exemptions.’’ 87 errors into the data being surveilled that Filings also discussed how earlier did not exist prior to integration.’’ 92 availability of data from Small Industry All of the SROs stated (or reiterated FINRA’s statement) that a single ‘‘cut- FINRA further stated that conducting its Members might affect the retirement of surveillance using a single source systems other than OATS. The COATS over’’ from existing systems to CAT is preferable to elimination of OATS ‘‘increases the efficiency and SROs expressed the view that COATS reporting requirements on a firm-by- effectiveness of the process and should not be retired until all firm basis.88 Some of the SROs stated improves the integrity of the Participants and Industry Members that markets.’’ 93 FINRA noted that the report data to COATS are reporting that providing individual exemptions to Industry Members would be inefficient, potential costs of this approach would comparable data to the CAT.84 They more costly, and less reliable than the be borne by those firms that would have noted that, while the early submission single cut-over.89 These SROs further met an individual threshold sooner and of options data to the CAT by Small that the approach could disincentivize Industry Members could expedite the stated that providing individual exemptions would require the individual firms from meeting the retirement of COATS, they believe it minimum error rate thresholds, which premature to consider such a change, temporary creation of a cross-system regulatory function and the integration could, at the margin, extend the period and that additional analysis would be of duplicative reporting for all firms.94 necessary to determine whether such of data from existing systems and the CAT to avoid creating any regulatory However, FINRA noted this disincentive early reporting by Small Industry would be small for firms with Members would be feasible. Some of the and PEARL Rule 606, which require certain account significant reporting burdens, as they EBS SROs made statements similar to and order information to be reported. See MIAX would want to end duplicative reporting the COATS SROs with respect to Notice, 82 FR at 25368; PEARL Notice at 25437–38. quickly, and that firms that otherwise whether earlier availability of data from 86 See BX Notice, 82 FR at 25876; ISE Notice, 82 FR at 25470; NASDAQ Notice, 82 FR at 25824; Phlx delay in meeting their error rates could Small Industry Members would incur higher costs through enforcement facilitate EBS retirement,85 while other Notice, 82 FR at 25867. 87 CAT NMS Plan, Appendix C, Section C.9. actions.95 88 See Bats BZX Notice, 82 FR at 25376; Bats fewer than 100 reports during the month, with four EDGX Notice, 82 FR at 25360; BOX Notice, 82 FR III. Summary of Comments firms submitting fewer than 50). at 25493; BX Notice, 82 FR at 25875–77; C2 Notice, 82 See id. 82 FR at 25387; CBOE Notice, 82 FR at 25431–32; The Commission received four 83 See BX Notice, 82 FR at 25874–75; IEX Notice, FINRA Notice, 82 FR at 25425; IEX Notice, 82 FR comments that were submitted to File 82 FR at 25402; NYSE Notice, 82 FR at 25636; at 25402; ISE Notice, 82 FR at 25470; MIAX Notice, Number SR–FINRA–2017–13.96 Two of NYSE Arca Notice 1, 82 FR at 25364; NYSE MKT 82 FR at 25368; NYSE Notice, 82 FR at 25637; Notice 2, 82 FR at 25441; NASDAQ Notice, 82 FR NYSE Arca Notice 1, 82 FR at 25364; NYSE Arca the commenters noted that their at 25822–23; Phlx Notice, 82 FR at 25866. See also Notice 2, 82 FR at 25640; NYSE MKT Notice 1, 82 comments applied to the similar FINRA Notice, 82 FR at 25427–28. FR at 25445; NYSE MKT Notice 2, 82 FR at 25441; 84 See Bats BZX Notice, 82 FR at 25375–76; Bats NASDAQ Notice, 82 FR at 25823–25; PEARL 90 See BX Notice, 82 FR at 25875; FINRA Notice, EDGX Notice, 82 FR at 25360; BOX Notice, 82 FR Notice, 82 FR at 25438; Phlx Notice, 82 FR at 82 FR at 25426; NYSE Notice, 82 FR at 25637; at 25493; BX Notice, 82 FR at 25877; C2 Notice at, 25866–68. NYSE Arca Notice 1, 82 FR at 25364; NYSE MKT 82 FR at 25387; CBOE Notice, 82 FR at 25431; 89 See Bats BZX Notice, 82 FR at 25376; Bats Notice 2, 82 FR at 25441; NASDAQ Notice, 82 FR NYSE Arca Notice 2, 82 FR at 25640; NYSE MKT EDGX Notice, 82 FR at 25360; BOX Notice, 82 FR at 25823; Phlx Notice, 82 FR at 25866. Notice 1, 82 FR at 25444; NASDAQ Notice, 82 FR at 25493; BX Notice, 82 FR at 25876–77; C2 Notice, 91 See FINRA Notice, 82 FR at 25427. at 25825; Phlx Notice, 82 FR at 25868. 82 FR at 25387; CBOE Notice, 82 FR at 25431–32; 92 Id. 85 See MIAX Notice, 82 FR at 25368; PEARL ISE Notice, 82 FR at 25470; MIAX Notice, 82 FR at 93 Notice at 25437–38. MIAX and PEARL also make 25368; NYSE Arca Notice 2, 82 FR at 25640; NYSE Id. similar statements with respect to whether earlier MKT Notice 1, 82 FR at 25445; NASDAQ Notice, 94 See id. availability of data from Small Industry Members 82 FR at 25824–25; PEARL Notice, 82 FR at 25438; 95 See id. would facilitate the retirement of MIAX Rule 607 Phlx Notice, 82 FR at 25867–68. 96 See supra note 11.

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proposals made by the other SROs.97 $725,615 and argued that the benefits of B. Assessment Criteria While the commenters supported individual Industry Member exemptions All four of the commenters generally certain aspects of the Systems outweigh the ‘‘generalized and maintained that only data required by Retirement Proposals, there were unsubstantiated justifications against OATS or EBS rules today should be others—noted below—where the such an approach’’ outlined by the included in the accuracy and reliability commenters did not agree and believed SROs.103 metrics for system retirement, and that that the SROs had not provided One commenter stated that FINRA has CAT data elements or other aspects of adequate justification. not provided sufficient technological CAT that are not required by existing A. Possibility of Firm-by-Firm rationale to explain its opposition to systems should be outside the scope for Retirement individual firm exemptions, and assessment.110 One commenter argued, for example, that CAT error rates related All four of the commenters disagreed disagreed with FINRA’s conclusion that to customer information and options with the SROs’ proposed approach of the technology to merge OATS and CAT activity should not have any bearing on applying a single cut-over from existing would be costly and could introduce 104 the retirement of OATS, as FINRA does systems to CAT. Two of the commenters errors. The commenter argued that not rely on OATS for that argued that individual firms that there are ‘‘multiple possible approaches information.111 Another commenter achieve the quality criteria—even if the that could be used to integrate CAT and posed a number of clarifying questions industry as a whole has not—should be OATS data allowing FINRA to regarding the standards, including granted exemptions from reporting to effectively surveil the market, especially whether the proposed accuracy and existing systems until those systems can if FINRA and the Plan Processor work reliability metrics apply to Participants be retired. In the commenters’ view, the jointly on a cooperative solution.’’ 105 In as well as Industry Members, whether SROs’ proposed approach would addition, the commenter noted that, the proposed accuracy and reliability penalize firms that quickly and because the EBS retirement plan metrics for the OATS retirement plan consistently meet or exceed quality proposes to extract any data available in apply only to equities data, whether standards for CAT reporting.98 A third CAT before requesting historical data or customer and account information commenter argued that the single cut- data for asset classes not covered by accuracy standards are excluded from over approach provides little incentive CAT, the SROs can effectively merge the OATS retirement plan, whether the for an individual firm to reduce its error CAT data and existing EBS data to meet inter-firm linkage quality metric is rate, because the retirement of OATS their surveillance obligations.106 calculated as an aggregate measurement will be based on an industry-wide error Similarly, another commenter noted across all Industry Members, and rate that is beyond its control.99 that the Participants have committed to Two commenters took the view that whether the 2% post-correction error include the relevant fields required for rate is an average error rate over the FINRA had not provided sufficient cost/ the decommissioning of OATS in the benefit analysis to justify its position period calculated as the number of initial phase of CAT and recommended erroneous records, as measured on T+5 and emphasized the significant costs of that FINRA utilize data from CAT to duplicative reporting to broker- divided by the total number of records obtain what it would otherwise receive received.112 This commenter also dealers.100 One of these commenters from OATS.107 noted that broker-dealers who do not recommended that FINRA consider that Another commenter recommended outsource their regulatory reporting the average pre-correction error rate that the SROs include a cost-benefit (approximately 126 firms) spend on across the five categories (i.e., rejection analysis of a ‘‘CAT-to-OATS converter’’ average $725,615 per month on their rates, intra-firm linkages, inter-firm that would allow firms that meet the regulatory reporting obligations (which linkages, order linkage rates, exchange error rates to cease sending data to and TRF/ORF match rates) must achieve include OATS, EBS, large trader 108 101 OATS directly. Instead, the Plan 5%, but no single category could exceed reporting, and other reporting). This 113 commenter estimated that duplicative Processor would convert the CAT 7% for the pre-correction error rate. OATS and EBS reporting for these 126 reports of the firm into an OATS-eligible This commenter further recommended broker-dealer firms would cost more format and report that firm’s audit trail that corrections should be calculated than $20 million per month and stated information to OATS. The commenter under CAT in the same timeframes as that this approach would severely believed that this approach is under existing audit trail systems (i.e., penalize broker-dealer firms that rapidly technically possible based on comments T+6 for OATS and T+10 for EBS rather 114 and consistently met reporting made by the Plan Processor, and ‘‘that than T+5, as proposed). standards.102 Another commenter cited CAT Industry Member Specifications Three commenters raised concerns 109 the same average monthly cost of could incorporate this concept.’’ about the broader, qualitative factors proposed by the SROs—that during the 97 See FIF Letter at 1; Thomson Reuters Letter at 103 SIFMA Letter at 3–4. 180-day evaluation period material 1. 104 See FIF Letter at 3. issues are not revealed, that the CAT 98 See FIF Letter at 3; SIFMA Letter at 3–4 (noting 105 Id. (also stating that the Plan Processor could, includes all data necessary to allow that the inaccurate reporting of the ‘‘slowest’’ for example, route all CAT reports and errors FINRA to continue to meet its broker-dealers, in the absence of individual firm corrections from exempted firms to FINRA for exemptions, could force the whole industry to conversion and input into OATS, and that more surveillance obligations, and that the engage in duplicative reporting for an extended sophisticated data merge solutions are possible with period). a reasonable investment by FINRA and the Plan 110 See FIF Letter at 4; SIFMA Letter at 2; 99 See Fidelity Letter at 4. This commenter also Processor). Thomson Reuters Letter at 2–3; Fidelity Letter at 3. suggested that FINRA could ‘‘consider migrating 106 See id. at 4. 111 See SIFMA Letter at 2. See also Fidelity Letter firms in tranches, or phases, based on priority of 107 See SIFMA Letter at 3–4 (‘‘once a broker- at 3. those firms that first met the proposed error rates’’ dealer meets accuracy thresholds in CAT, and the 112 See FIF Letter at 4–5. if FINRA does not agree that a firm-by-firm surveillance logic is recreated with the Central 113 See id. Similarly, the commenter transition is appropriate. Id. Repository, FINRA should utilize a subset of data recommended that ‘‘the average post-correction 100 See FIF Letter at 3; Thomson Reuters Letter at from the CAT, and format it so that it effectively error rate across the five categories must achieve 3. mimics what it would have received from OATS’’). 2% but no single category could exceed a 3% post- 101 See FIF Letter at 3. 108 See Thomson Reuters Letter at 3. correction error rate.’’ Id. at 5. 102 See id. 109 Id. 114 See id.

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Plan Processor is sufficiently meeting all allows its reporting systems to serve as requirements.129 One commenter stated of its obligations under the Plan.115 Two many existing regulatory requirements that ‘‘this will enable a more complete commenters suggested that the Systems and accompanying surveillance set of transactions in the CAT audit trail Retirement Proposals should require programs as possible.’’ 123 and allow CAT to replace EBS as a more these conditions to be met before CAT complete reporting source for this D. Additional Plan Amendments goes live and acknowledge that data.’’ 130 Similarly, another commenter evaluation of all of these issues will All of the commenters supported noted that prime broker transactions are begin with CAT Participant reporting.116 requiring reporting for current OATS missing from the CAT NMS Plan, which Another commenter opined that these reporters 24 months after the CAT ‘‘may prevent the regulators from additional standards do not provide effective date. Of those, two commenters utilizing CAT data as envisioned.’’ 131 enough clarity regarding when FINRA supported the proposal to amend the IV. Proceedings To Determine Whether will retire OATS and provide too much CAT NMS Plan to accelerate CAT To Approve or Disapprove the Systems discretion to FINRA.117 reporting for Small Industry Members who currently report to OATS from 36 Retirement Proposals, as Modified by C. Assessment Length and Other to 24 months after the CAT Effective Amendments Thereto Considerations Relating to the Date.124 Two other commenters instead The Commission hereby institutes Assessment Period recommended that all current OATS proceedings pursuant to Section 19(b)(2) One commenter recommended that reporters—regardless of size—should of the Act 132 to determine whether the the SROs should consider shortening begin reporting to CAT in November of Systems Retirement Proposals of Bats the trial period if all criteria have been 2018 and all non-OATS reporters BZX, Bats EDGX, BOX, BX, C2, CBOE, met before the 180th day.118 This should be allowed to begin reporting to FINRA, IEX, ISE, MIAX, NASDAQ, commenter also recommended that the CAT in November of 2019.125 One of PEARL, NYSE, NYSE Arca, NYSE MKT, 180-day trial period be a ‘‘rolling these commenters noted that many large and Phlx, as modified by their metric’’—i.e., if the industry does not broker-dealers do not report to OATS respective amendments, should be meet the quality criteria by the end of and argued that ‘‘requiring such firms to approved or disapproved. Further, the first 180 days, the most recent 180 implement the systems and reporting pursuant to Section 19(b)(2)(B) of the days should be recalculated each day mechanisms for the CAT on a shortened Act,133 the Commission is hereby thereafter.119 The same commenter timeframe simply due to their providing notice of the grounds for urged FINRA to ‘‘take a daily accounting designation as a ‘Large Industry disapproval under consideration. The of the measurements’’ and to Member’ may result in significant Commission believes that it is ‘‘communicate both the aggregate technological and operational appropriate to institute proceedings at measurements and the individual challenges.’’ 126 Accordingly, the this time in view of the legal and policy Industry Member measurements so that commenter urged some mechanism to issues raised by the proposals. all parties are regularly updated’’ allow such Large Industry Members to Institution of proceedings does not regarding the status of the various error begin reporting 36 rather than 24 indicate, however, that the Commission rates and can make necessary months after the CAT Effective Date.127 has reached any conclusions with corrections.120 The other commenter noted that, if the respect to any of the issues involved. Two commenters argued that the early first phase of Industry Member reporting In particular, the Commission is phases of CAT compliance should be were limited to current OATS reporting instituting proceedings to allow for viewed as a ‘‘trial period’’ and that there firms, FINRA would still have all of the additional analysis for consistency with: should be no CAT penalties or data that it currently has from OATS (1) Section 6(b)(5) of the Act,134 with regulatory inquiries associated with today.128 respect to the Exchanges’ Systems CAT reporting before the end of the trial Retirement Proposals, and Section E. Other Comments 135 period.121 One of these commenters 15A(b)(6) of the Act, with respect to suggested ‘‘that CAT not go-live until Three commenters requested that the FINRA’s Systems Retirement Proposal, the 95% uncorrected and 98% post- CAT NMS Plan be clarified to specify both of which sections require, among correction thresholds have been met for that prime broker transactions are other things, that the rules of a national two weeks during the testing included in the CAT reporting securities exchange or registered period.’’ 122 Similarly, another securities association be designed ‘‘to commenter stated that the SROs 123 SIFMA Letter at 2. prevent fraudulent and manipulative ‘‘should establish a test period to gather 124 See FIF Letter at 2; Thomson Reuters Letter at acts and practices, to promote just and 2 (commending the SROs for ‘‘their willingness to equitable principles of trade, . . . to information prior to production move all OATS reporters to the same timeline’’). reporting’’ to ‘‘enable CAT to go into One of these commenters noted that accelerating remove impediments to and perfect the production at a confidence level that the compliance date might ‘‘place additional burden on the Small Industry Members who are 129 See FIF Letter at 5; SIFMA Letter at 4; OATS reporters, even for those members that will Thomson Reuters Letter at 4. 115 See Fidelity Letter at 2–3; FIF Letter at 5; likely use third party providers for their CAT 130 FIF Letter at 5. Thomson Reuters Letter at 4–5. reporting obligations, because these reporters 131 SIFMA Letter at 4. 116 See FIF Letter at 5; Thomson Reuters Letter at ultimately bear supervisory responsibility for the 132 15 U.S.C. 78s(b)(2). 4–5. OATS and CAT regulatory reporting.’’ FIF Letter at 133 15 U.S.C. 78s(b)(2)(B). Section 19(b)(2)(B) of 117 See Fidelity Letter at 2–3. 2. The commenter concluded, however, that ‘‘the the Act also provides that proceedings to determine 118 See FIF Letter at 2. economic trade-off of a significantly earlier date for whether to disapprove a proposed rule change must 119 See id. OATS retirement for the entire industry’’ justifies be concluded within 180 days of the date of 120 Id. at 2. See also Thomson Reuters Letter at the proposal. Id. publication of notice of the filing of the proposed 2 (noting that these daily metrics should be issued 125 See SIFMA Letter at 2–3; Fidelity Letter at 3. rule change. See id. The time for conclusion of the during the planned testing phase that begins no 126 SIFMA Letter at 2. See also Fidelity Letter at proceedings may be extended for up to 60 days if later than three months before CAT reporting and 3 (arguing that phasing in CAT reporting based on the Commission finds good cause for such that the actual date of OATS and EBS retirement current OATS-reporting status would give non- extension and publishes its reasons for so finding, will remain uncertain without access to these OATS reporting firms additional time to comply or if the exchange consents to the longer period. See metrics). with CAT requirements). id. 121 See FIF Letter at 2; Thomson Reuters at 2. 127 See SIFMA Letter at 2–3. 134 15 U.S.C. 78f(b)(5). 122 Thomson Reuters Letter at 2–3. 128 See Fidelity Letter at 3. 135 15 U.S.C. 78o–3(b)(6).

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mechanism of a free and open market could be exempted from reporting to However, commenters disagreed with and a national market system, and, in duplicative systems once their CAT this aspect of the SROs’ proposals, and general, to protect investors and the reporting meets specified accuracy and questioned whether FINRA had public interest;’’ and (2) Section 6(b)(8) reliability standards.143 Accordingly, adequately analyzed the costs and of the Act,136 with respect to the the SROs filed the Systems Retirement benefits of allowing firms to discontinue Exchanges’ Systems Retirement Proposals to indicate which duplicative OATS reporting on an individual basis. Proposals, and Section 15A(b)(9) of the rules and systems would be eliminated Commenters also noted the high costs of Act,137 with respect to FINRA’s Systems once CAT is sufficiently accurate and duplicative reporting. Accordingly, the Retirement Proposal, both of which reliable and to explain how they intend Commission is considering whether the sections require that the rules of a to assess CAT’s accuracy and reliability. Systems Retirement Proposals impose national securities exchange or The Commission is therefore any burden on competition not registered securities association ‘‘not considering whether the Systems necessary or appropriate in furtherance impose any burden on competition not Retirement Proposals are consistent of the purposes of the Act, including the necessary or appropriate in furtherance with the SROs’ regulatory obligations potential competitive burdens that may of the purposes of [the Act].’’ under Rule 608(c), Rule 613, and the be created by an extended period of In addition, the Commission is Plan, and are otherwise consistent duplicative reporting for certain firms. instituting proceedings to allow for Section 11A of the Act and the rules and As discussed in more detail above, the additional analysis of whether the regulations thereunder. SROs also proposed certain accuracy Systems Retirement Proposals are As noted above, the CAT NMS Plan and reliability standards that CAT Data consistent with Section 11A of the required the SROs’ proposals to retire must meet before existing systems can Act 138 and Rules 608(c) and 613 of duplicative audit trail systems to be retired. These standards include both Regulation NMS thereunder.139 Section consider whether ‘‘individual Industry quantitative and qualitative metrics. 11A of the Act directs the Commission, Members can be exempted from Commenters raised questions about the with due regard for the public interest, reporting to duplicative systems once scope of these metrics, in particular data the protection of investors, and the their CAT reporting meets specified elements and functionalities that were maintenance of fair and orderly markets, accuracy and reliability standards, not included in current audit trail to use its authority to facilitate the including, but not limited to, ways in systems, and asked for clarification establishment of a national market which establishing cross-system regarding a number of metrics. In system for securities, including by regulatory functionality or integrating addition, several commenters raised authorizing or requiring SROs to act data from existing systems and the CAT concerns about the broader, qualitative jointly to plan, develop, operate, or would facilitate such Individual factors proposed by the SROs. regulate a national market system. Rule Industry Member exemptions.’’ 144 In Accordingly, the Commission is 608(c) requires each SRO to comply addition, in the CAT Approval Order, considering the accuracy and reliability with the terms of any effective NMS the Commission noted ‘‘that FINRA is standards set forth in the Systems plan of which it is a sponsor or considering whether it can integrate Retirement Proposals. participant. Rule 613 requires the CAT CAT Data with OATS data in such a In addition, the Commission is NMS Plan to include a ‘‘plan to way that ‘ensures no interruption in considering whether the Systems eliminate existing rules and systems FINRA’s surveillance capabilities,’ and Retirement Proposals are designed to . . . that will be rendered duplicative that FINRA will consider ‘exempting prevent fraudulent and manipulative by the consolidated audit trail.’’ 140 The firms from the OATS Rules provided acts and practices and, in particular, Plan, in turn, required the SROs to file they report data to the Central whether the Systems Retirement proposed rule changes, within six Repository pursuant to the CAT NMS Proposals would help to ensure that the months of the Commission’s approval of Plan and any implementing rules.’ ’’ 145 SROs can effectively conduct their the Plan, to eliminate or modify their The Commission also ‘‘encourage[d] the surveillance and oversight functions. duplicative rules.141 The Plan further other Participants to consider similar The Commission is also considering stated that the rule change proposals to measures to exempt firms from whether the Systems Retirement eliminate or modify duplicative rules reporting to existing systems once they Proposals remove impediments to and and systems should be ‘‘effective at such are accurately reporting comparable perfect the mechanism of a free and time as CAT Data meets minimum data to the CAT and to enable the usage open market and a national market standards of accuracy and of CAT Data to conduct their regulatory system and whether they adequately reliability.’’ 142 As discussed above, the activities.’’ 146 As described above, the balance the duplicative reporting costs Plan also requires these proposals to SROs considered individual firm incurred by broker-dealers and the risks discuss the specific accuracy and exemptions but believe that a single cut- to effective surveillance and oversight, reliability standards that would over from existing systems to CAT is which may impact investor protection. determine when duplicative systems preferable to a firm-by-firm approach. V. Commission’s Solicitation of would be retired, whether the Several of the SROs assert that Comments availability of certain data from Small providing firm-by-firm exemptions Industry Members in November 2018 would be inefficient, more costly, and The Commission requests that would facilitate a more expeditious less reliable than the single cut-over.147 interested persons provide written retirement of duplicative systems, and submissions of their views, data, and whether individual Industry Members 143 See id. arguments with respect to the issues 144 See CAT NMS Plan, Appendix C, Section C.9. identified above, as well as any other 145 CAT Approval Order, 81 FR at 84771. 136 15 U.S.C. 78f(b)(8). concerns that they may have with any 146 Id. 137 15 U.S.C. 78o–3(b)(9). of the Systems Retirement Proposals. In 147 See Bats BZX Notice, 82 FR at 25376; Bats 138 15 U.S.C. 78k–1. EDGX Notice, 82 FR at 25360; BOX Notice, 82 FR particular, the Commission invites the 139 17 CFR 242.608(c) and 242.613. at 25493; BX Notice, 82 FR at 25876–77; C2 Notice, 140 17 CFR 242.613(a)(9). 82 FR at 25387; CBOE Notice, 82 FR at 25431–32; MKT Notice 1, 82 FR at 25445; NASDAQ Notice, 141 See CAT NMS Plan, Appendix C, Section C.9. ISE Notice, 82 FR at 25470; MIAX Notice, 82 FR at 82 FR at 25824–25; PEARL Notice, 82 FR at 25438; 142 Id. 25368; NYSE Arca Notice 2, 82 FR at 25640; NYSE Phlx Notice, 82 FR at 25867–68.

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written views of interested persons please provide specific data, analyses, possible, please provide specific data, concerning whether the Systems or studies for support for your answer. analyses, or studies for support. Retirement Proposals, as modified by 3. Are there any entities that would be 8. How long do you believe it will the amendments thereto, are consistent capable of constructing a converter? take before CAT reaches the accuracy with Sections 6(b)(5), 6(b)(8), 15A(b)(6), Please explain who they are and why and reliability thresholds proposed by 15A(b)(9), or any other provision of the you believe they have the ability to the SROs before retiring OATS and Act, and the rules and regulations construct a converter. To the extent other systems for all firms? Also, how thereunder. Although there do not possible, please provide specific data, long do you think it would take to make appear to be any issues relevant to analyses, or studies for support for your an effective converter available and how approval or disapproval that would be answer. long would the converter be used for facilitated by an oral presentation of 4. If the costs of the converter would those firms who individually have met views, data, and arguments, the be passed on to Industry Members, the thresholds while CAT overall has Commission will consider, pursuant to would the benefits of a converter be not? Does the length of this period affect Rule 19b–4, any request for an undermined? To the extent possible your cost/benefit analysis for the opportunity to make an oral please provide specific data, analyses, converter approach? If so, how? presentation.148 or studies for support for your answer. 9. Regarding the converter approach Such comments should be submitted 5. Please estimate, to the extent and firm-by-firm exemptions from by September 27, 2017. Rebuttal possible, the percentage of Industry OATS reporting, what criteria should comments should be submitted by Members’ CAT reports that would the OATS SROs consider for releasing a October 11, 2017. The Commission asks qualify for an individual exemption firm from its OATS requirements? To that commenters address the sufficiency from OATS reporting for each month the extent possible please provide and merit of the SROs’ statements in after Industry Members begin reporting specific data, analyses, or studies for support of their respective Systems in November 2018. Do you believe that support. Would you still support a firm- Retirement Proposals, in addition to any the costs and/or benefits of a converter by-firm approach if it also incorporated other comments that commenters may would be affected by the number of an assessment of whether the Plan wish to submit about any of the Industry Members that can be expected Processor is sufficiently meeting all of proposed rule changes. The Commission to meet the threshold error rates for CAT its obligations under the Plan? also asks the SROs to respond to the reporting (weighted by their percentage 10. Please describe any opportunity issues raised in the four comment letters of total CAT reports submitted by costs associated with the converter received to date, including the OATS-reporting Industry Members) approach. For example, would the commenters’ cost estimates. In addition, before full OATS retirement, thus development of the converter and any the Commission seeks comment, qualifying for an individual exemption new processes and procedures at the including, where relevant, any specific from OATS and to have their CAT SRO level to accommodate the converter data, statistics, or studies, on the reports converted to OATS? To the divert resources that otherwise would following: extent possible, please provide specific be devoted to CAT implementation? If 1. What would be the monetary costs data, analyses, or studies for support for so, please describe the nature and extent of constructing a CAT-to-OATS your answer. of such effects. ‘‘converter’’ or developing an alternative 11. Do you agree with the estimated 6. Do you believe that the Systems costs of duplicative reporting described mechanism for linking CAT Data to Retirement Proposals would result in by two of the commenters? 149 Are there OATS that would provide continuity of any burden on competition and, if so, any additional opportunity costs faced the OATS SROs’ surveillance please analyze whether any such burden by Industry Members that would result capabilities? To the extent possible, would be necessary or appropriate in from duplicative reporting? How would please provide specific data, analyses, furtherance of the purposes of the Act. the length of the duplicative reporting or studies for support for your answer. If there are burdens, how would they period affect the opportunity costs? To 2. What technological challenges compare to the burdens that would be the extent possible, please provide would have to be addressed to make a imposed by the converter approach? To specific data, analyses, or studies for converter or other mechanism feasible? the extent possible, please provide When could work begin on a converter support. specific data, analyses, or studies for 12. Do you agree with the proposed or alternative mechanism? For example, support of your answer. quantitative metrics for the pre- and could work begin before technical 7. What impact would a converter post-correction error rates that would specifications for Industry Member have on the SROs’ ability to conduct have to be attained by CAT before the reporting to CAT have been finalized? their surveillance and oversight? SROs would retire duplicative systems? Could work begin before the Plan Specifically, do you believe that there Do you agree with the proposed Processor had begun accepting CAT are risks that a converter might not be categories for the assessment? Why or reports from Industry Members and able to successfully integrate CAT why not? Are these categories making those reports available to reports into OATS? If so, what is the sufficiently clear? If you believe that regulators? How long would it take to likelihood of failures and what would different thresholds or alternative areas construct a converter or other be the magnitude of the costs resulting for consideration would be more mechanism? To the extent possible, from any such failures? What costs appropriate, please describe. What are might be incurred by SROs to detect and the costs and benefits of the proposed 148 Section 19(b)(2) of the Act, as amended by the address any regulatory gaps created by Securities Act Amendments of 1975, Pub. L. 94–29 approach versus any alternative (June 4, 1975), grants the Commission flexibility to a converter? For example, would an approach that you would recommend? determine what type of proceeding—either oral or OATS SRO have to design additional 13. Do you agree with the SROs’ notice and opportunity for written comments—is surveillances to address that possibility? proposed qualitative standards for appropriate for consideration of a particular If so, what sort of additional proposal by a self-regulatory organization. See retirement of duplicative systems, i.e., Securities Act Amendments of 1975, Senate Comm. surveillances might be necessary and on Banking, Housing & Urban Affairs, S. Rep. No. how would you estimate the cost for an 149 See supra notes 101–103 and accompanying 75, 94th Cong., 1st Sess. 30 (1975). SRO to develop them? To the extent text.

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that retirement could not be permitted All submissions should refer to any For the Commission, by the Division of to occur until it is confirmed that (1) of: File Numbers SR–BatsBZX–2017–37, Trading and Markets, pursuant to delegated 150 there are no material issues in CAT that SR–BatsEDGX–2017–23, SR–BOX– authority. have not been corrected, (2) the CAT 2017–17, SR–BX–2017–027, SR–C2– Eduardo A. Aleman, includes all data necessary to allow the 2017–018, SR–CBOE–2017–041, SR– Assistant Secretary. SROs to continue to meet their FINRA–2017–013, SR–IEX–2017–18, [FR Doc. 2017–18793 Filed 9–5–17; 8:45 am] surveillance obligations, and (3) the SR–ISE–2017–46, SR–MIAX–2017–20, BILLING CODE 8011–01–P Plan Processor is sufficiently meeting all SR–NASDAQ–2017–055, SR–PEARL– of its obligations under the CAT NMS 2017–23, SR–NYSE–2017–23, SR– Plan? Why or why not? What are the SECURITIES AND EXCHANGE NYSEArca–2017–57, SR–NYSEArca– COMMISSION costs and benefits of the proposed 2017–59, SR–NYSEMKT–2017–29, SR– approach versus an alternative NYSEMKT–2017–30, or SR–Phlx–2017– Proposed Collection; Comment approach, which may include not 43, as appropriate. The file number Request having any additional qualitative should be included on the subject line considerations? Upon Written Request, Copies Available if email is used. To help the 14. To what extent should the SROs From: Securities and Exchange Commission process and review your consider CAT performance regarding Commission, Office of FOIA Services, functions and data elements not present comments more efficiently, please use 100 F Street NE., Washington, DC within existing audit trail systems when only one method. The Commission will 20549–2736. determining when to allow retirement of post all comments on the Commission’s Internet Web site (http://www.sec.gov/ Extension: those existing systems? What are the Form N–54C, SEC File No. 270–184, OMB costs and benefits of the proposed rules/sro.shtml). Copies of the Control No. 3235–0236. approach versus any alternative submission, all subsequent amendments, all written statements Notice is hereby given that, pursuant approach that you would recommend? to the Paperwork Reduction Act of 1995 Do you believe that the Systems with respect to the proposed rule change that are filed with the (44 U.S.C. 3501 et seq.), the Securities Retirement Proposals will promote and Exchange Commission (the Commission, and all written efficiency, competition, and capital ‘‘Commission’’) is soliciting comments communications relating to the formation? Please submit any data or on the collection of information proposed rule change between the information that would assist the summarized below. The Commission Commission in considering these issues. Commission and any person, other than plans to submit this existing collection 15. Do you agree with the length of those that may be withheld from the of information to the Office of the assessment period proposed by the public in accordance with the Management and Budget for extension SROs? Why or why not? If not, what provisions of 5 U.S.C. 552, will be and approval. alternative do you believe would be available for Web site viewing and Certain investment companies can more appropriate and why? What are printing in the Commission’s Public elect to be regulated as business the costs and benefits of the proposed Reference Room, 100 F Street NE., development companies, as defined in approach versus any alternative Washington, DC 20549, on official section 2(a)(48) of the Investment approach that you would recommend? business days between the hours of Company Act of 1940 (‘‘Investment To the extent possible, please provide 10:00 a.m. and 3:00 p.m. Copies of the Company Act’’), under sections 55 specific data, analyses, or studies for filing also will be available for through 65 of the Investment Company support. inspection and copying at the principal Act. Under section 54(a) of the Comments may be submitted by any office of the SRO. All comments Investment Company Act,1 any of the following methods: received will be posted without change; company defined in section 2(a)(48)(A) Electronic Comments the Commission does not edit personal and (B) of the Investment Company Act identifying information from may, if it meets certain enumerated • Use the Commission’s Internet submissions. You should submit only eligibility requirements, elect to be comment form (http://www.sec.gov/ information that you wish to make subject to the provisions of Sections 55 rules/sro.shtml); or available publicly. through 65 of the Investment Company • Send an email to rule-comments@ Act by filing with the Commission a All submissions should refer to any of sec.gov. Please include any of File notification of election. Under section File Numbers SR–BatsBZX–2017–37, Numbers SR–BatsBZX–2017–37, SR– 54(c) of the Investment Company Act,2 SR–BatsEDGX–2017–23, SR–BOX– BatsEDGX–2017–23, SR–BOX–2017–17, any business development company SR–BX–2017–027, SR–C2–2017–018, 2017–17, SR–BX–2017–027, SR–C2– may voluntarily withdraw its election SR–CBOE–2017–041, SR–FINRA–2017– 2017–018, SR–CBOE–2017–041, SR– under section 54(a) of the Investment 013, SR–IEX–2017–18, SR–ISE–2017– FINRA–2017–013, SR–IEX–2017–18, Company Act by filing a notice of 46, SR–MIAX–2017–20, SR–NASDAQ– SR–ISE–2017–46, SR–MIAX–2017–20, withdrawal of election with the 2017–055, SR–PEARL–2017–23, SR– SR–NASDAQ–2017–055, SR–PEARL– Commission. The Commission has NYSE–2017–23, SR–NYSEArca–2017– 2017–23, SR–NYSE–2017–23, SR– adopted Form N–54C as the form for the 57, SR–NYSEArca–2017–59, SR– NYSEArca–2017–57, SR–NYSEArca– notification of withdrawal of election to NYSEMKT–2017–29, SR–NYSEMKT– 2017–59, SR–NYSEMKT–2017–29, SR– be subject to Sections 55 through 65 of 2017–30, or SR–Phlx–2017–43, as NYSEMKT–2017–30, or SR–Phlx–2017– the Investment Company Act. The appropriate, on the subject line. 43, as appropriate, and should be purpose of Form N–54C is to notify the submitted by September 27, 2017. Paper Comments Commission that the business Rebuttal comments should be submitted development company withdraws its • Send paper comments in triplicate by October 11, 2017. election to be subject to Sections 55 to Secretary, Securities and Exchange Commission, 100 F Street NE., 150 17 CFR 200.30–3(a)(12); 17 CFR 200.30– 1 15 U.S.C. 80a–53(a). Washington, DC 20549–1090. 3(a)(57). 2 15 U.S.C. 80a–53(c).

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through 65 of the Investment Company Dated: August 31, 2017. forth in Sections A, B, and C below, of Act. Eduardo A. Aleman, the most significant parts of such The Commission estimates that on Assistant Secretary. statements. average approximately four business [FR Doc. 2017–18860 Filed 9–5–17; 8:45 am] A. Self-Regulatory Organization’s development companies file BILLING CODE 8011–01–P Statement of the Purpose of, and notifications on Form N–54C each year. Statutory Basis for, the Proposed Rule Each of those business development Change SECURITIES AND EXCHANGE companies need only make a single COMMISSION 1. Purpose filing of Form N–54C. The Commission further estimates that this information [Release No. 34–81497; File No. SR– BZX submits this rule filing to the collection imposes a burden of one BatsBZX–2017–55] Securities and Exchange Commission hour, resulting in a total annual burden (the ‘‘Commission’’) in connection with Self-Regulatory Organizations; Bats a corporate transaction (the of four hours. Based on the estimated BZX Exchange, Inc.; Notice of Filing of ‘‘Transaction’’) involving, among other wage rate, the total cost to the business a Proposed Rule Change, as Modified things, the recent acquisition of BZX, development company industry of the by Amendment No. 1, To Harmonize along with Bats BYX Exchange, Inc. hour burden for complying with Form the Corporate Governance Framework (‘‘Bats BYX’’), Bats EDGX Exchange, Inc. 3 N–54C would be approximately $1,380. With That of Chicago Board Options (‘‘Bats EDGX’’), and Bats EDGA The collection of information under Exchange, Incorporated and C2 Exchange, Inc. (‘‘Bats EDGA’’ and, Form N–54C is mandatory. The Options Exchange Incorporated together with Bats BZX, Bats BYX, and information provided by the form is not Bats EDGX, the ‘‘Bats Exchanges’’) by August 30, 2017. CBOE Holdings, Inc. (‘‘CBOE kept confidential. An agency may not Pursuant to Section 19(b)(1) of the Holdings’’). CBOE Holdings is also the conduct or sponsor, and a person is not Securities Exchange Act of 1934 (the parent of Chicago Board Options required to respond to, a collection of ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Exchange, Incorporated (‘‘CBOE’’) and information unless it displays a notice is hereby given that on August C2 Options Exchange, Incorporated currently valid OMB control number. 23, 2017, Bats BZX Exchange, Inc. (‘‘C2’’). This filing proposes to amend (‘‘Exchange’’ or ‘‘BZX’’) filed with the Written comments are invited on: (a) and restate the bylaws (and amend the Securities and Exchange Commission Whether the proposed collection of rules, accordingly) and the certificate of (‘‘Commission’’) the proposed rule information is necessary for the proper incorporation of the Exchange based on change as described in Items I and II performance of the functions of the the bylaws and certificates of below, which Items have been prepared agency, including whether the incorporation of CBOE and C2. information will have practical utility; by the Exchange. On August 25, 2017, Specifically, the Exchange proposes to (b) the accuracy of the agency’s estimate the Exchange filed Amendment No. 1 to replace the certificate of incorporation of the burden of the collection of the proposed rule change. The of Bats BZX Exchange, Inc., (the information; (c) ways to enhance the Commission is publishing this notice to ‘‘current Certificate’’) in its entirety with quality, utility, and clarity of the solicit comments on the proposed rule the Amended and Restated Certificate of information collected; and (d) ways to change, as modified by Amendment No. Incorporation of Bats BZX Exchange, 1, from interested persons. minimize the burden of the collection of Inc. (the ‘‘proposed Certificate’’). information on respondents, including I. Self-Regulatory Organization’s Additionally, the Exchange proposes to through the use of automated collection Statement of the Terms of Substance of replace the Fifth Amended and Restated techniques or other forms of information the Proposed Rule Change Bylaws of Bats BZX Exchange, Inc. (the technology. Consideration will be given The Exchange filed a proposal to ‘‘current Bylaws’’) in its entirety with to comments and suggestions submitted amend and restate its certificate of the Sixth Amended and Restated in writing within 60 days of this incorporation and bylaws, as well as Bylaws of Bats BZX Exchange, Inc. (the publication. amend its Rules. ‘‘proposed Bylaws’’). The Exchange believes that it is important for each of Please direct your written comments The text of the proposed rule change is available at the Exchange’s Web site CBOE Holdings’ six U.S. securities to Pamela Dyson, Director/Chief exchanges to have a consistent, uniform Information Officer, Securities and at www.bats.com, at the principal office of the Exchange, and at the approach to corporate governance. Exchange Commission, C/O Remi Commission’s Public Reference Room. Therefore, to simplify and unify the Pavlik-Simon, 100 F Street NE., governance and corporate practices of Washington, DC 20549; or send an email II. Self-Regulatory Organization’s these six exchanges, the Exchange to: [email protected]. Statement of the Purpose of, and proposes to revise the current Certificate Statutory Basis for, the Proposed Rule and current Bylaws to conform them to 3 The industry burden is calculated by Change the certificates of incorporation and multiplying the total annual hour burden to prepare In its filing with the Commission, the bylaws of the CBOE and C2 exchanges Form N–54C (four) by the estimated hourly wage Exchange included statements (i.e., the Third Amended and Restated rate of $345 for a compliance attorney or other Certificate of Incorporation of Chicago similarly situated business development company concerning the purpose of and basis for employee. The estimated wage figure is based on the proposed rule change and discussed Board Options Exchange, Incorporated published rates for compliance attorneys from the any comments it received on the and the Fourth Amended and Restated Securities Industry and Financial Markets proposed rule change. The text of these Certificate of C2 Options Exchange, Association’s Report on Management & Professional statements may be examined at the Incorporated (collectively referred to Earnings in the Securities Industry 2013, modified places specified in Item IV below. The herein as the ‘‘CBOE Certificate’’) and by Commission staff to account for an 1800 hour the Eighth Amended and Restated work-year and inflation, and multiplied by 5.35 to Exchange has prepared summaries, set account for bonuses, firm size, employee benefits Bylaws of Chicago Board Options and overhead, yielding an effective hourly rate of 1 15 U.S.C. 78s(b)(1). Exchange, Incorporated and the Eighth $1,380. 2 17 CFR 240.19b–4. Amended and Restated Bylaws of C2

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Options Exchange, Incorporated subparagraph (b) provides that the repeal of any provision of the certificate (collectively referred to herein as the Board shall consist of not less than five shall be effective, the changes must be ‘‘CBOE Bylaws’’). The proposed (5) Directors and subparagraph (c) submitted to the Board, and if such Certificate and proposed Bylaws reflect includes language regarding the amendment or repeal must be filed with the expectation that the Exchange will nomination of directors, which or filed with and approved by the be operated with governance structures information is substantially similar as is Commission, it won’t be effective until similar to those of CBOE and C2. provided in the CBOE Bylaws and the filed with or filed with and approved by Accordingly, the Exchange proposes to proposed Bylaws.3 Article Fifth, the Commission. adopt corporate documents that set forth subparagraph (d) of the proposed • Article Eighth of the proposed a substantially similar corporate Certificate provides that in discharging Certificate is the same as Article Eighth governance framework and related his or her responsibilities as a member of the CBOE Certificate. Proposed processes as those contained in the of the Board, each Director shall take Article Eighth provides that a Director CBOE Certificate and CBOE Bylaws. The into consideration the effect that his or of the Exchange shall not be liable to the Exchange believes the proposed changes her actions would have on the ability of Exchange or its stockholders for to the current Certificate and current the Exchange to carry out the monetary damages for breach of Bylaws are consistent with the Exchange’s responsibilities under the fiduciary duty as a Director, except to requirements of the Securities Exchange Act and on the ability of the Exchange: the extent such exemption from liability Act of 1934, as amended (the ‘‘Act’’). To engage in conduct that fosters and or limitation is not permitted under does not interfere with the Exchange’s Delaware Corporate law. (a) Changes to the Certificate • ability to prevent fraudulent and Article Ninth of the proposed In connection with the Transaction, manipulative acts and practices; to Certificate is the same as Article Ninth the Exchange proposes to amend and promote just and equitable principles of of the CBOE Certificate. Specifically it restate the current Certificate to conform trade; to foster cooperation and provides that unless and except to the to the certificates of incorporation of coordination with persons engaged in extent that the Exchange’s bylaws CBOE and C2. The proposed Certificate regulating, clearing, settling, processing require, election of Directors of the is set forth in Exhibit 5B. Specifically, Exchange need not be by written ballot. information with respect to, and • the Exchange proposes to make the facilitating transactions in securities; to Article Tenth of the proposed following substantive amendments to remove impediments to and perfect the Certificate is the same as Article Tenth the current Certificate. of the CBOE Certificate and provides • mechanisms of a free and open market Adopt an introductory section. and a national market system; and, in that in furtherance and not in limitation • Amend Article Third to provide general, to protect investors and the of the powers conferred by the laws of further details as to the nature of the public interest. In discharging his or her the State of Delaware, the Board is business of the Exchange. Specifically, responsibilities as a member of the expressly authorized to make, alter and the proposed Certificate will further Board or as an officer or employee of the repeal the Exchange’s bylaws, which is specify that the nature of the Exchange Exchange, each such Director, officer or already provided for in both the current is (i) to conduct and carry on the 5 employee shall comply with the federal Bylaws and proposed Bylaws. function of an ‘‘exchange’’ within the • Article Eleventh of the proposed securities laws and the rules and meaning of that term in the Act and (ii) Certificate is the same as Article regulations thereunder and shall to provide a securities market place Eleventh of the CBOE Certificate and is cooperate with the Commission, and the with high standards of honor and similar to Article XI, Section 3 of the Exchange pursuant to its regulatory integrity among its Exchange Members current Bylaws. Particularly, Article authority. The Exchange notes that and other persons holding rights to Eleventh provides that confidential similar language is included in the access the Exchange’s facilities and to information pertaining to the self- current Bylaws.4 promote and maintain just and equitable • Article Sixth of the proposed regulatory function of the Exchange principles of trade and business. Certificate governs the indemnification (including but not limited to • Article Fourth of the proposed of Directors of the Board. The Exchange disciplinary matters, trading data, Certificate specifies that Bats Global notes that its indemnification provision trading practices and audit information) Markets Holdings, Inc. will be the sole is currently contained in Article VIII of contained in the books and records of owner of the Common Stock and that the current Bylaws. In order to conform the Exchange shall: (i) Not be made any sale, transfer or assignment by Bats governance documents across all CBOE available to any persons other than to Global Markets Holdings, Inc. of any Holdings’ exchanges and conform those officers, directors, employees and shares of Common Stock will be subject indemnification practices, the Exchange agents of the Exchange that have a to prior approval by the SEC pursuant is eliminating its indemnification in the reasonable need to know the contents to a rule filing. The Exchange notes that bylaws and adopting the same thereof; (ii) be retained in confidence by Article IV, Section 7 of the current indemnification language that is the Exchange and the officers, directors, Bylaws similarly precludes the currently contained in Article Sixth of employees and agents of the Exchange; stockholder from transferring or the CBOE Certificate. and (iii) not be used for any commercial assigning, in whole or in part, its • Article Seventh of the proposed purposes. Additionally, Article Eleventh ownership interest(s) in the Exchange. Certificate is the same as Article of the proposed Certificate further • Article Fifth of the current Seventh of the CBOE Certificate and provides that nothing in Article Certificate regarding the name and provides that the Exchange reserves the Eleventh shall be interpreted as to limit address of the sole incorporator is being right to amend, change or repeal any or impede the rights of the Commission deleted as it is now outdated. to access and examine such confidential • Article Fifth of the proposed provision of the certificate. It also provides that before any amendment or information pursuant to the federal Certificate is the same as Article Fifth of securities laws and the rules and the CBOE Certificate. Specifically, 3 See Article III of the CBOE Bylaws and proposed regulations thereunder, or to limit or Article Fifth, subparagraph (a) provides Bylaws. that the governing body of the Exchange 4 See Article III, Section 1(d) and Section 1(e) of 5 See Article IX, Section 1 of the current Bylaws shall be its Board. Article Fifth, the current Bylaws. and Article IX, Section 9.1 of the proposed Bylaws.

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impede the ability of any officers, Office and Agent the Exchange (‘‘CEO’’) serve staggered directors, employees or agents of the The Exchange notes that the three-year terms. The Exchange Exchange to disclose such confidential information in Article II (Office and proposes to adopt a nomination and information to the Commission. Agent) of the current Bylaws is not election process identical to CBOE and C2 as set forth in Article III of the (b) Substantive Changes to the Bylaws included in the proposed Bylaws. The Exchange notes that the language proposed Bylaws. As such, the tiered In connection with the Transaction, contained in Section 2 and 3 of Article class system will be eliminated, the Exchange also proposes to amend II is already located in the current Directors will serve one-year terms and restate the current Bylaws to Certificate and will continue to be ending on the annual meeting following conform to the Bylaws of CBOE and C2. located in the proposed Certificate.8 The the meeting at which Directors were The proposed Bylaws is set forth in Exchange does not believe the elected or at such time as their Exhibit 5D. Specifically, the Exchange information contained in Section 1 of successors are elected or appointed and proposes to make the following Article II is necessary to include in the the newly established Nominating and substantive amendments to the current proposed Bylaws and notes that the Governance Committee will be Bylaws: CBOE Bylaws do not contain responsible for nominating each 12 Definitions information relating to the principal Director. business office. The Exchange first notes that Section Nomination and Election of 1.1 of the proposed Bylaws, titled Nomination and Election Process Representative Directors ‘‘Definitions,’’ contains key definitions Article III of the proposed Bylaws, Currently, pursuant to Article III, of terms used in the proposed Bylaws, titled ‘‘Board of Directors’’, mirrors the Section 4(b) of the current Bylaws, for and are based on the defined terms used language in Article III of the CBOE Member Representative Directors, the in Section 1.1 of the CBOE Bylaws. The Bylaws and contains key provisions Member Nominating Committee Exchange notes that certain differences regarding the processes for nominating consults with the Nominating in terminology in the proposed Bylaws and electing Representative Directors. Committee, the Chairman of the Board and CBOE Bylaws will exist (e.g., use of and the CEO, and also solicits General Nomination and Election the term ‘‘Exchange Member’’ instead of comments from Exchange Members for ‘‘Trading Permit Holder’’). The Under the Exchange’s current director purposes of approving and submitting Exchange proposes to eliminate from nomination and election process, the the names of candidates for election as the current Bylaws certain definitions Nominating Committee (which is not a a Member Representative Director. The that would be obsolete under the Board committee, but rather is initial nominees for Member proposed Bylaws (e.g., references to composed of Exchange member Representative Directors must be ‘‘Member Representative Directors’’ and representatives) 9 nominates Directors reported to the Nominating Committee ‘‘Member Nominating Committee’’) and for each Director position standing for and Secretary no later than sixty (60) also proposes to move certain defined election for that year. Additionally, for days prior to the annual or special terms located in the current Bylaws to Member Representative Director stockholders’ meeting, at which point the BZX Rules (i.e., ‘‘Industry member’’ positions,10 the Nominating Committee the Secretary will promptly notify and ‘‘Member Representative must nominate the Directors that have Exchange Members. Exchange Members member’’).6 Additionally, the Exchange been approved and submitted by the may then identify other candidates by proposes to define certain terms in the Member Nominating Committee (which delivering to the Secretary, at least current Bylaws in places other than is also not a Board committee, but rather thirty-five (35) days before the annual or Section 1.1, so as to match the CBOE is composed of Member Representative special stockholders’ meeting, a written 11 Bylaws (e.g., the definition of ‘‘Industry members). Additionally, pursuant to petition, identifying the alternative Director’’ is being relocated to Article Article III, Section 3(b) of the current candidate and signed by Executive III, Section 3.1 of the proposed Bylaws Bylaws, the Exchange Directors are Representatives 13 of 10% or more of and the definition of ‘‘Record Date’’ is divided into three classes, designated as Exchange Members. No Exchange being relocated to Article II, Section 2.7 Class I, Class II and Class III. Directors Member, together with its affiliates, may of the proposed Bylaws).7 other than the Chief Executive Officer of account for more than fifty percent (50%) of the signatures endorsing a 6 See Proposed BZX Rules, Rule 8.6. The definition of ‘‘Record Date’’ in Article I, particular candidate. If no valid Exchange notes that the definition of a Member subparagraph (z) of the current Bylaws means a date Representative member is being revised to eliminate at least thirty-five (35) days before the date of the petitions from Exchange Members are the reference to a Stockholder Exchange Member. annual meeting of stockholders, whereas Article II, received by the Record Date, the initial Currently, a Stockholder Exchange Member means Section 2.7 of the proposed Bylaws provides that nominees approved and submitted by an Exchange Member that also maintains, directly the Record Date shall be at least 10 days before the the Member Nominating Committee or indirectly, an ownership interest in the date of the annual meeting of stockholders and not Company. The exchange notes that the sole more than 60 days before the annual meeting. shall be nominated as Member stockholder of BZX is Bats Global Markets 8 See Article Second of the current and proposed Representative Directors by the Holdings, Inc., which is a wholly owned subsidiary Certificates. Nominating Committee. If one or more of CBOE Holdings and is not an Exchange member, 9 See Current Bylaws, Article III, Section 4 valid petitions are received by the and as such, the concept of a Stockholder Exchange (‘‘Nomination and Election’’) and Article VI, Member need not be referenced. Section 2 (‘‘Nominating Committee’’). Record Date, the Secretary shall include 7 The Exchange notes a few differences between 10 See Current Bylaws, Article I, (s), which the definitions of Industry Director and Record Date defines a ‘‘Member Representative Director’’. A 12 See Article III, Section 3.1 and Article IV, in the current Bylaws and the proposed Bylaws. Member Representative Director must be an officer, Section 4.3 of the proposed Bylaws. Specifically, the definition of ‘‘Industry Director’’ in director, employee, or agent of an Exchange 13 The term ‘‘Executive Representative’’ as Article I, subparagraph (o) of the current Bylaws Member that is not a Stockholder Exchange defined in the current Bylaws, Article I, means the contains references to specific percentages in order Member. person identified to the Company by an Exchange to determine whether a Director qualifies as an 11 See Current Bylaws Article I, subparagraph (t) Member as the individual authorized to represent, Industry Director, whereas the definition of (‘‘Member Representative member’’). See also, vote, and act on behalf of the Exchange Member. ‘‘Industry Director’’ in Article III, Section 3.1, of the Article III, Section 4 (‘‘Nomination and Election’’) An Executive Representative of an Exchange proposed Bylaws uses the term ‘‘material portion’’ and Article VI, Section 3 (‘‘Member Nominating Member or a substitute shall be a member of senior in making those same determinations. The Committee’’) of the current Bylaws. management of the Exchange Member.

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such additional nominees, along with the Advisory Board.15 The Nominating Election, each Exchange Member shall the initial nominees nominated by the and Governance Committee shall be have one (1) vote for each Member Nominating Committee, on a bound to accept and nominate the Representative Director position to be list of nominees (the ‘‘List of Representative Director nominees filled that year; provided, however, that Candidates’’) that is sent to all Exchange recommended by the Nominating Body no Exchange Member, either alone or Members, accompanied by a notice or, in the event of a petition candidate, together with its affiliates, may account regarding the time and date of an the Representative Director nominees for more than twenty percent (20%) of election to be held at least twenty (20) who receive the most votes pursuant to the votes cast for a candidate.16 The days prior to the annual or special a Run-off Election. Any person Secretary shall issue a circular to all of stockholders’ meeting. Each Exchange nominated by the Nominating Body and the Exchange Members setting forth the Member has the right to cast one (1) vote any petition candidate must satisfy the results of the Run-off Election. The for each available Member compositional requirements determined number of individual Representative Representative Director nomination (the by the Board, pursuant to a resolution Director nominees equal to the number vote must be cast for a person on the adopted by the Board, designating the of Representative Director positions to List of Candidates and no Exchange number of Representative Directors that be filled that year receiving the largest Member, together with its affiliates, may are Non-Industry Directors and Industry number of votes in the Run-off Election account for more than twenty percent Directors (if any). Not earlier than will be the persons approved by the (20%) of the votes cast for a candidate). December 1 and not later than January Exchange Members to be nominated as The persons on the List of Candidates 15th (or the first business day thereafter the Representative Director(s) by the who receive the most votes shall be if January 15th is not a business day), Nominating and Governance Committee the Nominating Body shall issue a selected as the nominees for the for that year. The Exchange believes circular to Exchange Members Member Representative Director that, under the proposed Board identifying the Representative Director positions. structure, the Representative Directors nominees. As is the case under the serve the same function as the Member For purposes of harmonizing the current Bylaws, Exchange Members may Representative Directors in that both governance structure and process across nominate alternative candidates for directorships give Exchange members a all of CBOE Holdings’ U.S. securities election to the Representative Director voice in the Exchange’s use of self- exchanges, the Exchange proposes to positions to be elected in a given year regulatory authority. eliminate the Nominating Committee by submitting a petition signed by and Member Nominating Committee individuals representing not less than Vacancies and adopt a nomination and election ten percent (10%) of the Exchange Article III, Section 6 of the current process substantially similar to CBOE Members at that time. Petitions must be Bylaws provides that during a vacancy and C2 for Member Representative filed with the Secretary no later than of any Director other than a Member Directors (to be renamed 5:00 p.m. (Chicago time) on the 10th Representative Director, the Nominating ‘‘Representative Directors’’).14 The business day following the issuance of Committee shall nominate an individual Exchange notes that unlike the current the circular to the Exchange Members Director and the stockholders of BZX Bylaws, the proposed Bylaws will not identifying the Representative Director shall elect the new Director.17 In the require Representative Directors to be an nominees (the ‘‘Petition Deadline’’). The event of a vacancy of a Member officer, director, employee, or agent of names of all Representative Director Representative Director, the Member an Exchange Member that is not a nominees recommended by the Nominating Committee shall either (i) Stockholder Exchange Member, as Nominating Body and those selected recommend an individual to the neither CBOE nor C2 maintain such a pursuant to a valid and timely petition stockholders to be elected to fill such requirement. The new process will shall, immediately following their vacancy or (ii) provide a list of provide that the ‘‘Representative selection, be given to the Secretary who recommended individuals to the Director Nominating Body’’ shall be shall promptly issue a circular to all of stockholders from which the responsible for nominating the Exchange Members identifying all stockholders shall elect the individual Representative Directors. The such Representative Director to fill such vacancy. The current Bylaws Representative Director Nominating candidates. provide that Directors elected to fill a Body (‘‘Nominating Body’’) is either (i) If one or more valid petitions are vacancy are to hold office until the the Industry-Director Subcommittee of received, the Secretary shall issue a expiration of the remaining term. the Nominating and Governance circular to all of the Exchange Members The Exchange proposes to adopt the Committee if there are at least two (2) identifying those individuals nominated same process to fill vacancies as CBOE Industry Directors on the Nominating for Representative Director by the and Governance Committee, or (ii) if the Nominating Body and those individuals 16 Article III, Section 3.2 of the CBOE Bylaws nominated for Representative Director provides that in any Run-off Election, a holder of Nominating and Governance Committee a Trading Permit shall have one vote with respect has less than two (2) Industry Directors, through the petition process, as well as to each Trading Permit held by such Trading Permit then the Nominating Body shall mean of the time and date of a run-off election Holder for each Representative Director position to the Exchange Member Subcommittee of to determine which individuals will be be filled. The Exchange notes that because no nominated as Representative Director(s) ‘‘Trading Permits’’ or similar concept exist on the Exchange, it is deviating from this practice and 14 Article III, Section 3.1. of the proposed Bylaws by the Nominating and Governance providing instead that each Exchange Member shall requires that at all times, at least 20% of Directors Committee (the ‘‘Run-off Election’’). The have one (1) vote for each Representative Director serving on the Board shall be Representative Run-off Election will be held not more position to be filled, which the Exchange does not Directors, which is the same percentage required than forty-five (45) days after the believe is a significant change. The Exchange also under the current Bylaws (see Article III, Section notes that other Exchanges have similar practices. 2(b)(ii) of the current Bylaws). Article III, Section Petition Deadline. In any Run-off See e.g., Amended and Restated By-Laws of Miami 3.2 of the proposed Bylaws further clarifies that if International Securities Exchange, LLC, Article II, 20% of the Directors then serving on the Board is 15 The Exchange notes that if there are less than Section 2.4(f). not a whole number, the number of required two (2) Industry Directors on the Nominating and 17 The sole stockholder of BZX is Bats Global Representative Directors shall be rounded up to the Governance Committee, it would institute an Markets Holdings, Inc., a wholly owned subsidiary next whole number. Advisory Board, if not already established. of CBOE Holdings.

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and C2. Specifically, Article III, Section the Director’s seat is considered vacant) the Board pursuant to resolution 3.5 of the proposed Bylaws, which is following the date when the Board adopted by the Board.18 substantially similar to Article III, determines the Director is unqualified. • The proposed Bylaws provide that Section 3.5 of the CBOE Bylaws, will Further, the Board shall be the sole the number of Non-Industry Directors provide that a vacancy on the Board judge of whether the Director has cannot be less than the number of may be filled by a vote of majority of the requalified. If a Director is determined Industry Directors, whereas the current Directors then in office, or by the sole to have requalified, the Board, in its sole Bylaws, as noted above, provide that the remaining Director, so long as the discretion, may fill an existing vacancy number of Non-Industry Directors, elected Director qualifies for the in the Board or may increase the size of including at least on Independent position. Additionally, for vacancies of the Board, as necessary, to appoint such Director, shall equal or exceed the sum Representative Directors, the of Industry and Member Representative Director to the Board; provided, Nominating Body will recommend an Directors.19 Unlike the current Bylaws, however, that the Board shall be under individual to be elected, or provide a the proposed Bylaws provide that the list of recommended individuals, and no obligation to return such Director to CEO is excluded from the calculation of the position shall be filled by the vote the Board. Similar to the current Industry Directors, as is the practice of a majority of the Directors then in Bylaws, Section 3.4 of the proposed under CBOE Bylaws.20 Additionally, the office. Under the proposed Bylaws, Bylaws provides that Representative Exchange notes that the CBOE Bylaws Directors elected to fill a vacancy will Directors may only be removed for do not contain the term or concept of serve until the next annual meeting of cause. In addition to specifying that ‘‘Independent Directors’’ and in order to stockholders. cause includes being subject to a conform the proposed Bylaws to the Statutory Disqualification, the proposed Removals and Resignation CBOE Bylaws, the proposed Bylaws also Bylaws further lists additional examples do not reference ‘‘Independent Article III, Section 7 of the current of cause in Section 3.4 (e.g., breach of Directors’’ with respect to composition. Bylaws provides that any Director may a Representative Director’s duty of • The Board or the Nominating and be removed with or without cause by a loyalty to the Exchange or its Governance Committee will make all majority vote of stockholders and may stockholders and transactions from materiality determinations regarding be removed by the Board, provided which a Representative Director derived who qualifies as an Industry Director however, that any Member 21 an improper personal benefit). Lastly, and Non-Industry Director. Representative Director may only be • the Exchange notes that under the Unlike the current Bylaws which removed for cause, which includes such proposed Bylaws, resignation must be provide that the CEO shall be the Director being subject to a Statutory 22 written and must be given to either the Chairman of the Board, the proposed Disqualification. Additionally, a Bylaws, provide that the Chairman will Chairman of the Board or the Secretary. Director shall be immediately removed be appointed by the Board and further upon a determination by the Board, by Board Composition provides that the Board may designate a majority vote of remaining Directors an Acting Chairman in the event the that (a) the Director no longer satisfies Pursuant to Article III, Section 2 of Chairman is absent or fails to act.23 the classification for which the Director the current Bylaws, the Board must • Unlike the current Bylaws which was elected and (b) the Director’s consist of four (4) or more Directors, and provide that a Lead Director must be continued service would violate the consist at all times of one (1) Director designated by the Board among the compositional requirements of the who is the CEO and a sufficient number Board’s Independent Directors,24 the Board. Article III, Section 7 of the of Industry, Non-Industry and Member proposed Bylaws provide that the Board current Bylaws also provides that any Representative Directors to ensure that may, but does not have to, appoint a Director may resign at any time upon the number of Non-Industry Directors, Lead Director, who if appointed, must notice of resignation to the Chairman of including at least on Independent be a Non-Industry Director, which is the the Board, the President or Secretary. 25 Director, shall equal or exceed the sum same practice under CBOE’s Bylaws. Resignation shall take effect at the time • of Industry and Member Representative The number of Representative specified, or if no time is specified, Directors. Additionally, the number of Directors must be at least twenty (20) upon receipt of the notice. percent of the Board,26 which is the Under Article III, Section 3.4 of the Member Representative Directors must be at least twenty (20) percent of the same requirement under the current proposed Bylaws, which is the same as Bylaws as noted above. Article III, Section 3.4, of the CBOE Board. The Exchange proposes to Bylaws, a Director who fails to maintain replace the Board composition and Meetings the applicable Industry or Non-Industry structure with that of CBOE and C2. As Annual Meeting of the Stockholders qualifications required under the is the case with CBOE and C2, pursuant proposed Bylaws, of which the Board to Article III, Section 3.1, of the Article IV, Section 1 of the current shall be the sole judge, will cease being proposed Bylaws, the Board must Bylaws provides that the annual meeting of the stockholders shall be a Director. The Exchange notes that consist of at least five (5) directors while the current Bylaws do not address (which is the minimum number of 18 See Proposed Bylaws and CBOE Bylaws, the requalification of a Director, Section Directors required for the Nominating Article III, Section 3.1. 3.4 of the proposed Bylaws permits a and Governance Committee), instead of 19 See Current Bylaws, Article III, Section 2. Director that fails to maintain the 4 as required by the current Bylaws. 20 Id. applicable qualifications to requalify Additionally, the following would apply 21 Id. within the later of forty-five (45) days to the new Board structure: 22 See Current Bylaws, Article III, Section 5. from the date when the Board 23 See Proposed Bylaws and CBOE Bylaws, • determines the Director is unqualified The number of Non-Industry Article III, Sections 3.6 and 3.8. 24 or until the next regular Board meeting Directors, Industry Directors and the See Current Bylaws, Article III, Section 5. number of Representative Directors that 25 See Proposed Bylaws and CBOE Bylaws, following the date when the Board Article III, Section 3.7. makes such determination. The Director are Non-Industry Directors and Industry 26 See Proposed Bylaws and CBOE Bylaws, shall be deemed not to hold office (i.e., Directors (if any) will be determined by Article III, Section 3.2.

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held at such place and time as Quorum and Vote Required for Action brought before a meeting unless a determined by the Board. The Exchange at a Stockholder Meeting different vote is required by express notes that Article II, Section 2.2 of the Article IV, Section 4 of the current provision of statute or the Certificate of proposed Bylaws is being amended to Bylaws provides, among other things, Incorporation. conform to Article II, Section 2.2 of the that the holders of a majority of the Regular Meetings of the Board CBOE Bylaws, which provides as a capital stock issued and outstanding default that if required by applicable and entitled to vote, present in person Article III, Sections 8 and 9 of the law, an annual meeting of stockholders or represented by proxy, shall constitute current Bylaws provide that, with or shall be held on the third Tuesday in a quorum at all meetings of the without notice, a resolution adopted by the Board determines the time and place May of each year or such other date as stockholders. The provision also of the regular meeting and that if no may be fixed by the Board, at such time provides that if there is no quorum at designation as to place is made, then the as may be designated by the Secretary any meeting of the stockholders, the meeting will be held at the principal prior to the giving of notice of the stockholders, present in person or represented by proxy, shall have power business office of the Exchange. Article meeting. Section 2.2 of the proposed III, Section 3.10 of the proposed Bylaws, Bylaws also provides that in no event to adjourn the meeting until a quorum is present or represented. Additionally, which is the same as Article III, Section shall the annual meeting be held prior 3.10 of the CBOE Bylaws, provides that to the completion of the process for the if an adjournment of a meeting of the stockholders is for more than thirty (30) regular meetings shall be held at such nomination of Representative Directors. time and place as is determined by the The proposed Bylaws also provide in days, or if after the adjournment a new record date is fixed for the adjourned Chairman with notice provided to the Article II, Section 2.1 that in addition to full Board. the Board, the Chairman (or CEO if there meeting, a notice of the adjourned is no Chairman) may designate the meeting shall be given to each Special Meetings of the Board location of the annual meeting. The stockholder of record entitled to vote at Article III, Section 10 of the current the meeting. Additionally, Article IV, Exchange notes that it is not including Bylaws provides that special meetings Section 4 provides that when a quorum the information contained in Article IV, of the Board may be called on a is present at any meeting, the vote of the Section 3 of the current Bylaws. minimum of two (2) days’ notice to each holders of a majority of the capital stock Director by the Chairman or the Specifically, Section 3 provides that the having voting power present in person Secretary of the Exchange (or designee), President and shall be called by the or represented by proxy shall decide Secretary upon written request of three shall prepare at least ten (10) days any question brought before such before every meeting of stockholders, a (3) Directors. Article III, Section 3.11 of meeting, unless the question is one the proposed Bylaws, which is the same complete list of stockholder entitled to upon which by express provision of vote at the meeting. The Exchange does as Article III, Section 3.11 of the CBOE statute or of the Certificate of Bylaws, however, provides that special not believe this provision is necessary Incorporation, a different vote is given that BZX’s sole stockholder is Bats meetings of the Board may be called by required, in which case such express the Chairman and shall be called by the Global Markets Holdings, Inc., a wholly provision shall govern and control the owned subsidiary of CBOE Holdings Secretary upon written request of any decision of such question. four (4) directors. Additionally, under (and also notes that neither CBOE nor The Exchange proposes to adopt the proposed Bylaws, the Secretary shall C2 follow this practice). Article II, Sections 2.5 and 2.6 of the give at least twenty-four (24) hours’ proposed Bylaws which are the same as Special Meetings of the Stockholders notice of such meeting. Article II, Sections 2.5 and 2.6 of the Article IV, Section 2 of the current CBOE Bylaws and similar to Article IV, Board Quorum Bylaws provides that special meetings Section 4 of the current Bylaws. The Article III, Section 12 of the current of the stockholders may be called by the Exchange notes that unlike the current Bylaws provides that a majority of the Chairman, the Board or the President, Bylaws, Article II, Section 2.5 of the number of Directors then in office shall and shall be called by the Secretary at proposed Bylaws and CBOE Bylaws do constitute a quorum, whereas Article III, the request in writing of stockholders not require notice of an adjourned Section 3.9 of the proposed Bylaws, owning not less than a majority of the meeting to be given to each stockholder which is the same as Article III, Section of record entitled to vote at the meeting then issued and outstanding capital 3.9 of the CBOE Bylaws, provides that if an adjournment is for more than thirty stock of the Exchange entitled to vote. two-thirds of the Directors then in office (30) days, or if after the adjournment a In order to streamline the rules under shall constitute a quorum. Increasing new record date is fixed for the the quorum requirement from a majority which special meetings can be called, adjourned meeting. The Exchange does the Exchange proposes to adopt the to two-thirds will ensure that more not believe this requirement is Directors are present at meetings of the same special meeting provision as necessary given that BZX’s sole Article II, Section 2.3 of the CBOE Board in order to transact business for stockholder is Bats Global Markets the Exchange. Bylaws. Particularly, under Article II, Holdings, Inc., a wholly owned Section 2.3 of the proposed Bylaws, subsidiary of CBOE Holdings. Committees of the Board special meetings of stockholders may Additionally, in order to conform The current bylaws provide for the only be called by the Chairman or by a Article II, Section 2.6 of the proposed following standing committees of the majority of the Board. The CBOE Bylaws Bylaws to the CBOE Bylaws, the Board: A Compensation Committee, an do not include the ability of Exchange also proposes to explicitly Audit Committee, a Regulatory stockholders to request a special provide that a plurality of votes Oversight Committee, and an Appeals meeting. The Exchange does not believe properly cast shall elect the directors, Committee, each to be comprised of at this provision is necessary given that notwithstanding the language in Article least three (3) members.27 The current BZX’s sole stockholder is Bats Global II, 2.6 that provides that when a quorum Markets Holdings, Inc., a wholly owned is present, a majority of the votes 27 See Current Bylaws, Article V, Section 1 and subsidiary of CBOE Holdings. properly cast will decide any question Section 2(a).

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Bylaws also provide that the Exchange the extent that the BZX Compensation independent auditor, (ii) CBOE may establish an Executive Committee Committee recommends the Holdings’ financial statements and and a Finance Committee.28 The compensation of executive officers disclosure matters, (iii) CBOE Holdings’ Exchange proposes to modify the whose compensation is not already internal audit function and internal committees of the Board to eliminate the determined by the CBOE Holdings controls, and (iv) CBOE Holdings’ Audit Committee, Appeals Committee, Compensation Committee, its activities oversight and risk management, and Compensation Committee, as well are duplicative of the activities of the including compliance with legal and as eliminate the provision relating to a CBOE Holdings Compensation regulatory requirements. Because CBOE Finance Committee. Additionally, the Committee. Indeed, the Exchange notes Holdings’ financial statements are Exchange proposes to require a that currently the BZX Compensation prepared on a consolidated basis that mandatory Executive Committee and Committee only fixes the compensation includes the financial results of CBOE Nominating and Governance amount of the BZX CEO. The Exchange Holdings’ subsidiaries, including BZX, Committee, as well as make several notes that currently the Exchange’s CEO the CBOE Holdings Audit Committee’s amendments to the Regulatory is the CEO (i.e., an executive officer) of purview necessarily includes BZX. The Oversight Committee provision. The CBOE Holdings, and as such, the CBOE Exchange notes that unconsolidated Exchange notes that CBOE and C2 have Holdings Compensation Committee financial statements of the Exchange eliminated their Audit and already performs this function. To the will still be prepared for each fiscal year Compensation Committees and do not extent that compensation need be in accordance with the requirements set maintain an Appeals Committee at the determined for any BZX officer who is forth in its application for registration as Board level. As previously noted, CBOE not also a CBOE Holdings officer in the a national securities exchange. The and C2 do maintain a Board-level future, the Board or senior management CBOE Holdings Audit Committee is Nominating and Governance will perform such action without the composed of at least three (3) CBOE Committee, which performs the use of a compensation committee, as Holdings directors, all of whom must be functions of BZX’s current Nominating provided for in Article V, Section 5.11 independent within the meaning given and Member Nominating Committees, of the proposed Bylaws (which is to that term in the CBOE Holdings which the Exchange proposes to identical to Article V, Section 5.11 of Bylaws and Corporate Governance eliminate. the CBOE Bylaws). Thus, the Guidelines and Rule 10A–3 under the responsibilities of the BZX Act.31 All CBOE Holdings Audit Elimination of Compensation Compensation Committee are Committee members must be financially Committee duplicated by the responsibilities of the literate (or become financially literate The Exchange seeks to eliminate the CBOE Holdings Compensation within a reasonable period of time after Compensation Committee because it Committee. The Exchange believes that appointment to the Committee), and at believes that the Compensation its proposal to eliminate its least one (1) member of the Committee Committee’s functions are duplicative of Compensation Committee is must be an ‘‘audit committee financial the functions of the Compensation substantially similar to prior actions expert’’ as defined by the Securities and Committee of its parent company, CBOE taken by other securities exchanges with Exchange Commission (‘‘SEC’’). By Holdings. Specifically, under its parent company compensation contrast, the BZX Audit Committee has committee charter, the CBOE Holdings committees to eliminate their exchange- a more limited role, focused on BZX. Compensation Committee has authority level compensation committees, Under its charter, the primary functions to assist the CBOE Holdings Board of including CBOE and C2.30 of the BZX Audit Committee are focused on (i) BZX’s financial statements and Directors in carrying out its overall Elimination of Audit Committee responsibilities relating to executive disclosure matters and (ii) BZX’s compensation and also, among other The Exchange also proposes to oversight and risk management, things, (i) recommending the eliminate its Audit Committee because including compliance with legal and compensation of the CBOE Holdings’ its functions are duplicative of the regulatory requirements, in each case, CEO and certain other executive officers functions of the Audit Committee of its only to the extent required in and (ii) approving and administering all parent company, CBOE Holdings. Under connection with BZX’s discharge of its cash and equity-based incentive its committee charter, the CBOE obligations as a self-regulatory compensation plans of CBOE Holdings Holdings Audit Committee has broad organization. However, to the extent that affect employees of the CBOE authority to assist the CBOE Holdings that the BZX Audit Committee reviews Holdings and its subsidiaries. Similarly, Board in fulfilling its oversight financial statements and disclosure under its committee charter, the BZX responsibilities in assessing controls matters, its activities are duplicative of Compensation Committee has authority that mitigate the regulatory and the activities of the CBOE Holdings to fix the compensation of BZX’s CEO operational risks associated with Audit Committee, which is also charged operating the Exchange and assist the and to consider and recommend with review of financial statements and CBOE Holdings Board of Directors in compensation policies, programs, and disclosure matters. Similarly, the CBOE discharging its responsibilities relating practices to the BZX CEO in connection Holdings Audit Committee has general to, among other things, (i) the with the BZX CEO’s fixing of the responsibility for oversight and risk qualifications, engagement, and salaries of other officers and agents of management, including compliance oversight of CBOE Holdings’ the Exchange.29 As such, other than to with legal and regulatory requirements, for CBOE Holdings and all of its 30 See e.g., Securities Exchange Act Release No. 28 subsidiaries, including BZX. Thus, the See Current Bylaws, Article V, Sections 6(e) 80523 (April 25, 2017), 82 FR 20399 (May 1, 2017) and (f), respectively. (SR–CBOE–2017–017) and Securities Exchange Act responsibilities of the BZX Audit 29 The Exchange notes that the Regulatory Release No. 80522 (April 25, 2017), 82 FR 20409 Committee are fully duplicated by the Oversight Committee (‘‘ROC’’) of the BZX Board (May 1, 2017) (SR–C2–2017–009). See also responsibilities of the CBOE Holdings recommends to the Board compensation for the Securities Exchange Act Release No. 60276 (July 9, Audit Committee. The Exchange Chief Regulatory Officer. The Exchange also notes 2009), 74 FR 34840 (July 17, 2009) (SR–NASDAQ– that currently not all executive officers of BZX are 2009–042) and Securities Exchange Act Release No. believes that its proposal to eliminate its required to have their compensation determined by 62304 (June 16, 2010), 75 FR 36136 (June 24, 2010) the Compensation Committee. (SR–NYSEArca–2010–31). 31 17 CFR 240.10A–3.

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Audit Committee is substantially similar Elimination of Finance Committee Article V, Section 6(c) of the current to prior actions by other securities Pursuant to Article V, Section 6(f) of Bylaws provide that the ROC shall exchanges with parent company audit the current Bylaws, the Chairman, with oversee the adequacy and effectiveness committees to eliminate their exchange- the approval of the Board, may appoint of the Exchange’s regulatory and self- level audit committees, including CBOE a Finance Committee. The Finance regulatory organization responsibilities, and C2.32 Committee shall advise the Board with assess the Exchange’s regulatory performance, assist the Board and Board Elimination of Appeals Committee respect to the oversight of the financial operations and conditions of the committees in reviewing the regulatory plan and the overall effectiveness of The Exchange next proposes to Exchange, including recommendations Exchange’s regulatory functions and, in eliminate the Appeals Committee. for the Exchange’s annual operating and consultation with the CEO, establish the Pursuant to Article V, Section 6(d) of capital budgets. The Exchange notes that it does not currently have a Finance goals, assess the performance, and fix the current Bylaws, the Chairman, with the compensation of the Chief the approval of the Board, shall appoint Committee and that, similarly, CBOE and C2 do not have an exchange-level Regulatory Officer (‘‘CRO’’). The an Appeals Committee. The Appeals Exchange notes that the ROC will Committee shall consist of one (1) Finance Committee. As the Exchange currently does not maintain, and has no continue to have the foregoing duties Independent Director, one (1) Industry and authority, with the exception that Director, and one (1) Member current intention of establishing, an exchange-level Finance Committee, it the ROC will no longer consult the CEO Representative Director and presides with respect to establishing the goals, over all appeals related to disciplinary does not believe it is necessary to maintain this provision. The Exchange assessing the performance and fixing and adverse action determinations in compensation of the CRO. The proposed accordance with the Rules. The notes that should it desire to establish a Finance Committee in the future, it change to eliminate the CEO’s Exchange notes that neither CBOE nor still maintains the authority to do so involvement in establishing the goals, C2 maintain a Board-level Appeals under Article IV, Section 4.1 of the assessing the performance and fixing Committee. Rather, CBOE and C2 proposed Bylaws. compensation of the CRO is consistent currently maintain an Exchange-level with the Exchange’s desire to maintain Appeals Committee.33 The Exchange Changes to the Regulatory Oversight the independence of the regulatory notes that although it is proposing to Committee functions of the Exchange. The eliminate the Appeals Committee as a Article V, Section 6(c) of the current Exchange notes that each of the specified Board-level committee at this Bylaws relates to the Regulatory abovementioned proposed changes time, the Exchange will still have the Oversight Committee (‘‘ROC’’), which provide for the same language and ability to appoint either a Board-level or oversees the adequacy and effectiveness appointment process used by CBOE and exchange-level Appeals Committee of the Exchange’s regulatory and self- C2 with respect to the ROC, which pursuant to its powers under Article IV, regulatory organization responsibilities. provides consistency among the CBOE Section 4.1 of the proposed Bylaws. The Exchange proposes to adopt Article Holdings U.S. securities exchanges.36 Although, CBOE and C2 have a standing IV, Section 4.4, which amends the ROC exchange-level Appeals Committee, the Creation of a Mandatory Executive provision to conform to Article IV, Committee Exchange prefers not to have to Section 4.4 of the CBOE Bylaws.35 First, maintain and staff a standing Appeals the Exchange proposes to specify that Article V, Section 6(e) of the current Committee, but rather provide its Board the ROC shall consist of at least three (3) Bylaws provides that the Chairman, the flexibility to determine whether to directors, all of whom are Non-Industry with approval of the Board, may appoint establish a Board-level or exchange- Directors who are appointed by the an Executive Committee, which shall, to level Appeals Committee, as needed or Board on the recommendation of the the fullest extent permitted by Delaware desired. The Exchange also notes that Non-Industry Directors serving on the and other applicable law, have and be other Exchanges similarly do not require Nominating and Governance Committee permitted to exercise all the powers and standing Appeals Committees.34 The (including the designation of the authority of the Board in the elimination of the requirement in the Chairman of the ROC). While the management of the business and affairs bylaws to maintain a standing Appeals current Bylaws also require all ROC of the Exchange between meetings of the 37 Committee would provide consistency members to be Non-Industry Directors, Board. The current Bylaws provide among the Bylaws for all of CBOE it does not specify a minimum number that the number of Non-Industry Holdings’ U.S. securities exchanges, of directors. The current Bylaws also Directors on the Executive Committee while still providing the Board the provide that the Chairman of the Board shall equal or exceed the number of authority to appoint an Appeals (instead of a Nominating and Industry Directors on the Executive Committee in the future as needed. Governance Committee), with approval Committee. In addition, the percentage of the Board, appoints the ROC of Independent Directors on the 32 See, e.g., Securities Exchange Act Release No. members. Executive Committee shall be at least as 64127 (March 25, 2011), 76 FR 17974 (March 31, Next, while the current Bylaws great as the percentage of Independent 2011) (SR–CBOE–2011–010) and Securities explicitly delineate some of the ROC’s Directors on the whole Board, and the Exchange Act Release No. 64128 (March 25, 2011), percentage of Member Representative 76 FR 17973 (March 31, 2011) (SR–C2–2011–003). responsibilities, the Exchange proposes See also, Securities Exchange Act Release No. to provide more broadly that the ROC Directors on the Executive Committee 60276 (July 9, 2009), 74 FR 34840 (July 17, 2009) shall have the duties and may exercise shall be at least as great as the (SR–NASDAQ–2009–042). such authority as may be prescribed by percentage of Member Representative 33 See e.g., CBOE Rule 2.1 and C2 Chapter 19, resolution of the Board, the Bylaws or Directors on the whole Board. which incorporates by reference CBOE Chapter XIX Under the proposed Bylaws, the (Hearings and Review), which references the the Rules of the Exchange. Particularly, Appeals Committee. Exchange proposes to require that the 34 For example, neither the Bylaws nor Rules of 35 The Exchange does not intend at this time to BOX Options Exchange, LLC mandate an Appeals rename the ROC the ‘‘Regulatory Oversight and 36 See CBOE Bylaws Article IV, Section 4.4. Committee. See Bylaws of Box Options Exchange Compliance Committee’’ (‘‘ROCC’’), which is the 37 The Exchange does not presently have an LLC and Rules of Box Options Exchange, LLC. name of the equivalent committee of CBOE and C2. Executive Committee.

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Exchange maintain an Executive Elimination of Nominating and Member the Nominating and Governance Committee and delineates its Nominating Committees and Creation of Committee for approval by the Board. composition and functions in Article IV, Nominating and Governance Committee The Nominating and Governance Section 4.2 of the proposed Bylaws. The Exchange also proposes to Committee would be primarily charged Similar to the current Bylaw provisions eliminate the current Nominating and with the authority to nominate relating to the Executive Committee, the Member Nominating Committees, and to individuals for election as Directors of proposed Executive Committee shall prescribe that their duties be performed the Exchange. The Nominating and have and may exercise all the powers by the new Nominating and Governance Governance Committee would also have and authority of the Board in the Committee of the Board (as discussed such other duties and may exercise such management of the business and affairs below). The Nominating Committee is a other authority as may be prescribed by of the Exchange. Unlike the current non-Board committee and is elected on resolution of the Board and the Executive Committee provisions, an annual basis by vote of the Nominating and Governance Committee however, the proposed Executive Exchange’s sole stockholder, Bats Global charter as adopted by resolution of the Committee shall not have the power and Markets Holdings, Inc.39 The Board. If the Nominating and authority of the Board to (i) approve or Nominating Committee is primarily Governance Committee has two (2) or adopt or recommend to the stockholders charged with nominating candidates for more Industry Directors, there shall be any action or matter (other than the election to the Board at the annual an Industry-Director Subcommittee election or removal of Directors) stockholder meeting and all other consisting of all of the Industry expressly required by Delaware law to vacant or new Director positions on the Directors then serving on the be submitted to stockholders for Board and ensuring, in making such Nominating and Governance approval, including without limitation, nominations, that candidates meet the Committee, which shall act as the amending the certificate of compositional requirements set forth in Representative Director Nominating incorporation, adopting an agreement of the bylaws. The Member Nominating Body (as previously discussed) if and to merger or consolidation, approving a Committee is also a non-Board the extent required by the proposed sale, lease or exchange of all or committee and elected on an annual Bylaws. The Exchange believes that the substantially all of the Exchange’s basis by vote of the Exchange’s sole duties and functions of the eliminated property and assets, or approval of a stockholder, Bats Global Markets Nominating and Member Nominating dissolution of the Exchange or Holdings, Inc.40 Each Member Committees would continue to be revocation of a dissolution, or (ii) adopt, Nominating Committee member must be performed and covered in the new alter, amend or repeal any bylaw of the a Member Representative member (i.e., corporate governance structure under Exchange. Additionally, Section 4.2 of an officer, director, employee or agent of the proposed Bylaws. the proposed Bylaws provides that the an Exchange Member that is not a Creation of an Advisory Board Executive Committee shall consist of the Stockholder Exchange Member).41 The The Exchange proposes to adopt Chairman, the CEO (if a Director), the Member Nominating Committee is Article VI, Section 6.1, which provides Lead Director, if any, at least one (1) primarily charged with nominating that the Board may establish an Representative Director and such other candidates for each Member Advisory Board which shall advise the number of Directors that the Board Representative Director position on the Board and management regarding deems appropriate, provided that in no Board. event shall the number of Non-Industry The Exchange proposes to adopt a matters of interest to Exchange Directors constitute less than the Nominating and Governance Committee Members. The Exchange believes the number of Industry Directors serving on which would have the same Advisory Board could provide a vehicle the Executive Committee (excluding the responsibilities currently delegated to for Exchange management to receive CEO from the calculation of Industry the CBOE and C2 Nominating and advice from the perspective of Exchange Members and regarding matters that Directors for this purpose). The Governance Committees. Specifically, impact Exchange Members. Under Directors (other than the Chairman, CEO the Exchange proposes to adopt Article Article VI, Section 6.1 of the proposed and Lead Director, if any) serving on the IV, Section 4.3, which is the same as Bylaws, the Board would determine the Executive Committee shall be appointed Article IV, Section 4.3 of the CBOE number of members of an Advisory by the Board on the recommendation of Bylaws, which would provide that the Board, if established, including at least the Nominating and Governance Nominating and Governance Committee two members who are Exchange Committee of the Board. Directors shall consist of at least five (5) directors Members or persons associated with serving on the Executive Committee and shall at all times have a majority of Exchange Members. Additionally, the may be removed by the Board in Non-Industry Directors. Members of the CEO or his or her designee would serve accordance with the bylaws. The committee would be recommended by Chairman of the Board shall be the as the Chairman of an Advisory Board the Nominating and Governance and the Nominating and Governance Chairman of the Executive Committee. Committee for approval by the Board Each member of the Executive Committee would recommend the and shall not be subject to removal members of an Advisory Board for Committee shall be a voting member except by the Board. The Chairman of and shall serve for a term of one (1) year approval by the Board. There would the Nominating and Governance also be an Exchange Member expiring at the first regular meeting of Committee shall be recommended by Directors following the annual meeting Subcommittee of the Advisory Board consisting of all members of the of stockholders each year or until their 39 See Article VI, Sections 1 and 2. A Nominating successors are appointed. The Exchange Committee member may simultaneously serve on Advisory Board who are Exchange notes that CBOE and C2 have an the Nominating Committee and the Board, unless Members or persons associated with Executive Committee and that the the Nominating Committee is nominating Director Exchange Members, which shall act as proposed composition requirements and candidates for the Director’s class. The number of the Representative Director Nominating Non-Industry members on the Nominating functions are the same as CBOE and Committee shall equal or exceed the number of Body if and to the extent required by the C2.38 Industry members on the Nominating Committee. proposed Bylaws. An Advisory Board 40 See Article VI, Sections 1 and 3. would be completely advisory in nature 38 See CBOE Bylaws, Article IV, Section 4.2. 41 See Article VI, Section 3. and not be vested with any Exchange

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decision-making authority or other Bylaws will be identical to the relevant officer. Additionally, while Article VII, authority to act on behalf of the provisions of the CBOE Bylaws.47 Section 7 of the current Bylaws provides Exchange. The Exchange notes that that the President shall have all powers Compensation CBOE and C2 currently maintain an and duties usually incident to the office Advisory Board, with the same Article VII, Section 4 of the current of the President, except as specifically proposed compositional requirements Bylaws provides that the CEO, after limited by a resolution of the Board, and and functions.42 The Exchange also consultation of the Compensation shall exercise such other powers and notes, however, that while for CBOE Committee, shall fix the salaries of perform such other duties as may be and C2 an Advisory Board is mandatory, officers of the Exchange and also states assigned to the President from time to an Advisory Board for the Exchange that the CEO’s compensation shall be time by the Board, Article V, Section 5.3 would be permissive as the Exchange fixed by the Compensation Committee. of the proposed Bylaws further states desires flexibility to determine if an In order to conform compensation that in the event that the CEO does not Advisory Board should be established in practices to those of CBOE and C2, the act, the President shall perform the the future. The Exchange notes that Exchange proposes to modify these officer duties of the CEO, which is there is no statutory requirement to provisions to provide that in lieu of the consistent with the language in the maintain an Advisory Board or CEO, the Board, unless otherwise CBOE Bylaws. Advisory Committee and indeed, other delegated to a committee of the Board or Other Officers Exchanges, including BZX itself, do not to members of senior management, may require the establishment of an fix the salaries of officers of the The Exchange notes the following Advisory Board.43 Exchange.48 Additionally, in modifications relating to officer conjunction with the proposed change provisions in the proposed Bylaws, Officers, Agents and Employees to eliminate the BZX Compensation which are intended to conform the General Committee, the Exchange proposes to proposed Bylaws to the CBOE Bylaws: • Article V, Sections 5.1 and 5.4 of Article VII, Section 1 of the current eliminate language providing that the CEO’s compensation is fixed by the the proposed Bylaws, which is identical Bylaws provides that that an individual Compensation Committee. to Article V, Sections 5.1 and 5.4 of the may not hold office as both the CBOE Bylaws, will provide that the President and Secretary, whereas the Chief Executive Officer and President Chief Financial Officer (‘‘CFO’’) is CBOE Bylaws provide an individual Article VII, Section 6 of the current designated as an officer of the Exchange may not hold office as both the CEO and Bylaws pertains to the CEO. The current and that the Board and CEO may assign President and that the CEO and Bylaws provide that the CEO shall be the CFO powers and duties as they see President may not hold office as either the Chairman of the Board. CBOE and 44 fit. The Exchange notes that the role of the Secretary or Assistant Secretary. C2, however, do not require that the a CFO is not referenced in the current As these requirements are similar, if not CEO be Chairman of the Board. The Bylaws. more restrictive under the CBOE Exchange desires similar flexibility in • The proposed Bylaws eliminate the Bylaws, the Exchange proposes to appointing its Chairman and, therefore, requirement in the current Bylaws that include the same provisions in the this requirement is not carried over in the Chief Regulatory Officer (‘‘CRO’’) is CBOE Bylaws in Article V, Section 5.1 the proposed Bylaws.49 Instead, Article a designated officer of the Exchange.50 of the proposed Bylaws. V, Section 5.1 of the proposed Bylaws As noted above, the Exchange desires to Resignation and Removal provides that the CEO shall be conform its Bylaws to the Bylaws of appointed by an affirmative vote of the CBOE and the CBOE Bylaws do not Article VII, Section 3 of the current majority of the Board, and may but need Bylaws provides that any officer may reference the role of the CRO. The not be, the Chairman of the Board. The Exchange notes that notwithstanding resign at any time upon notice of Exchange notes that to conform the resignation to the Chairman and CEO, the proposed elimination of the CRO language to the CBOE Bylaws, Article V, provision, there is no intention to the President or the Secretary. The Section 5.2 of the proposed Bylaws also Exchange proposes to amend the eliminate the role of the CRO. states that the CEO shall be the official • Article VII, Section 10 of the provision relating to officer resignations representative of the Exchange in all current Bylaws requires the Secretary to to provide that any officer may resign at public matters and provides that the keep official records of Board meetings. any time upon delivering written notice CEO shall not engage in another The Exchange proposes to add to Article to the Exchange at its principal office, business during his incumbency except V, Section 5.6 of the proposed Bylaws, or to the CEO or Secretary.45 Article VII, with approval of the Board. which is similar to the current Bylaws Section 3 of the current Bylaws also Additionally, the Exchange proposes and based on Article V, Section 5.6 of provides that any officer may be not to carry over language in the current the CBOE Bylaws, which requires that removed, with or without cause, by the Bylaws that provides that the CEO shall in addition to all meetings of the Board, Board. The Exchange proposes to not participate in executive sessions of the Secretary must keep official records provide that, in addition to being the Board, as CBOE Bylaws do not of all meetings of stockholders and of removed by the Board, an officer may be contain a similar restriction. Exchange Members at which action is removed at any time by the CEO or Article V, Section 5.3 of the proposed taken. President (provided that the CEO can Bylaws proposes to provide that the • 46 Article V, Section 5.7 of the only be removed by the Board). President shall be the chief operating proposed Bylaws, which is based on Provisions relating to resignation and officer of the Exchange. The Exchange Article 5.7 of the CBOE Bylaws, would removal of officers in the proposed notes that the current Bylaws do not provide that the Treasurer perform such address appointing a chief operating duties and powers as the Board, the 42 See Article VI, Section 6.1 of CBOE Bylaws. CEO or CFO proscribes (whereas Article 43 For example, BOX Options Exchange, LLC does 47 See Article V, Sections 5.8 and 5.9 of the CBOE VII, Section 12 of the current Bylaws not require an advisory committee. Bylaws. 44 See Article V, Section 5.1 of CBOE Bylaws. 48 See Proposed Bylaws, Article V, Section 5.11. provides that such duties and powers 45 See Proposed Bylaws, Article V, Section 5.9. 49 The Exchange notes that currently the CEO of 46 See Proposed Bylaws, Article V, Section 5.8. BZX is also Chairman of the Board. 50 See Current Bylaws, Article VII, Section 9.

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may be proscribed by the Board, CEO or Next, the Exchange proposes to adopt • Article VII, which addresses notice President). Article VIII, Section 8.4, which provides requirements for any notice required to • While the current Bylaws contain that, except as the Board may otherwise be given by the bylaws or Rules, separate provisions relating to an designate, the Chairman of the Board, including Article VII, Section 7.2, which Assistant Secretary and an Assistant CEO, CFO or Treasurer may waive provides whenever any notice to any Treasurer, the proposed Bylaws do not, notice of, and act as, or appoint any stockholder is required, such notice may as CBOE Bylaws similarly do not person or persons to act as, proxy or be given by a form of electronic contain such provisions.51 attorney-in-fact for the Exchange (with transmission if the stockholder to whom or without power of substitution) at, any such notice is given has previously Amendments meeting of stockholders or shareholders consented to the receipt of notice by Article IX, Section 1 of the current of any other corporation or organization, electronic transmission. The language Bylaws provides that the bylaws may be the securities of which may be held by mirrors the language set forth in Article altered, amended, or repealed, or new the Exchange. The proposed provision VII, Section 7.2 of the CBOE Bylaws. bylaws adopted, (i) by written consent is the same as Article VIII, Section 8.4 • Article VIII, Section 8.3 which is of the stockholders of the Exchange or of the CBOE Bylaws and similar to identical to Article VIII, Section 8.3 of (ii) at any meeting of the Board by Article XI, Section 7 of the current the CBOE Bylaws, which provides that resolution. The proposed Bylaws, Bylaws, which provides generally that the corporate seal, if any, shall be in however, eliminate the ability of the CEO has the power and authority to such form as approved by the board or stockholders to act by written consent officer of the Corporation. act on behalf of the Company at any • and instead provides that in order for meeting of stockholders, partners or Article VIII, Section 8.5, which the stockholders of the Exchange to equity holders of any other corporation provides that a certificate by the alter, amend, repeal or adopt new or organization, the securities of which Secretary, or Assistant Secretary, if any, bylaws, there must be an affirmative may be held by the Exchange. as to any action taken by the vote of the stockholders present at any The Exchange proposes to adopt stockholders, directors, a committee or annual meeting at which a quorum is Article VIII, Section 8.7, which governs any officer or representative of the present.52 Additionally, unlike the transactions with interested parties. Exchange shall, as to all persons who current Bylaws, the Exchange proposes Proposed Article VIII, Section 8.7 is the rely on the certificate in good faith, be to explicitly provide that changes to the same as Article VIII, Section 8.7 of the conclusive evidence of such action. This bylaws shall not become effective until CBOE Bylaws and substantially similar language is identical to the language filed with or filed with and approved by to language contained in Article III, contained in Article VIII, Section 8.5 of the SEC, to avoid confusion as to when Section 18 of the current Bylaws. the CBOE Bylaws. • Article VIII, Section 8.6., which is proposed amendments to the Bylaws Similarly, the Exchange proposes to identical to Article VIII, Section 8.6 of can take effect.53 The proposed adopt Article VIII, Section 8.8 which the CBOE Bylaws, which provides all provisions are the same as the governs severability and is the same as references to the Certificate of corresponding provisions in the CBOE Article VIII, Section 8.8 of CBOE Bylaws Incorporation shall be deemed to refer Bylaws.54 and substantially similar to Article XI, to the Certificate of Incorporation of the Section 8 of the current Bylaws. General Provisions Corporation, as amended, altered or The Exchange proposes to adopt restated and in effect from time to time. The Exchange proposes to add Article Article VIII, Section 8.10 which • VIII, Section 8.1 of the proposed Article VIII, Section 8.11, which provides that the board may authorize provides that the Exchange may lend Bylaws, which is the same as Article any officer or agent of the Corporation VIII, Section 8.1 of the CBOE Bylaws, money or assist an employee of the to enter into any contract, or execute Exchange when the loan, guarantee or that unless otherwise determined by the and deliver any instrument in the name Board, the fiscal year of the Exchange assistance may reasonably benefit the of, or on behalf of the Corporation. The Exchange. This language is identical to ends on the close of business December proposed language is the same as the 31 each year, as compared to Article XI, the language contained in Article VIII, language in Article VIII, Section 8.10 of Section 8.11 of the CBOE Bylaws. Section 1 of the current Bylaws, which the CBOE Bylaws and similar to related provides that the fiscal year of the language in Article XI, Section 6 of the Eliminated Bylaw Provisions Exchange shall be as determined from current Bylaws. The Exchange notes that the following time to time by the Board. Note that the The Exchange proposes to adopt provisions in the current Bylaws are not Exchange’s fiscal year currently ends on Article VIII, Section 8.12, relating to carried over in either the proposed the close of business December 31 each books and records and which is the Bylaws or proposed Certificate in order year. same as Article VIII, Section 8.12 of to conform the Exchange’s bylaws to The Exchange also proposes to add CBOE Bylaws and which is similar to those of CBOE and C2 and provide Article VIII, Section 8.2 of the proposed language contained in Article XI, consistency among the CBOE Holdings’ Bylaws, which is the same as Article Section 3 of the current Bylaws. U.S. securities exchanges: VIII, Section 8.2 of the CBOE Bylaws, • Article III, Sections 13 and 17. New Bylaw Provisions which governs the execution of Section 13 provides that a director who instruments such as checks, drafts and The Exchange proposes to add is present at a Board or Board bills of exchange and contracts and provisions to the proposed Bylaws that Committee meeting at which action is which is similar to Article XI, Section are not included in the current Bylaws taken is conclusively presumed to have 6 of the current Bylaws. in order to conform the Exchange’s assented to action being taken unless his bylaws to those of CBOE and C2 and or her dissent or election to abstain is 51 See Article VII, Sections 11 and 13 of the provide consistency among the CBOE entered into the minutes or filed. current Bylaws. Section 17 provides that the Board has 52 See Proposed Bylaws, Article IX, Section 9.2. Holdings’ U.S. securities exchanges. 53 See Proposed Bylaws, Article IX, Section 9.3. Specifically, the Exchange proposes to the power to interpret the Bylaws and 54 See Article IX, Sections 9.2 and 9.3 of the add the following to the proposed any interpretations made shall be final CBOE Bylaws. Bylaws: and conclusive. The Exchange does not

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wish to include these provisions in the • Article X, Section 4, which relates distribution of the remaining assets of proposed Bylaws as no equivalent to fees, provides that the Board has the Exchange. provisions exist in the CBOE Bylaws authority to fix and charge fees, dues, • Certain sections in Article XI, and the Exchange wishes to have assessments, and other charges to be including Section 2 (‘‘Participation in uniformity across the bylaws of the paid by Exchange Members and issuers Board and Committee Meetings’’), CBOE Holdings’ exchanges. and any other persons using any facility Section 4 (‘‘Dividends’’) and Section 5 • Article IX, Section 2, which relates or system that the Company operates or (‘‘Reserves’’). More specifically, Article to the Board’s authority to adopt controls; provided that such fees, dues, XI, Section 2 governs who may attend emergency Bylaws to be operative assessments, and other charges shall be Board and Board committee meetings during any emergency resulting from, equitably allocated among Exchange pertaining to the self-regulatory function among other things, any nuclear or Members and issuers and any other of the Exchange and particularly, atomic disaster or attack on the United persons using any facility or system that provides among other things, that Board States, any catastrophe, or other the Company operates or controls. The and Board Committee meetings relating emergency condition, as a result of Exchange does not wish to include this to the self-regulatory function of the which a quorum of the Board or a section of the provision in the proposed Company are closed to all persons other committee cannot readily be convened Bylaws as no equivalent provisions exist than members of the Boards, officers, for action. Similarly, Article IX, Section in the CBOE Bylaws. To the extent the staff and counsel or other advisors 3, provides that the Board, or Board’s Board wishes to adopt such fees and whose participation is necessary or 57 designee, in the event of extraordinary dues, it has the authority pursuant to appropriate. Article XI, Section 4 market conditions, has the authority to Article III, Section 3.3 of the proposed provides that dividends may be take certain actions. The Exchange does Bylaws. The Exchange notes that with declared upon the capital stock of the not wish to include these provisions in respect to the language in Article X, Exchange by the Board. Article XI, the proposed Bylaws as no equivalent Section 4 of the current Bylaws relating Section 5 provides that before any provisions exist in the CBOE Bylaws to the prohibition of using revenues dividends are paid out, there must be and the Exchange wishes to have received from fees derived from its set aside funds that the Board uniformity across the bylaws of the regulatory function or penalties for non- determines is proper as a reserves. The CBOE Holdings’ exchanges. Exchange does not wish to include these • regulatory purposes, similar language Article X, Section 2, which relates exists within CBOE Rules, particularly, provisions in the proposed Bylaws as no to disciplinary proceedings and CBOE Rule 2.51. In order to conform the equivalent provisions exist in the CBOE provides that the Board is authorized to Bylaws, the Exchange wishes to Bylaws and the Exchange wishes to establish procedures relating to similarly relocate this language to its have uniformity across the bylaws of the CBOE Holdings’ U.S. securities disciplinary proceedings involving rules, instead of maintaining it in its exchanges. Exchange Members and their associated Bylaws. Specifically, the Exchange persons, as well as impose various proposes to adopt new Rule 15.2, which (c) Changes to Rules sanctions applicable to Exchange language is based off CBOE Rule 2.51. The Exchange will also amend its Members and persons associated with The Exchange notes that this provision Exchange Members. The Exchange does rules in conjunction with the proposed is designed to preclude the Exchange not wish to include this provision in the changes to its bylaws. The proposed from using its authority to raise proposed Bylaws as no equivalent rule changes are set forth in Exhibit 5E. regulatory funds for the purpose of provisions exist in the CBOE Bylaws. First, the Exchange proposes to update benefitting its Stockholder. Unlike Additionally, the Exchange notes that the reference to the bylaws in Rule 1.1. CBOE Rule 2.51 however, proposed Article III, Section 3.3 of the proposed Next, the Exchange notes that in order Rule 15.2 explicitly provides that Bylaws grants the Board broad powers to keep the governance documents regulatory funds may not be distributed to adopt such procedures and/or rules if uniform, it proposes to eliminate the to the stockholder. The Exchange notes necessary or desirable.55 definitions of ‘‘Industry member’’, • Article X, Section 3, which relates that this language is currently contained ‘‘Member Representative member’’ and to membership qualifications and in Article X, section 4 of the current ‘‘Director’’ from Article I of the current provides, among other things, that the Bylaws. Additionally, while not explicit Bylaws. The Exchange notes that Board has authority to adopt rules and in CBOE Rule 2.51, the Exchange notes Industry members and Member regulations applicable to Exchange that the rule filing that adopted Rule Representative members are still used Members and Exchange Member 2.51 does similarly state that regulatory for Hearing Panels pursuant to Rule 8.6. applicants, as well as establish specified funds may be not distributed to CBOE’s As such, the Exchange proposes to 56 and appropriate standards with respect stockholder. Although proposed Rule relocate these definitions to the rules to the training, experience, competence, 15.2 will differ slightly from CBOE Rule (specifically, Rule 8.6) and proposes to financial responsibility, operational 2.51, the Exchange wishes to make this update the reference to the location of capability, and other qualifications. The point clear to avoid potential confusion. the definitions in Rule 8.6 accordingly Exchange does not wish to include this Lastly, the Exchange notes that unlike (i.e., refer to the definition in Rule 8.6 provision in the proposed Bylaws as no Article X, Section 4 of the current equivalent provisions exist in the CBOE Bylaws, proposed Rule 15.2, like CBOE 57 Article XI, Section 2 also provides that in no Bylaws. The Exchange again notes that Rule 2.51, will provide that event shall members of the Board of Directors of notwithstanding the preclusion to use CBOE Holdings, Inc., CBOE V, LLC or Bats Global Article III, Section 3.3 of the proposed Markets Holdings, Inc. who are not also members Bylaws grants the Board broad powers regulatory revenue for non-regulatory of the Board, or any officers, staff, counsel or to adopt such rules and regulations if purposes, in the event of liquidation of advisors of CBOE Holdings, Inc., CBOE V, LLC or necessary or desirable. the Exchange, Bats Global Markets Bats Global Markets Holdings, Inc. who are not also Holdings, Inc. will be entitled to the officers, staff, counsel or advisors of the Company (or any committees of the Board), be allowed to 55 The Exchange notes that the language in participate in any meetings of the Board (or any proposed Article III, Section 3.3 is similar to 56 See Securities Exchange Act Release No. 62158 committee of the Board) pertaining to the self- language provided for in Article X, Section 1 of the (May 24, 2010), 75 FR 30082 (May 28, 2010) (SR– regulatory function of the Company (including current Bylaws. CBOE–2008–088). disciplinary matters).

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as opposed to the definition in the practices, to promote just and equitable associated with a member of the bylaws). The Exchange also proposes to principles of trade, to foster cooperation exchange, broker, or dealer; and is eliminate language in Rule 2.10 that, in and coordination with persons engaged designed to promote just and equitable connection with a reference to in regulating, clearing, settling, principles of trade, to remove ‘‘Director’’, states ‘‘as such term is processing information with respect to, impediments to and perfect the defined in the Bylaws of the Exchange’’. and facilitating transactions in mechanism of a free and open market As the definition of Director is being securities, to remove impediments to and a national market system, and, in eliminated in the Bylaws, the Exchange and perfect the mechanism of a free and general to protect investors and the is seeking to remove the obsolete open market and a national market public interest. For example, the language in Rule 2.10. system, and, in general, to protect number of Non-Industry Directors must Lastly, as discussed above, the investors and the public interest. not be less than the number of Industry Exchange proposes to add new Rule Additionally, the Exchange believes the Directors. Additionally, the Exchange 15.2, which will provide that any proposed rule change is consistent with believes that the 20% requirement for revenues received by the Exchange from the Section 6(b)(5) 61 requirement that Representative Directors and the fees derived from its regulatory function the rules of an exchange not be designed proposed method for selecting or regulatory fines will not be used for to permit unfair discrimination between Representative Directors ensures fair non-regulatory purposes or distributed customers, issuers, brokers, or dealers. representation and allows members to to the Stockholder, but rather, shall be The Exchange also believes that its have a voice in the Exchange’s use of its applied to fund the legal and regulatory proposal is consistent with Section 6(b) self-regulatory authority. For instance, operations of the Exchange (including of the Act in general, and furthers the the proposed Bylaws includes a process surveillance and enforcement activities), objectives of Section 6(b)(1) of the Act by which Exchange members can or be used to pay restitution and in particular, in that it enables the directly petition and vote for disgorgement of funds intended for Exchange to be so organized as to have representation on the Board. customers (except in the event of the capacity to be able to carry out the Additionally, the Exchange believes liquidation of the Exchange, which case purposes of the Act and to comply, and the proposed Certificate, Bylaws and Bats Global Markets Holdings, Inc. will to enforce compliance by its exchange rules support a corporate governance be entitled to the distribution of the members and persons associated with framework, including the proposed remaining assets of the Exchange). As its exchange members, with the Board and Board Committee structure more fully discussed above in the provisions of the Act, the rules and that preserves the independence of the ‘‘Eliminated Bylaw Provisions’’ section, regulations thereunder, and the rules of Exchange’s self-regulatory function and the proposed change is similar to Article the Exchange. insulates the Exchange’s regulatory X, Section 4 of the current Bylaws and The Exchange also believes that its functions from its market and other based on Rule 2.51 of CBOE Rules. proposal to adopt the Board and commercial interests so that the The Exchange believes that the committee structure and related Exchange can continue to carry out its proposed changes to the current Bylaws nomination and election processes set regulatory obligations. Particularly, the and current Certificate would align its forth in the proposed Bylaws are proposed governance documents governance documents with the consistent with the Act, including provide that Directors must take into governance documents of each of CBOE Section 6(b)(1) of the Act, which consideration the effect that his or her and C2, which preserves governance requires, among other things, that a actions would have on the ability of the continuity across each of CBOE national securities exchange be Company to carry out its regulatory Holdings’ six U.S. securities exchanges. organized to carry out the purposes of responsibilities under the Act and the The Exchange also notes that the the Act and comply with the proposed changes to the rules includes Exchange will continue to be so requirements of the Act. In general, the the restriction on using revenues organized and have the capacity to be proposed changes would make the derived from the Exchange’s regulatory able to carry out the purposes of the Act Board and committee composition function for non-regulatory purposes, and to comply and to enforce requirements, and related nomination which further underscores the compliance by its Members and persons and election processes, more consistent independence of the Exchange’s associated with its Members, with the with those of its affiliates, CBOE and C2. regulatory function. The Exchange also provisions of the Act, the rules and The Exchange therefore believes that the believes that requiring that the number regulations thereunder, and the Rules, proposed changes would contribute to of Non-Industry Directors not be less as required by Section 6(b)(1) of the the orderly operation of the Exchange than the number of Industry Directors Act.58 and would enable the Exchange to be so and requiring that all Directors serving organized as to have the capacity to on the ROC be Non-Industry Directors 2. Statutory Basis carry out the purposes of the Act and would help to ensure that no single The Exchange believes the proposed comply with the provisions of the Act group of market participants will have rule change is consistent with the Act by its members and persons associated the ability to systematically and the rules and regulations with members. The Exchange also disadvantage other market participants thereunder applicable to the Exchange believes that this proposal furthers the through the exchange governance and, in particular, the requirements of objectives of Section 6(b)(3) 62 and (b)(5) process, and would foster the integrity Section 6(b) of the Act.59 Specifically, of the Act in particular, in that it is of the Exchange by providing unique, the Exchange believes the proposed rule designed to assure a fair representation unbiased perspectives. change is consistent with the Section of Exchange Members in the selection of Moreover, the Exchange believes that 6(b)(5) 60 requirements that the rules of its directors and administration of its the new corporate governance an exchange be designed to prevent affairs and provide that one or more framework and related processes being fraudulent and manipulative acts and directors would be representative of proposed are consistent with Section issuers and investors and not be 6(b)(5) of the Act because they are 58 15 U.S.C. 78f(b)(1). substantially similar to the framework 59 15 U.S.C. 78f(b). 61 Id. and processes used by CBOE and C2, 60 15 U.S.C. 78f(b)(5). 62 15 U.S.C. 78f(b)(3). which have been well-established as fair

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and designed to protect investors and appropriate in furtherance of the Commission, and all written the public interest.63 The Exchange purposes of the Act. The proposed rule communications relating to the believes that conforming its governance change relates to the corporate proposed rule change between the documents based on the documents of governance of BZX and not the Commission and any person, other than the CBOE and C2 exchanges would operations of the Exchange. This is not those that may be withheld from the streamline the CBOE Holdings’ U.S. a competitive filing and, therefore, public in accordance with the securities exchanges’ governance imposes no burden on competition. provisions of 5 U.S.C. 552, will be process, create equivalent governing available for Web site viewing and standards among the exchanges and also C. Self-Regulatory Organization’s printing in the Commission’s Public provide clarity to its members, which is Statement on Comments on the Reference Room, 100 F Street NE., beneficial to both investors and the Proposed Rule Change Received From Washington, DC 20549 on official public interest. Members, Participants or Others business days between the hours of To the extent there are differences The Exchange neither solicited nor 10:00 a.m. and 3:00 p.m. Copies of the between the current CBOE and C2 received comments on the proposed filing will also be available for framework and the proposed Exchange rule change. inspection and copying at the principal framework, the Exchange believes the office of the Exchange. All comments III. Date of Effectiveness of the differences are reasonable. First, the received will be posted without change; Proposed Rule Change and Timing for Exchange believes it’s reasonable to the Commission does not edit personal Commission Action provide that in Run-Off Elections, each identifying information from Exchange Member shall have one (1) Within 45 days of the date of submissions. You should submit only vote for each Representative Director publication of this notice in the Federal information that you wish to make position to be filled that year instead of Register or within such longer period available publicly. All submissions one vote per Trading Permit held, up to 90 days (i) as the Commission may should refer to File No. SR–BatsBZX– because the Exchange, unlike CBOE and designate if it finds such longer period 2017–55 and should be submitted on or C2, does not have Trading Permits and to be appropriate and publishes its before September 27, 2017. because other exchanges have similar reasons for so finding or (ii) as to which For the Commission, by the Division of 64 practices The Exchange believes it’s the Exchange consents, the Commission Trading and Markets, pursuant to delegated also reasonable not to require the will: (a) By order approve or disapprove authority.65 establishment of an Advisory Board, as such proposed rule change, or (b) Eduardo A. Aleman, the Exchange desires flexibility in institute proceedings to determine Assistant Secretary. maintaining such a Committee, and is whether the proposed rule change [FR Doc. 2017–18791 Filed 9–5–17; 8:45 am] not statutorily required to maintain such should be disapproved. a committee. Additionally, the BILLING CODE 8011–01–P IV. Solicitation of Comments Exchange notes that it currently does not have an Advisory Board. Lastly, the Interested persons are invited to SECURITIES AND EXCHANGE Exchange notes that it is reasonable to submit written data, views and COMMISSION not require a standing exchange-level arguments concerning the foregoing, Appeals Committee because the Board including whether the proposal is Proposed Collection; Comment still has the authority to appoint an consistent with the Act. Comments may Request Appeals Committee in the future as be submitted by any of the following needed pursuant to its powers under methods: Upon Written Request, Copies Available Article IV, Section 4.1 of the proposed From: Securities and Exchange Electronic Comments Bylaws and because an Appeals Commission; Office of FOIA Services; Committee is not statutorily required. • Use the Commission’s Internet 100 F Street NE.; Washington, DC Finally, the proposed amendments to comment form (http://www.sec.gov/ 20549–2736 the rules as discussed above are non- rules/sro.shtml); or Extension: substantive changes meant to merely • Send an email to rule-comments@ Form N–6F, SEC File No. 270–185, OMB update the Rules in light of the sec.gov. Please include File No. SR– Control No. 3235–0238 proposed changes to the current Bylaws BatsBZX–2017–55 on the subject line. Notice is hereby given that, pursuant and to relocate certain provisions to Paper Comments to the Paperwork Reduction Act of 1995 better conform the Exchange’s (44 U.S.C. 3501 et seq.) the Securities • Send paper comments in triplicate governance documents to those of CBOE and Exchange Commission (the and C2. to Secretary, Securities and Exchange ‘‘Commission’’) is soliciting comments Commission, 100 F Street NE., on the collection of information B. Self-Regulatory Organization’s Washington, DC 20549–1090. Statement on Burden on Competition summarized below. The Commission All submissions should refer to File No. plans to submit this existing collection The Exchange does not believe the SR–BatsBZX–2017–55. This file number of information to the Office of proposed rule change will impose any should be included on the subject line Management and Budget for extension burden on competition not necessary or if email is used. To help the and approval. Commission process and review your The title for the collection of 63 See e.g., Securities Exchange Act Release No. comments more efficiently, please use information is ‘‘Form N–6F (17 CFR 62158 (May 24, 2010), 75 FR 30082 (May 28, 2010) only one method. The Commission will (SR–CBOE–2008–088); Securities Exchange Act 274.15), Notice of Intent to Elect to be Release No. 64127 (March 25, 2011), 76 FR 17974 post all comments on the Commission’s Subject to Sections 55 through 65 of the (March 31, 2011) (SR–CBOE–2011–010); and Internet Web site (http://www.sec.gov/ Investment Company Act of 1940.’’ The Securities Exchange Act Release No. 80523 (April rules/sro.shtml). Copies of the purpose of Form N–6F is to notify the 25, 2017), 82 FR 20399 (May 1, 2017) (SR–CBOE– submission, all subsequent 2017–017). Commission of a company’s intent to 64 See e.g., Amended and Restated By-Laws of amendments, all written statements file a notification of election to become Miami International Securities Exchange, LLC, with respect to the proposed rule Article II, Section 2.4(f). change that are filed with the 65 17 CFR 200.30–3(a)(12).

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subject to Sections 55 through 65 of the Please direct your written comments Reference Room and also on the Investment Company Act of 1940 (15 to Pamela Dyson, Director/Chief Exchange’s Internet Web site at http:// U.S.C. 80a–1 et seq.) (‘‘1940 Act’’). Information Officer, Securities and boxexchange.com. Certain companies may have to make a Exchange Commission, C/O Remi II. Self-Regulatory Organization’s filing with the Commission before they Pavlik-Simon, 100 F Street NE., Statement of the Purpose of, and are ready to elect to be regulated as a Washington, DC 20549; or send an email Statutory Basis for, the Proposed Rule business development company.1 A to: [email protected]. Change company that is excluded from the Dated: August 31, 2017. In its filing with the Commission, the definition of ‘‘investment company’’ by Eduardo A. Aleman, Exchange included statements Section 3(c)(1) because it has fewer than Assistant Secretary. one hundred shareholders and is not concerning the purpose of and basis for [FR Doc. 2017–18859 Filed 9–5–17; 8:45 am] making a public offering of its securities the proposed rule change and discussed may lose such an exclusion solely BILLING CODE 8011–01–P any comments it received on the because it proposes to make a public proposed rule change. The text of these statements may be examined at the offering of securities as a business SECURITIES AND EXCHANGE places specified in Item IV below. The development company. Such company, COMMISSION under certain conditions, would not Exchange has prepared summaries, set lose its exclusion if it notifies the [Release No. 34–81504; File No. SR–BOX– forth in Sections A, B, and C below, of Commission on Form N–6F of its intent 2017–28] the most significant aspects of such statements. to make an election to be regulated as Self-Regulatory Organizations; BOX a business development company. The Options Exchange LLC; Notice of A. Self-Regulatory Organization’s company only has to file a Form N–6F Filing and Immediate Effectiveness of Statement of the Purpose of, and once. a Proposed Rule Change To Establish Statutory Basis for, the Proposed Rule The Commission estimates that on Fees and Rebates for the Trading Floor Change average approximately 12 companies on the BOX Market LLC (‘‘BOX’’) 1. Purpose file these notifications each year. Each Options Facility of those companies need only make a The Exchange proposes to amend the single filing of Form N–6F. The August 30, 2017. Fee Schedule for trading on BOX to Commission further estimates that this Pursuant to Section 19(b)(1) of the create a new fee and rebate structure for information collection imposes burden Securities Exchange Act of 1934 (the manual transactions initiated from the of 0.5 hours, resulting in a total annual ‘‘Act’’),1 and Rule 19b–4 thereunder,2 BOX Trading Floor. The Exchange PRA burden of 6 hours. Based on the notice is hereby given that on August recently adopted rules to allow for an estimated wage rate, the total cost to the 21, 2017, BOX Options Exchange LLC open outcry Trading Floor.5 industry of the hour burden for (the ‘‘Exchange’’) filed with the The Exchange represented in its filing complying with Form N–6F would be Securities and Exchange Commission with the Securities and Exchange approximately $2,070. (‘‘Commission’’) the proposed rule Commission (‘‘SEC’’ or the The collection of information under change as described in Items I, II, and ‘‘Commission’’) to establish the Trading Form N–6F is mandatory. The III below, which Items have been Floor that, ‘‘the Exchange has not yet information provided under the form is prepared by the Exchange. The determined the fees for transactions not kept confidential. An agency may Exchange filed the proposed rule change executed on the Trading Floor. Prior to not conduct or sponsor, and a person is pursuant to Section 19(b)(3)(A)(ii) of the commencing trading on the Trading not required to respond to, a collection Act,3 and Rule 19b–4(f)(2) thereunder,4 Floor, the Exchange will file proposed of information unless it displays a which renders the proposal effective fees with the Commission.’’ 6 As the currently valid OMB control number. upon filing with the Commission. The Exchange intends to begin trading on Written comments are invited on: (a) Commission is publishing this notice to the Trading Floor on August 22, 2017, Whether the proposed collection of solicit comments on the proposed rule it is submitting this filing to describe the information is necessary for the proper change from interested persons. fees that will be applicable to performance of the functions of the I. Self-Regulatory Organization’s transactions presented on the Trading agency, including whether the Statement of the Terms of the Substance Floor. information will have practical utility; of the Proposed Rule Change (b) the accuracy of the agency’s estimate Section I. Exchange Fees of the burden of the collection of The Exchange is filing with the The Exchange proposes to amend the information; (c) ways to enhance the Securities and Exchange Commission language to the title of Section I. to quality, utility, and clarity of the (‘‘Commission’’) a proposed rule change differentiate between electronic information collected; and (d) ways to to amend the Fee Schedule to establish transaction fees and manual transaction minimize the burden of the collection of fees and rebates for the Trading Floor on fees. Currently, the Exchange assesses information on respondents, including the BOX Market LLC (‘‘BOX’’) options Exchange Fees based on transaction through the use of automated collection facility. While changes to the fee types and account types. The Exchange techniques or other forms of information schedule pursuant to this proposal will proposes to add ‘‘Electronic technology. Consideration will be given be effective upon filing, the changes will Transaction’’ and remove ‘‘Exchange’’ to to comments and suggestions submitted become operative on August 22, 2017. the title of Section I to distinguish that in writing within 60 days of this The text of the proposed rule change is Section I fees only apply to transactions publication. available from the principal office of the that are initiated electronically through Exchange, at the Commission’s Public 1 A company might not be prepared to elect to be 5 See Securities Exchange Release No. 81292 1 subject to Sections 55 through 65 of the 1940 Act 15 U.S.C. 78s(b)(1). (August 2, 2017), 82 FR 37144 (August 8, because its capital structure or management 2 17 CFR 240.19b–4. 2017)(Order Approving SR–BOX–2016–48 as compensation plan is not yet in compliance with 3 15 U.S.C. 78s(b)(3)(A)(ii). modified by Amendment Nos. 1 and 2). the requirements of those sections. 4 17 CFR 240.19b–4(f)(2). 6 Id.

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the Trading Host as opposed to and Non-Penny Pilot Classes. For • Broker Dealer E would be assessed transactions initiated and presented on example, if a Floor Broker presents a a $0.25 fee and Floor Broker D would the Trading Floor in open outcry QOO Order on the Trading Floor where receive a $0.05 rebate on its 50 contra (manual transactions).7 The Exchange the initiating side is a Public Customer side contracts that received allocation. also proposes to clarify that a and the contra side is the Broker Dealer To continue on this example, if Floor Participant’s electronic and manual guaranteeing the full size of the order, Broker D offered to sell 50 contracts on transaction volume will be considered the Public Customer will be assessed a behalf of Public Customer F instead of for purposes of calculating the volume $0.00 per contract fee on the initiating Broker Dealer E. Public Customer F thresholds within the fee schedule, side and the Broker Dealer will be would be assessed no fees and Floor including the Tiered Volume Rebates for assessed a $0.00 per contract fee for the Broker D would receive no rebates on its Non-Auction Transactions (Section contra-side. 50 contra side contracts that received I.A.1), Primary Improvement Order fees The Exchange then proposes to allocation. On a monthly basis, these (Section 1.B.1), and BOX Volume Rebate establish a QOO Order fee cap for QOO Order fees for Broker Dealer A, (Section I.B.2). Further, the Exchange Broker Dealers of $75,000 per month per Broker Dealer C, and Broker Dealer E proposes to make changes throughout Broker Dealer. Again, the Exchange would each be capped at $75,000; and the Fee Schedule to distinguish between notes that both sides of the paired QOO the QOO Order Rebate for Floor Brokers electronic transaction and manual Order will count towards reaching the B and D would be capped at $30,000 per transaction fees. fee cap for each Broker Dealer. Broker Dealer. The Exchange then proposes to add Section II. Manual Transaction Fees Section II.B., QOO Orders Executed Proposed Section IV. Complex Order Transaction Fees The Exchange then proposes to adopt Against Orders on the BOX Book. a new section (Section II. Manual Specifically, the Exchange proposes that The Exchange proposes to amend Transaction Fees) and renumber the the initiating side of a QOO Order proposed Section IV (Complex Order subsequent sections accordingly. As executing against an order on the BOX Transaction Fees) to clarify that discussed above, manual transactions Book will be treated as a manual transaction fees and credits set forth in are transactions initiated and presented transaction for purposes of the Fee this section will not apply to (i) on the Trading Floor in open outcry, as Schedule and will be subject to the fees Complex Order Electronic transactions opposed to those initiated and rebates in proposed Section II executed through the Auction electronically. Manual transactions (Manual Transaction Fees). The Mechanisms 9 which will be subject to consist of Qualified Open Outcry corresponding order on the BOX Book Sections I (Electronic Transaction Fees) (‘‘QOO’’) Orders.8 A QOO Order must will be treated as an electronic and proposed Section III (Liquidity Fees be entered as a two-sided order, an transaction and continue to be subject to and Credits) and (ii) Complex Order initiating side and a contra-side, and the the fees in Section I (Electronic Manual Transactions which will be QOO Order fees, rebates and applicable Transaction Fees). subject to proposed Section II (Manual fee and rebate caps will apply to both The Exchange proposes to adopt Transaction Fees). sides of the order. Section II.C., QOO Order Rebate. BOX Proposed Section IX. Participant Fees Similar to the fees assessed for Floor Brokers will receive a $0.05 per electronic transactions, the Exchange contract rebate for all QOO Orders The Exchange proposes to establish proposes to assess fees for manual presented to the Trading Floor for both distinct Participant fees for its Floor transactions based on account type. For sides of the QOO Order. However, the Participants. The proposed Floor Public Customers, the Exchange rebate will not apply to Public Customer Participant Permit fees will be in proposes to assess a $0.00 per contract manual executions; or Broker Dealer addition to the Participant Fees already in place; a one-time $2,500 Initiation fee for manual transactions in Penny manual executions where the Broker Fee, and a monthly $1,500 Participant and Non-Penny Pilot Classes. For Dealer is facilitating a Public Customer. Fee. The Exchange proposes to establish Professional Customers, Broker Dealers The total monthly rebate for Broker a Floor Market Maker fee of $5,500 per and Market Makers, the Exchange Dealer executions will be capped at month, a Floor Broker fee of $500 per proposes to assess a $0.25 per contract $30,000 per month per Broker Dealer. month and a Badge fee of $100 per fee for manual transactions in Penny For example, Broker Dealer A submits month.10 The Exchange notes that the and Non-Penny Pilot classes. a 200 contract buy order to a Floor The Exchange proposes to add an Broker B, and the Floor Broker B pairs Floor Market Maker fee and Floor additional account type, Broker Dealer that initiating order with Broker Dealer Broker fee entitles the Participant to Facilitating a Public Customer, which C’s 200 contract sell order to create a three registered permits on the BOX will apply to any manual transaction QOO Order that will be presented on Trading Floor. Further, Badge fees will executed using the open outcry process, the Trading Floor in open outcry. be paid by each Participant (Floor where the Broker Dealer and the Public During open outcry, Floor Broker D Market Maker or Floor Broker) for any Customer both clear through the same offers to sell 50 contracts on behalf of Broker Dealer E. The 200 contract QOO 9 BOX’s auction mechanisms include the Price clearing firm and the Broker Dealer Improvement Period (‘‘PIP’’), Complex Order Price clears in the customer range. The Order is then submitted to the Exchange Improvement Period (‘‘COPIP’’), Facilitation Exchange proposes to assess a $0.00 per for execution through the BOG. Auction and Solicitation Auction. contract fee for Broker Dealers Following the allocation of the 10 A Floor Market Maker is an Options Participant Facilitating a Public Customer in Penny initiating side of the QOO Order: of the Exchange located on the Trading Floor who • Broker Dealer A would be assessed has received permission from the Exchange to trade in options for his own account. A Floor Broker is 7 See BOX Rule 100(a)(66). Electronic transactions a $0.25 fee and Floor Broker B would an individual who is registered with the Exchange are those initiated electronically, as opposed to receive a $0.05 rebate on the initiating for the purpose, while on the Trading Floor, of transactions initiated and presented on the Trading 200 contracts. accepting and handling options orders. A Floor Floor in open outcry. • Broker Dealer C would be assessed Broker must be registered as an Options Participant 8 See BOX Rule 7600. The QOO Order must be prior to registering as a Floor Broker. The Exchange entered as a two-sided order when it is submitted a $0.25 fee and Floor Broker B would notes that the Floor Market Maker fee and the Floor to the Exchange for execution through the BOX receive a $0.05 rebate on its 150 contra Broker Dealer fee will be paid by the Floor Market Order Gateway (‘‘BOG’’). side contracts that receive allocation. Maker or Floor Broker Dealer entities, respectively.

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registered on-floor person employed by The Exchange believes the $0.25 fee Exchange believes this proposal is or associated with the Participant. for Professional Customer, Broker reasonable and appropriate; as it is in Lastly, the Exchange notes that the Dealer, and Market Maker QOO Orders line other exchanges with open outcry Badge fee is not imposed on permit is reasonable. The proposed fees for trading floors.16 holders. The Exchange believes these these Manual transactions have been In addition, the proposed change is Floor Participant Fees are competitive designed to be comparable to the fees equitable and not unfairly with similar fees at other option that such orders would be charged at discriminatory because it is open to all exchanges.11 competing venues.14 Further, the Broker Dealers on an equal basis. Finally, the Exchange proposes to Exchange believes that charging Further, the BOX Trading Floor will make a number of non-substantive Professionals, Broker Dealers and provide the opportunity for all market changes to the Fee Schedule. First, the Market Makers the same fee for all participants to compete for these Exchange proposes to renumber the Manual Transactions is not unfairly customer orders, as there are no footnotes throughout the Fee Schedule. discriminatory as the fees for QOO limitations regarding the number of Second, the Exchange proposes to Orders are the same for Professionals, Market Makers or Floor Brokers that can amend Section III (Complex Order Broker Dealers and Market Makers. participate and compete for a QOO Transaction Fees) with regard to Market The Exchange believes it is equitable Order in open outcry. Finally, the Exchange believes that Maker executed volume on BOX. and not unfairly discriminatory that the proposed difference between what a Currently, the Fee Schedule states, ‘‘All Public Customers be charged lower fees Broker Dealer facilitating a Public Complex Order transactions will count for Manual transactions than Customer will pay, compared to what a toward a Market Maker’s monthly Professional Customers, Broker Dealers responder to the QOO Order will pay is executed volume on BOX in Section and Market Makers on BOX. The reasonable, equitable and not unfairly I.B.’’ The Exchange proposes to correct securities markets generally, and BOX in particular, have historically aimed to discriminatory. As stated above, this the reference to Section I.A.1, as Section improve markets for investors and difference is in-line with the credits and I.B is not accurate. Finally, the develop various features within the fees at competing exchanges. The Exchange proposes to amend proposed market structure for customer benefit. Exchange believes that this differential Section III (Liquidity Fees and Credits) As such, the Exchange believes that not is reasonable because responders are to clarify that a PIP Order or COPIP assessing a fee for Public Customer willing to pay a higher fee for liquidity Order that executes against an Unrelated Manual transactions are appropriate, discovery. Further, the Broker Dealer is on the BOX Book shall be treated as a equitable and not unfairly guaranteeing the execution when Non-Auction Transaction and deemed discriminatory. The Exchange believes submitting the QOO Order to floor, exempt from the Liquidity Fees and it promotes the best interests of compared to the other Floor Participants Credits in Section III. investors to have lower transaction costs who have no obligation to respond. 2. Statutory Basis for Public Customers, and having no fee The Exchange believes that the QOO for QOO Orders will attract Public Order fee cap for Broker Dealers is The Exchange believes that the Customer order flow to the BOX Trading reasonable and appropriate. The proposal is consistent with the Floor. proposed fee cap of $75,000 per month requirements of Section 6(b) of the Act, The Exchange believes that not per Broker Dealer is the same amount as in general, and Section 6(b)(4) and charging a Broker Dealer facilitating a another fee cap at a competing exchange 6(b)(5) of the Act,12 in particular, in that Public Customer is reasonable because it with an open outcry trading floor.17 it provides for the equitable allocation will encourage Broker Dealers to Further, the Exchange believes that this of reasonable dues, fees, and other facilitate Public Customer orders proposed fee cap is equitable and not charges among BOX Participants and through the Trading Floor and increase unfairly discriminatory because it other persons using its facilities and participation in open outcry, which will provides incentives for Broker Dealers does not unfairly discriminate between in turn promote increased executions on to submit floor transactions on the customers, issuers, brokers or dealers. the Exchange which will benefit all Exchange, which brings increased Manual Transaction Fees BOX Participants. As stated above, liquidity and order flow to the floor for BOX’s market model and fees are the benefit of all market participants. The Exchange believes the proposed generally intended to benefit retail Lastly, the Exchange believes that fees for Manual Transactions on the customers by providing incentives for applying this fee cap to only Broker Trading Floor are reasonable. Participants to submit their customer Dealers is reasonable and appropriate as Furthermore, several other competing order flow to BOX.15 Further, the another exchange in the industry has a exchanges have open outcry trading similar cap.18 The Exchange believes floors and market participants can 14 For manual transactions, CBOE charges Broker readily direct order flow to any these Dealers $0.25 and charges Market Makers between 16 See NYSE Arca Fee Schedule. Arca does not $0.23 and $0.03, depending on their volume charge fees for manual executions for Firm venues if they deem BOX’s manual thresholds based on total national Market Maker Facilitation and Broker Dealers facilitating a transaction fees to be excessive.13 volume. CBOE does not charge public customers for Customer. Additionally, the Exchange notes that it manual transactions. On Phlx, Broker Dealers and is proposing a similar definition for ‘‘Broker Dealers 11 Professionals are charged $0.25 for floor For similar Trading Floor Permits for Floor transactions while Market Makers are charged facilitating a Customer’’ as defined in Arca’s Fee Market Makers, Chicago Board Options Exchange $0.35. Similar to CBOE, Phlx does not charge public Schedule. See also NASDAQ PHLX LLC (‘‘PHLX’’) (‘‘CBOE’’) charges $5,000; NASDAQ PHLX LLC customers for their floor transactions. On Arca, Fee Schedule. PHLX does not charge fees for a (‘‘PHLX’’) charges $4,500; NYSE Arca (‘‘Arca’’) Broker Dealers, Professional Customers and Market transaction in which a Broker-Dealer facilitates a charges up to $6,000; and NYSE American Makers are charged $0.25 for their manual Customer order. (‘‘American’’) charges up to $10,000. For Floor executions, while public customers are not charged. 17 See Phlx Pricing Schedule. Phlx subjects Firms Brokers, CBOE charges $9,000 per month; PHLX Lastly, on American for manual transactions, Broker to a maximum fee of $75,000 per month for floor charges $3,000 per month; Arca charges $500 per Dealers and Professional Customers are charged transactions. month; and American charges $500 per month. $0.25, Market Makers are charged $0.20, and public 18 See American Fee Schedule Section I.I (Firm 12 15 U.S.C. 78f(b)(4) and (5). customers are not charged. Month Fee Cap). American has a monthly Firm Fee 13 See CBOE Fee Schedule; PHLX Pricing 15 See BOX Fee Schedule, current Section II.A. Cap for Manual transactions of $100,000. Firms are Schedule; Arca Options Fees and Charges; and (Liquidity Fees and Credits for PIP and COPIP defined as ‘‘a Broker Dealer that is not registered as American Options Fee Schedule. Transactions.) Continued

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that to attract orders from Broker floor. No rebate is given when the QCC Transaction Fees), and treating the Dealers, via a Floor Broker, the rates Order is executed electronically.20 corresponding order on the BOX Book must be competitive with rates at other The Exchange notes that Participants as an electronic transaction subject to trading floors. have two possible means of bringing Section I (Electronic Transaction Fees) Further, the Exchange believes that orders to the Exchange’s Trading Floor is reasonable, equitable and not unfairly applying the cap to only Broker Dealers for possible execution: (1) They can discriminatory. For example, the is equitable and not unfairly invest in the technology, systems and Exchange believes this proposal is discriminatory to Public Customers and personnel to participate on the Trading reasonable and appropriate as it has Floor and deliver the order to the adopted a similar methodology for Broker Dealers facilitating a Public Exchange matching engines for Complex Orders that execute against Customer because these Participants are validation and execution; or (2) they can orders on the BOX Book.21 Further, the not charged any fees for their manual utilize the services of another Exchange believes that this proposed transactions. Additionally, the Exchange Participant acting as a Floor Broker. The change is equitable and not unfairly believes it is equitable and not unfairly Exchange believes that offering the discriminatory as it will reduce investor discriminatory to not apply a fee cap on rebate will allow Floor Brokers to price confusion with respect to the applicable Floor Market Maker manual their services at a level that would QOO Order fees and rebates. Further, transactions. Market Makers do not need enable them to attract QOO order flow the Exchange believes that this proposal the same incentives as Broker Dealers to from participants who would otherwise is consistent with what a Participant submit order flow to the BOX Trading utilize the front-end order entry submitting an order on the Trading Floor. Broker Dealers require a Floor mechanism offered by the Exchange’s Floor would expect to pay, which will Broker to represent their trading interest competitors instead of incurring the cost allow the Participant to more accurately on the Trading Floor as compared to a in time and resources to install and forecast their floor based transaction Market Maker that could directly develop their own internal systems to fees. transact such orders on the Trading deliver QOO orders directly to the Complex Order Transaction Fees Floor. Exchange system. The Exchange believes that the QOO Order Rebate Further, the Exchange believes that to the extent Floor Brokers are able to proposed changes to Proposed Section The Exchange believes that the attract QOO orders; they will gain IV (Complex Order Transaction Fees) proposed $0.05 QOO Order Rebate for important information that would allow are reasonable, equitable and not Floor Brokers is reasonable, equitable them to solicit the parties to the QOO unfairly discriminatory as the changes and not unfairly discriminatory. The orders for participation in other trades. are simply clarifying how Manual Exchange notes that it does not offer a This will in turn, benefit other Exchange Complex Orders on the Trading Floor front-end for order entry on the Trading participants through additional liquidity will be charged or credited as opposed Floor, unlike some competing on the Trading Floor that could occur as to electronic Complex Orders. The exchanges. As such, the Exchange a result. Exchange notes that the Exchange believes it is necessary from a The Exchange believes it is equitable currently differentiates between competitive standpoint to offer this and not unfairly discriminatory to only Complex Orders executed on the rebate to the executing Floor Broker on apply the rebate to Floor Brokers and Exchange versus Complex Orders executed within BOX’s Auction a QOO order. A similar flat rebate is not to Floor Market Makers. As stated Mechanisms. The Exchange is simply offered to Floor Brokers on a competing above, Floor Market Makers only clarifying that Manual Complex Orders exchange.19 Similar to the Floor Broker represent their own interest on the presented on the Trading Floor will be Rebate for Executed QCC Transactions, Trading Floor and therefore do not need subject to a different section of the BOX the proposed QOO Order rebate is a similar incentive. Further, the Exchange believes it is equitable and not Fee Schedule, specifically proposed applied to both sides of the paired order Section II (Manual Transaction Fees). and is directed to the Floor Broker and unfairly discriminatory to not apply the not to the Participant who is assessed rebate to Public Customers or Broker Participant Fees the QOO Order fee. In other words, the Dealers where the Broker Dealer is facilitating a Public Customer, as these The Exchange’s proposed Trading NYSE Floor Broker Rebate is applied to executions are not assessed a fee for Floor Permit fees of $5,500 per month the Floor Broker who executes the QCC their QOO Orders. The Exchange also for Floor Market Makers, $500 per Order for another NYSE Member, even believes that the $30,000 rebate cap for month for Floor Brokers and $100 per though that Member is assessed the Broker Dealer executions is equitable month for any Badge Fees are $0.20 fee per contract. Finally, the and not unfairly discriminatory as reasonable and appropriate. rebate is only applied when the Floor Broker Dealer QOO Order execution fees Specifically, the proposed fees are Broker executes the QCC Order are capped at $75,000 per month and competitive with similar participant manually on the NYSE Arca trading other QOO Order fees are not. fees at other options exchanges with open outcry trading floors.22 a dealer-specialist or Market Maker that is an ATP QOO Orders Executed on the BOX Book The Exchange believes that it is Holder on the Exchange.’’ The Exchange notes that The Exchange believes that treating equitable and not unfairly American has in place a $0.01 incremental service discriminatory to charge Floor Market fee that is applied once a Firm has reached the the initiating side of the QOO Order that monthly cap. The Exchange is not proposing a executes against an order on the BOX Makers more per month than Floor similar service fee at this time. See also Arca Fee Book as a manual transaction for Brokers. Floor Market Makers benefit Schedule (Firm and Broker Dealer Monthly Fee from the access they have to interact Cap). purposes of the Fee Schedule and subject to Section II (Manual with orders which are made available in 19 See NYSE Arca, Qualified Contingent Cross open outcry on the Trading Floor. As (‘‘QCC’’) Transactions Fees and Rebate. The Floor Broker Rebate for Executed Orders is a flat rebate 20 BOX notes that while QCC Orders are also and is applied to both sides of the QCC Order offered on the Exchange, only QOO Orders are 21 See Securities Exchange Release No. 77568 except when a Customer is on both sides of the QCC allowed to be presented to the BOX Trading Floor (April 8, 2016), 81 FR 22151 (April 14, 2016). transaction. for open outcry. 22 See supra note 11.

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stated above, these market participants competing in open outcry on the Paper Comments may choose to conduct their business on Trading Floor and will help promote • the Trading Floor, unlike Floor Brokers, competition by providing incentives for Send paper comments in triplicate who have a business model that is market participants to submit customer to Secretary, Securities and Exchange naturally tied to the physical trading order flow to the BOX Trading Floor Commission, 100 F Street NE., space. The Exchange offers Market and thus, create a greater opportunity Washington, DC 20549–1090. Makers a choice on how to conduct for customer executions. All submissions should refer to File business, only electronic or floor and Further, the Exchange does not Number SR–BOX–2017–28. This file electronic. The Exchange believes that it believe that offering a rebate to Floor number should be included on the is equitable and not unfairly Brokers will impose an undue burned subject line if email is used. To help the discriminatory to assess Floor Market [sic] on intra-market competition Commission process and review your Makers the higher monthly fee because because all Floor Brokers are eligible to comments more efficiently, please use they have the benefit of trading on both transaction [sic] QOO Orders and only one method. The Commission will if they so choose. receive a rebate. Further, the Exchange post all comments on the Commission’s Lastly, the Exchange believes the believes that the rebate will promote Internet Web site (http://www.sec.gov/ monthly Badge Fee of $100 is competition by allowing Floor Brokers rules/sro.shtml). Copies of the reasonable as it is in line with other to competitively price their services and submission, all subsequent similar fees at a competing exchange.23 for the Exchange to remain competitive amendments, all written statements Further, the Exchange believes that the with other exchanges that offer front- with respect to the proposed rule monthly Badge Fee is equitable and not end order entry on their trading floors. change that are filed with the unfairly discriminatory because the C. Self-Regulatory Organization’s Commission, and all written Badge Fee will be assessed uniformly to Statement on Comments on the communications relating to the each person authorized by the BOX Proposed Rule Change Received From proposed rule change between the Participant, regardless of Participant Members, Participants, or Others Commission and any person, other than type. No written comments were either those that may be withheld from the B. Self-Regulatory Organization’s solicited or received. public in accordance with the Statement on Burden on Competition provisions of 5 U.S.C. 552, will be III. Date of Effectiveness of the available for Web site viewing and The Exchange does not believe that Proposed Rule Change and Timing for printing in the Commission’s Public the proposed rule change will impose Commission Action Reference Room, 100 F Street NE., any burden on competition not The foregoing rule change has become Washington, DC 20549 on official necessary or appropriate in furtherance effective pursuant to Section business days between the hours of of the purposes of the Act. The 19(b)(3)(A)(ii) of the Exchange Act 24 10:00 a.m. and 3:00 p.m. Copies of such Exchange notes that it operates in a and Rule 19b–4(f)(2) thereunder,25 filing also will be available for highly competitive market in which because it establishes or changes a due, inspection and copying at the principal market participants can readily favor or fee. office of the Exchange. All comments competing venues if they deem fee At any time within 60 days of the received will be posted without change; levels at a particular venue to be filing of the proposed rule change, the the Commission does not edit personal excessive, or rebate opportunities Commission summarily may identifying information from available at other venues to be more temporarily suspend the rule change if submissions. You should submit only favorable. In such an environment, the it appears to the Commission that the information that you wish to make Exchange must continually adjust its action is necessary or appropriate in the available publicly. All submissions fees to remain competitive with other public interest, for the protection of should refer to File Number SR–BOX– exchanges. Because competitors are free investors, or would otherwise further 2017–28, and should be submitted on or to modify their own fees in response, the purposes of the Act. If the before September 27, 2017. the Exchange believes that the degree to Commission takes such action, the For the Commission, by the Division of which fee changes in this market may Commission shall institute proceedings Trading and Markets, pursuant to delegated impose any burden on competition is to determine whether the proposed rule authority.26 limited. For the reasons discussed should be approved or disapproved. Eduardo A. Aleman, above, the Exchange believes that the Assistant Secretary. proposed changes do not impose an IV. Solicitation of Comments undue burden on competition. Interested persons are invited to [FR Doc. 2017–18798 Filed 9–5–17; 8:45 am] The Exchange does not believe that submit written data, views, and BILLING CODE 8011–01–P assessing no fee on Broker Dealers arguments concerning the foregoing, facilitating Public Customer will burden including whether the proposed rule SECURITIES AND EXCHANGE competition by creating such a disparity change is consistent with the Act. COMMISSION between the fees that an initiating Comments may be submitted by any of Broker Dealer pays and the fees a the following methods: Sunshine Act Meeting competitive responder pays that would Electronic Comments result in certain Participants being Notice is hereby given, pursuant to • Use the Commission’s Internet unable to compete with initiators. In the provisions of the Government in the fact, the Exchange believes that the comment form (http://www.sec.gov/ rules/sro.shtml); or Sunshine Act, Public Law 94–409, that proposed fees will not impair these • the Commission will host the SEC–NYU Participants from adding liquidity and Send an email to rule-comments@ sec.gov. Please include File Number SR– Dialogue on Securities Markets— BOX–2017–28 on the subject line. Exchange-Traded Products (ETPs) on 23 See CBOE Fees Schedule and NYSE Arca Fee Friday, September 8, 2017 beginning at Schedule. CBOE charges a $120 (Floor Manager) or $60 (Clerks) badge fees for their Floor Participants. 24 15 U.S.C. 78s(b)(3)(A)(ii). NYSE Arca charges $50 per badge. 25 17 CFR 240.19b–4(f)(2). 26 17 CFR 200.30–3(a)(12).

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9:15 a.m., in the Auditorium, Room L– to amend the Fee Schedule to establish it provides for the equitable allocation 002. a booth space fee for the BOX open- of reasonable dues, fees, and other The event is scheduled to include outcry Trading Floor. The text of the charges among BOX Participants and welcome remarks by SEC Commissioner proposed rule change is available from other persons using its facilities and Michael Piwowar, concluding remarks the principal office of the Exchange, at does not unfairly discriminate between by SEC Commissioner Kara Stein and the Commission’s Public Reference customers, issuers, brokers or dealers. panel discussions that Commissioners Room and also on the Exchange’s The Exchange believes that the may attend. The panel discussions will Internet Web site at http:// proposed booth space fee is reasonable explore market impacts from the growth boxexchange.com. as it is in line with a similar fee charged in ETPs, potential implications for at another exchange with a physical investors who hold ETPs, and where the II. Self-Regulatory Organization’s trading floor.6 Further, the Exchange ETP market is headed. This Sunshine Statement of the Purpose of, and believes that the proposed booth space Act notice is being issued because a Statutory Basis for, the Proposed Rule fee is equitable and not unfairly majority of the Commission may attend Change discriminatory because it applies to the meeting. In its filing with the Commission, the Trading Floor Participants uniformly. For further information, please Exchange included statements Further, the booth space fee provides for contact Brent J. Fields from the Office of concerning the purpose of and basis for equitable allocation of reasonable fees the Secretary at (202) 551–5400. the proposed rule change and discussed among Floor Participants by requiring Dated: August 31, 2017. any comments it received on the Participants that need more space to pay Brent J. Fields, proposed rule change. The text of these more, instead of raising the fees for all statements may be examined at the Secretary. Participants, including those that may places specified in Item IV below. The not need additional space. Lastly, the [FR Doc. 2017–18933 Filed 9–1–17; 11:15 am] Exchange has prepared summaries, set Exchange believes that the proposed BILLING CODE 8011–01–P forth in Sections A, B, and C below, of change will further the goal in providing the most significant aspects of such more space to Floor Participants that statements. SECURITIES AND EXCHANGE may need it without charging all COMMISSION A. Self-Regulatory Organization’s Participants. Statement of the Purpose of, and [Release No. 34–81506; File No. SR–BOX– B. Self-Regulatory Organization’s 2017–29] Statutory Basis for, the Proposed Rule Statement on Burden on Competition Change The Exchange does not believe that Self-Regulatory Organizations; BOX 1. Purpose the proposed rule change will impose Options Exchange LLC; Notice of The Exchange proposes to amend the any burden on competition not Filing and Immediate Effectiveness of necessary or appropriate in furtherance a Proposed Rule Change To Amend Fee Schedule for trading on BOX to establish a booth space fee for the BOX of the purposes of the Act. The the Fee Schedule To Establish a Booth Exchange does not believe that the Space Fee for the BOX Trading Floor open-outcry Trading Floor (‘‘Trading Floor’’). Specifically, the Exchange proposed rule changes will impose any August 30, 2017. proposes to establish a Trading Floor burden on intramarket competition Pursuant to Section 19(b)(1) of the Booth Space Fee of $1,500 per month. because the proposed change applies to Securities Exchange Act of 1934 (the The Exchange also proposes to specify both Floor Market Makers and Floor ‘‘Act’’),1 and Rule 19b–4 thereunder,2 that current Trading Floor Permit fees Brokers. Further, the Exchange does not notice is hereby given that on August for both Floor Market Makers and Floor believe that the proposed rule change 22, 2017, BOX Options Exchange LLC Brokers entitle the Participant to one will impose any burden on intermarket (the ‘‘Exchange’’) filed with the booth space along with the three competition that is not necessary or Securities and Exchange Commission registered permits. The Exchange appropriate in furtherance of the (‘‘Commission’’) the proposed rule expects the booth space to be used by purposes of the Act because the change change as described in Items I, II, and Floor Participants to perform various applies to fees that affect BOX only, and III below, which Items have been functions in support of floor based not other exchanges. prepared by the Exchange. The trading activities on the Exchange. As C. Self-Regulatory Organization’s Exchange filed the proposed rule change such, Floor Participants who need more Statement on Comments on the pursuant to Section 19(b)(3)(A)(ii) of the booth space will be required to pay an Proposed Rule Change Received From Act,3 and Rule 19b–4(f)(2) thereunder,4 additional Trading Floor Booth Space Members, Participants, or Others which renders the proposal effective Fee of $1,500 per month. The Trading No written comments were either upon filing with the Commission. The Floor Booth Space will be used for a solicited or received. Commission is publishing this notice to Floor Participant’s workstation on the BOX Trading Floor. The Exchange notes solicit comments on the proposed rule 6 that all booth spaces will be uniform, See Chicago Board Options Exchange, change from interested persons. Incorporated (‘‘CBOE’’) Fee Schedule. CBOE identical in size and will contain an charges a $1,250 per month fee for a Non-Standard I. Self-Regulatory Organization’s equal number of electrical outlets and Booth Rental plus $1.70 per square foot, determined Statement of the Terms of the Substance data ports. based on the size of the booth. At CBOE, the term of the Proposed Rule Change ‘‘non-standard booth’’ generally refers to space on 2. Statutory Basis the trading floor on the Exchange that is set off from The Exchange is filing with the a trading crowd, which may be rented for whatever Securities and Exchange Commission The Exchange believes that the support, office, back-office, or any other business- (‘‘Commission’’) a proposed rule change proposal is consistent with the related activities for which CBOE members may requirements of Section 6(b) of the Act, choose to use. The Exchange notes that the ‘‘non- standard booth’’ at CBOE is similar to the proposed 1 15 U.S.C. 78s(b)(1). in general, and Section 6(b)(4) and 5 Trading Floor Booth discussed herein, as the booth 2 17 CFR 240.19b–4. 6(b)(5)of the Act, in particular, in that space is a general space on the trading floor. See 3 15 U.S.C. 78s(b)(3)(A)(ii). Securities Exchange Release No. 78741 (August 31, 4 17 CFR 240.19b–4(f)(2). 5 15 U.S.C. 78f(b)(4) and (5). 2017), 81 FR 61727 (SR–CBOE–2016–063).

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III. Date of Effectiveness of the printing in the Commission’s Public investment companies and unit Proposed Rule Change and Timing for Reference Room, 100 F Street NE., investment trusts outside of the same Commission Action Washington, DC 20549 on official group of investment companies as the The foregoing rule change has become business days between the hours of Funds (‘‘Funds of Funds’’) to acquire effective pursuant to Section 10:00 a.m. and 3:00 p.m. Copies of such shares of the Funds. 19(b)(3)(A)(ii) of the Exchange Act 7 and filing also will be available for APPLICANTS: SL Advisors, LLC (the Rule 19b–4(f)(2) thereunder,8 because it inspection and copying at the principal ‘‘Initial Adviser’’), a New Jersey limited establishes or changes a due, or fee. office of the Exchange. All comments liability company that is registered as an At any time within 60 days of the received will be posted without change; investment adviser under the filing of the proposed rule change, the the Commission does not edit personal Investment Advisers Act of 1940, ETF Commission summarily may identifying information from Series Solutions (the ‘‘Trust’’), a temporarily suspend the rule change if submissions. You should submit only Delaware statutory trust registered it appears to the Commission that the information that you wish to make under the Act as an open-end action is necessary or appropriate in the available publicly. All submissions management investment company with public interest, for the protection of should refer to File Number SR–BOX– multiple series, and Quasar Distributors, investors, or would otherwise further 2017–29, and should be submitted on or LLC (the ‘‘Distributor’’), a Delaware the purposes of the Act. If the before September 27, 2017. limited liability company and broker- Commission takes such action, the For the Commission, by the Division of dealer registered under the Securities Commission shall institute proceedings Trading and Markets, pursuant to delegated Exchange Act of 1934 (‘‘Exchange Act’’). to determine whether the proposed rule authority.9 FILING DATES: The application was filed should be approved or disapproved. Eduardo A. Aleman, on July 20, 2017. Assistant Secretary. IV. Solicitation of Comments HEARING OR NOTIFICATION OF HEARING: [FR Doc. 2017–18800 Filed 9–5–17; 8:45 am] An order granting the requested relief Interested persons are invited to BILLING CODE 8011–01–P will be issued unless the Commission submit written data, views, and orders a hearing. Interested persons may arguments concerning the foregoing, request a hearing by writing to the including whether the proposed rule SECURITIES AND EXCHANGE Commission’s Secretary and serving change is consistent with the Act. COMMISSION applicants with a copy of the request, Comments may be submitted by any of personally or by mail. Hearing requests the following methods: [Investment Company Act Release No. 32801; 812–14802] should be received by the Commission Electronic Comments by 5:30 p.m. on September 25, 2017, SL Advisors, LLC, et al. and should be accompanied by proof of • Use the Commission’s Internet service on applicants, in the form of an comment form (http://www.sec.gov/ August 30, 2017. affidavit, or for lawyers, a certificate of rules/sro.shtml); or AGENCY: Securities and Exchange • Send an email to rule-comments@ service. Pursuant to rule 0–5 under the Commission (‘‘Commission’’). Act, hearing requests should state the sec.gov. Please include File Number SR– ACTION: Notice. BOX–2017–29 on the subject line. nature of the writer’s interest, any facts Notice of an application for an order bearing upon the desirability of a Paper Comments under section 6(c) of the Investment hearing on the matter, the reason for the • Send paper comments in triplicate Company Act of 1940 (the ‘‘Act’’) for an request, and the issues contested. to Secretary, Securities and Exchange exemption from sections 2(a)(32), Persons who wish to be notified of a Commission, 100 F Street NE., 5(a)(1), 22(d), and 22(e) of the Act and hearing may request notification by Washington, DC 20549–1090. rule 22c–1 under the Act, under writing to the Commission’s Secretary. All submissions should refer to File sections 6(c) and 17(b) of the Act for an ADDRESSES: Brent J. Fields, Secretary, Number SR–BOX–2017–29. This file exemption from sections 17(a)(1) and Securities and Exchange Commission, number should be included on the 17(a)(2) of the Act, and under section 100 F Street NE., Washington, DC subject line if email is used. To help the 12(d)(1)(J) for an exemption from 20549–1090; Applicants: W. John Commission process and review your sections 12(d)(1)(A) and 12(d)(1)(B) of McGuire, Esq., Morgan, Lewis & Bockius comments more efficiently, please use the Act. The requested order would LLP, 1111 Pennsylvania Avenue NW., only one method. The Commission will permit (a) index-based series of certain Washington, DC 20004–2541 and post all comments on the Commission’s open-end management investment Michael D. Barolsky, Esq., U.S. Bancorp Internet Web site (http://www.sec.gov/ companies (‘‘Funds’’) to issue shares Fund Services, LLC, 615 E. Michigan rules/sro.shtml). Copies of the redeemable in large aggregations only Street, Milwaukee, WI 53202. submission, all subsequent (‘‘Creation Units’’); (b) secondary market FOR FURTHER INFORMATION CONTACT: amendments, all written statements transactions in Fund shares to occur at Deepak T. Pai, Senior Counsel, at (202) with respect to the proposed rule negotiated market prices rather than at 551–6876, or Robert H. Shapiro, Branch change that are filed with the net asset value (‘‘NAV’’); (c) certain Chief, at (202) 551–6821 (Division of Commission, and all written Funds to pay redemption proceeds, Investment Management, Chief communications relating to the under certain circumstances, more than Counsel’s Office). proposed rule change between the seven days after the tender of shares for SUPPLEMENTARY INFORMATION: The Commission and any person, other than redemption; (d) certain affiliated following is a summary of the those that may be withheld from the persons of a Fund to deposit securities application. The complete application public in accordance with the into, and receive securities from, the may be obtained via the Commission’s provisions of 5 U.S.C. 552, will be Fund in connection with the purchase Web site by searching for the file available for Web site viewing and and redemption of Creation Units; and number, or for an applicant using the (e) certain registered management Company name box, at http:// 7 15 U.S.C. 78s(b)(3)(A)(ii). www.sec.gov/search/search.htm or by 8 17 CFR 240.19b–4(f)(2). 9 17 CFR 200.30–3(a)(12). calling (202) 551–8090.

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Summary of the Application positions) except as specified in the are the concerns underlying the limits application. in sections 12(d)(1)(A) and (B) of the 1. Applicants request an order that 4. Because shares will not be Act. would allow Funds to operate as index individually redeemable, applicants 1 8. Applicants request an exemption exchange traded funds (‘‘ETFs’’). Fund request an exemption from section from sections 17(a)(1) and 17(a)(2) of the shares will be purchased and redeemed 5(a)(1) and section 2(a)(32) of the Act Act to permit persons that are Affiliated at their NAV in Creation Units only. All that would permit the Funds to register Persons, or Second-Tier Affiliates, of the orders to purchase Creation Units and as open-end management investment Funds, solely by virtue of certain all redemption requests will be placed companies and issue shares that are ownership interests, to effectuate by or through an ‘‘Authorized redeemable in Creation Units only. purchases and redemptions in-kind. The Participant’’, which will have signed a 5. Applicants also request an deposit procedures for in-kind participant agreement with the exemption from section 22(d) of the Act purchases of Creation Units and the Distributor. Shares will be listed and and rule 22c–1 under the Act as redemption procedures for in-kind traded individually on a national secondary market trading in shares will redemptions of Creation Units will be securities exchange, where share prices take place at negotiated prices, not at a the same for all purchases and will be based on the current bid/offer current offering price described in a redemptions and Deposit Instruments market. Any order granting the Fund’s prospectus, and not at a price and Redemption Instruments will be requested relief would be subject to the based on NAV. Applicants state that (a) valued in the same manner as those terms and conditions stated in the secondary market trading in shares does investment positions currently held by application. not involve a Fund as a party and will the Funds. Applicants also seek relief 2. Each Fund will hold investment not result in dilution of an investment from the prohibitions on affiliated positions selected to correspond in shares, and (b) to the extent different transactions in section 17(a) to permit a generally to the performance of an prices exist during a given trading day, Fund to sell its shares to and redeem its Underlying Index. In the case of Self- or from day to day, such variances occur shares from a Fund of Funds, and to Indexing Funds, an affiliated person, as as a result of third-party market forces, engage in the accompanying in-kind defined in section 2(a)(3) of the Act such as supply and demand. Therefore, transactions with the Fund of Funds.3 applicants assert that secondary market (‘‘Affiliated Person’’), or an affiliated The purchase of Creation Units by a transactions in shares will not lead to person of an Affiliated Person (‘‘Second- Fund of Funds directly from a Fund will discrimination or preferential treatment Tier Affiliate’’), of the Trust or a Fund, be accomplished in accordance with the among purchasers. Finally, applicants of the Adviser, of any sub-adviser to or policies of the Fund of Funds and will represent that share market prices will promoter of a Fund, or of the Distributor be based on the NAVs of the Funds. be disciplined by arbitrage will compile, create, sponsor or 9. Section 6(c) of the Act permits the maintain the Underlying Index.2 opportunities, which should prevent shares from trading at a material Commission to exempt any persons or 3. Shares will be purchased and discount or premium from NAV. transactions from any provision of the redeemed in Creation Units and 6. With respect to Funds that effect Act if such exemption is necessary or generally on an in-kind basis. Except creations and redemptions of Creation appropriate in the public interest and where the purchase or redemption will Units in kind and that are based on consistent with the protection of include cash under the limited certain Underlying Indexes that include investors and the purposes fairly circumstances specified in the foreign securities, applicants request intended by the policy and provisions of application, purchasers will be required relief from the requirement imposed by the Act. Section 12(d)(1)(J) of the Act to purchase Creation Units by section 22(e) in order to allow such provides that the Commission may depositing specified instruments Funds to pay redemption proceeds exempt any person, security, or (‘‘Deposit Instruments’’), and within fifteen calendar days following transaction, or any class or classes of shareholders redeeming their shares the tender of Creation Units for persons, securities, or transactions, from will receive specified instruments redemption. Applicants assert that the any provision of section 12(d)(1) if the (‘‘Redemption Instruments’’). The requested relief would not be exemption is consistent with the public Deposit Instruments and the inconsistent with the spirit and intent of interest and the protection of investors. Redemption Instruments will each section 22(e) to prevent unreasonable, Section 17(b) of the Act authorizes the correspond pro rata to the positions in undisclosed or unforeseen delays in the Commission to grant an order the Fund’s portfolio (including cash actual payment of redemption proceeds. permitting a transaction otherwise 7. Applicants request an exemption to prohibited by section 17(a) if it finds 1 Applicants request that the order apply to the permit Funds of Funds to acquire Fund that (a) the terms of the proposed new series of the Trust and any additional series of shares beyond the limits of section transaction are fair and reasonable and the Trust, and any other open-end management investment company or series thereof (each, 12(d)(1)(A) of the Act; and the Funds, do not involve overreaching on the part included in the term ‘‘Fund’’), each of which will and any principal underwriter for the of any person concerned; (b) the operate as an ETF and will track a specified index Funds, and/or any broker or dealer proposed transaction is consistent with comprised of domestic or foreign equity and/or registered under the Exchange Act, to the policies of each registered fixed income securities (each, an ‘‘Underlying Index’’). Any Fund will (a) be advised by the Initial sell shares to Funds of Funds beyond investment company involved; and (c) Adviser or an entity controlling, controlled by, or the limits of section 12(d)(1)(B) of the under common control with the Initial Adviser Act. The application’s terms and 3 The requested relief would apply to direct sales (each, an ‘‘Adviser’’) and (b) comply with the terms conditions are designed to, among other of shares in Creation Units by a Fund to a Fund of and conditions of the application. Funds and redemptions of those shares. Applicants, 2 Each Self-Indexing Fund will post on its Web things, help prevent any potential (i) moreover, are not seeking relief from section 17(a) site the identities and quantities of the investment undue influence over a Fund through for, and the requested relief will not apply to, positions that will form the basis for the Fund’s control or voting power, or in transactions where a Fund could be deemed an calculation of its NAV at the end of the day. connection with certain services, Affiliated Person, or a Second-Tier Affiliate, of a Applicants believe that requiring Self-Indexing Fund of Funds because an Adviser or an entity Funds to maintain full portfolio transparency will transactions, and underwritings, (ii) controlling, controlled by or under common control help address, together with other protections, excessive layering of fees, and (iii) with an Adviser provides investment advisory conflicts of interest with respect to such Funds. overly complex fund structures, which services to that Fund of Funds.

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the proposed transaction is consistent operative delay period contained in 15c6–1(a), as amended, and to conform with the general purposes of the Act. Exchange Act Rule 19b–4(f)(6)(iii).3 them to similar changes that other 6 For the Commission, by the Division of While these amendments are effective exchanges have made. Investment Management, under delegated upon filing, the Exchange has Specifically, the Exchange proposes to authority. designated the proposed amendments to amend Rule 431 (Ex-dividend, Ex- Eduardo A. Aleman, be operative on September 5, 2017. rights), which presently provides that Assistant Secretary. The text of the proposed rule change transactions in stocks (except for those is available on the Exchange’s Web site [FR Doc. 2017–18777 Filed 9–5–17; 8:45 am] made for cash) shall be ex-dividend or at http://nasdaqphlx.cchwallstreet.com/, ex-rights on the second business day BILLING CODE 8011–01–P at the principal office of the Exchange, preceding the record date fixed by the and at the Commission’s Public corporation or the date of the closing of SECURITIES AND EXCHANGE Reference Room. transfer books thereof. It also provides COMMISSION II. Self-Regulatory Organization’s that if the record date or closing of Statement of the Purpose of, and transfer books occurs on a day other [Release No. 34–81501; File No. SR–Phlx– than a business day, the transaction will 2017–71] Statutory Basis for, the Proposed Rule Change be ex-dividend or ex-rights on the third preceding business day. The Exchange Self-Regulatory Organizations; In its filing with the Commission, the NASDAQ PHLX LLC; Notice of Filing proposes to amend this Rule to provide Exchange included statements that: (1) The transactions shall be ex- and Immediate Effectiveness of concerning the purpose of and basis for Proposed Rule Change to Rules 431, dividend or ex-rights on the first the proposed rule change and discussed business day preceding the record date 432, and 835 To Conform Them to any comments it received on the Securities Exchange Act Rule 15c6– fixed by the corporation or the date of proposed rule change. The text of these the closing of transfer books thereof; and 1(a), Which Shortens the Settlement statements may be examined at the Cycle to Two Dates After the Trade (2) the transaction will be ex-dividend places specified in Item IV below. The or ex-rights on the second preceding Date, and To Interpret the Amended Exchange has prepared summaries, set Rules To Exclude September 5, 2017 business day if the record date or forth in sections A, B, and C below, of closing of transfer books occurs on a day as the First Ex-Dividend Date the most significant aspects of such Thereunder other than a business day. statements. Similarly, the Exchange proposes to August 30, 2017. A. Self-Regulatory Organization’s amend Rule 432 (Ex-warrants), which Pursuant to Section 19(b)(1) of the Statement of the Purpose of, and the presently provides that transactions in Securities Exchange Act of 1934 Statutory Basis for, the Proposed Rule securities which have subscription (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Change warrants attached (except those made notice is hereby given that on August for cash) shall be ex-warrants on the 1. Purpose 22, 2017, NASDAQ PHLX LLC (‘‘Phlx’’ second business day preceding the date or ‘‘Exchange’’) filed with the Securities Background of expiration of the warrants, except that and Exchange Commission (‘‘SEC’’ or On March 22, 2017, the SEC adopted when the date of expiration occurs on ‘‘Commission’’) the proposed rule amendments to SEA Rule 15c6–1(a) to a day other than a business day, the change as described in Items I and II, shorten the standard settlement cycle transactions will be ex-warrants on the below, which Items have been prepared for U.S. secondary market transactions third business day preceding the date of by the Exchange. The Commission is in equities, corporate and municipal expiration. The proposal will amend publishing this notice to solicit bonds, unit investment trusts and this Rule to provide that transactions in comments on the proposed rule change financial instruments composed of these securities which have subscription from interested persons. products, from T+3 to T+2.4 The warrants attached (except those made I. Self-Regulatory Organization’s industry-wide initiative is designed to for cash) shall be ex-warrants on the Statement of the Terms of Substance of reduce a number of risks, including first business day preceding the date of the Proposed Rule Change credit risk, market risk, and liquidity expiration of the warrants, except that when the date of expiration occurs on The Exchange proposes to amend risk and, as a result, reduce systemic 5 a day other than a business day, the PHLX Rules 431, 432, and 825 to risk for U.S. market participants. The transactions will be ex-warrants on the conform them to SEA Rule 15c6–1(a) to compliance date for the rule second business day preceding the date shorten the standard settlement cycle amendments is September 5, 2017. The Exchange [sic] proposing changes of expiration. for most broker-dealer transactions from Third, the Exchange proposes to three business days after the trade date to its Rules pertaining to securities settlement to conform them to SEA Rule amend Rule 825 (Ex-dividend (‘‘T+3’’) to two business days after the Procedure), which sets forth the ex- trade date (‘‘T+2’’) and the industry-led 3 dividend rules for transactions in initiative to shorten the settlement cycle 17 CFR 240.19b–4(f)(6)(iii). 4 See Securities Exchange Act Release No. 80295 securities subject to unlisted trading from T+3 to T+2. The proposal also (March 22, 2017), 82 FR 15564 (March 29, 2017) privileges. The Rule presently provides addresses the application of these Rules (Securities Transaction Settlement Cycle) (File No. that transactions in stocks (except those S7–22–16) (stating that, as amended, SEA Rule as they relate to establishing ex- made for cash) are ex-dividend on the dividend dates in connection with the 15c6–1(a) will prohibit broker-dealers from effecting or entering into a contract for the purchase second business day preceding the implementation of the T+2 settlement or sale of a security (other than an exempted record date and that, if the record date cycle on September 5, 2017. security, government security, municipal security, selected is not a business day, then the The Exchange requests that the commercial paper, bankers’ acceptances or stock will be quoted ex-dividend on the Commission waive the five-day pre- commercial bills) that provides for payment of filing requirement and the 30-day funds and delivery of securities later than the second business day after the date of the contract, 6 See, e.g., Securities Exchange Act Release No. unless otherwise expressly agreed to by the parties 34–80640 (May 16, 2017), 82 FR 22598 (May 10, 1 15 U.S.C. 78s(b)(1). at the time of the transaction). 2017) (Order Approving File No. SR–NASDAQ– 2 17 CFR 240.19b–4. 5 See id. 2017–13).

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third preceding business day. The 2. Statutory Basis The Exchange believes that the proposal proposal would amend this Rule by The Exchange believes that its would not impose any additional costs providing instead that that transactions proposal is consistent with Section 6(b) on the industry. in stocks (except those made for cash) of the Act,14 in general, and furthers the C. Self-Regulatory Organization’s are ex-dividend on the first business day objectives of Section 6(b)(5) of the Act,15 Statement on Comments on the preceding the record date and that, if in particular, in that it is designed to Proposed Rule Change Received From the record date selected is not a promote just and equitable principles of Members, Participants, or Others business day, then the stock will be trade, to remove impediments to and quoted ex-dividend on the second perfect the mechanism of a free and No written comments were either preceding business day. open market and a national market solicited or received. Lastly, the Exchange proposes to system, and, in general to protect III. Date of Effectiveness of the implement the foregoing Rules in a investors and the public interest. Proposed Rule Change and Timing for manner that avoids confusion and The Exchange believes that the Commission Action accords with the proposals of other proposed rule change supports the [sic] Because the proposed rule change exchanges and self-regulatory supports [sic] the industry-led initiative does not (i) significantly affect the organizations (‘‘SROs’’). Consistent with to shorten the settlement cycle to two protection of investors or the public the compliance date of the amendments business days. Moreover, the proposed interest; (ii) impose any significant to SEA Rule 15c6–1(a), the industry rule change is consistent with the SEC’s burden on competition; and (iii) become adopted Tuesday, September 5, 2017 as amendment to SEA Rule 15c6–1(a) to operative for 30 days from the date on the transition date to the T+2 settlement require standard settlement no later 7 which it was filed, or such shorter time cycle. In the lead-up to this transition than T+2. The Exchange believes that as the Commission may designate, the date, however, the industry and SROs, the proposed rule change will provide proposed rule change has become including The Depository Trust the regulatory certainty to facilitate the Company (‘‘DTC’’), have raised concern effective pursuant to Section 19(b)(3)(A) industry-led move to a T+2 settlement that the September 5, 2017 industry- of the Act 17 and Rule 19b–4(f)(6) cycle. 18 wide transition date from T+3 to T+2 Similarly, the Exchange believes that thereunder. A proposed rule change filed under will result in September 7, 2017 being the proposal to address the application Rule 19b–4(f)(6) 19 normally does not a ‘‘double’’ settlement date for trades of Rules 341 [sic], 342 [sic], and 825 to become operative for 30 days after the that occur on September 1, 2017 (under exclude September 5, 2017 as an ex- date of filing. However, pursuant to T+3 and reflecting the Labor Day dividend date for distributions supports Rule 19b–4(f)(6)(iii),20 the Commission holiday on September 4, 2017) and the collective effort among the industry trades that occur on September 5, 2017 may designate a shorter time if such and SROs to mitigate the potential (under T+2), which generally will result action is consistent with the protection confusion concerning proper settlement in investors who trade on either date of investors and the public interest. The during the transition from the T+3 being deemed a record holder of Exchange has asked the Commission to settlement cycle to the T+2 settlement September 7, 2017.8 In order to avoid waive the 30-day operative delay so that cycle. this confusion about the proper the proposal may become operative in settlement date, the Exchange proposes B. Self-Regulatory Organization’s time for the compliance date of to interpret its Rules so that the first Statement on Burden on Competition September 5, 2017 for the T+2 record date to which the new ex- The Exchange does not believe that settlement cycle. The Commission dividend date determination will be the proposed rule change will impose believes that waiving the 30-day applied will be Thursday, September 7, any burden on competition not operative delay is consistent with the 2017. The ex-dividend dates for necessary or appropriate in furtherance protection of investors and the public ‘‘regular’’ distributions during the of the purposes of the Act. The interest so that the proposed rule change transition to T+2 will be as follows: proposed rule change makes changes to and interpretation will be operative as the industry moves to a T+2 settlement Record date Ex-date rules pertaining to securities settlement and is intended to facilitate the cycle on September 5, 2017. The Friday, September 1, Wednesday, August 30, implementation of the industry-led Commission notes that the proposed 9 2017 . 2017. transition to a T+2 settlement cycle. rule change would amend Exchange Tuesday, September 5, Thursday, August 31, rules to conform to the amendment that 2017 10. 2017.11 Moreover, the proposed rule changes are Wednesday, September Friday, September 1, consistent with the SEC’s amendment to the Commission has adopted to Rule 21 6, 2017. 2017.12 SEA Rule 15c6–1(a) to require standard 15c6–1(a) under the Act and support Thursday, September 7, Wednesday, September a move to a T+2 standard settlement 2017 13. 6, 2017. settlement no later than T+2. Meanwhile, the proposal to interpret cycle. The Commission further notes the Rules to exclude an ex-dividend that the interpretation regarding the 7 See Nasdaq Equity Trader Alert 2017–174 (July date of September 5, 2017 will minimize 28, 2017). potential confusion about proper September 4, 2017) and trades that occur on 8 See, e.g., Nasdaq Issuer Alert 2017–001, Changes September 5, 2017 (under T+2). to Ex-dividend Procedures Effective September 5, settlement that may arise during the 17 15 U.S.C. 78s(b)(3)(A). 16 2017 to Accommodate T+2 Settlement, http:// transition to the T+2 settlement cycle. 18 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– nasdaq.cchwallstreet.com/nasdaq/pdf/nasdaq- 4(f)(6)(iii) requires the Exchange to give the issalerts/2017/2017-001.pdf; NYSE, NYSE MKT, 13 The date on which previous trades settling on Commission written notice of the Exchange’s intent NYSE ARCA: Changes Related to the Shortened a T+3 settlement cycle and current trades on the to file the proposed rule change, along with a brief Settlement Cycle (T+2) (July 11, 2017), https:// T+2 settlement cycle will be processed. description and text of the proposed rule change, www.nyse.com/trader-update/ 14 15 U.S.C. 78f(b). at least five business days prior to the date of filing history#110000069618. 15 15 U.S.C. 78f(b)(5). of the proposed rule change, or such shorter time 9 The last day of the T+3 settlement cycle. 16 As a result of the September 5, 2017 transition as designated by the Commission. The Commission 10 The first day of the T+2 settlement cycle. date for regular-way settlement from T+3 to T+2, has waived this requirement. 11 Monday, September 4, 2017 is Labor Day, a September 7, 2017 will be a ‘‘double’’ settlement 19 17 CFR 240.19b–4(f)(6). Federal holiday. date for trades that occur on September 1, 2017 20 17 CFR 240.19b–4(f)(6)(iii). 12 See id. (under T+3 and reflecting the Labor Day holiday on 21 See supra note 4.

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proper settlement date in connection with respect to the proposed rule certain affiliated persons thereof.’’ It with the transition to the T+2 settlement change that are filed with the provides an exemption from section cycle on September 5, 2017 would help Commission, and all written 17(a) of the Act for purchases and sales to avoid the confusion that could arise communications relating to the of securities between registered if ‘‘regular’’ distributions were to be ex- proposed rule change between the investment companies (‘‘funds’’), that dividend on that date and is consistent Commission and any person, other than are affiliated persons (‘‘first-tier with the rules of other self-regulatory those that may be withheld from the affiliates’’) or affiliated persons of organizations.22 Accordingly, the public in accordance with the affiliated persons (‘‘second-tier Commission hereby waives the 30-day provisions of 5 U.S.C. 552, will be affiliates’’), or between a fund and a operative delay requirement and available for Web site viewing and first- or second-tier affiliate other than designates the proposed rule change as printing in the Commission’s Public another fund, when the affiliation arises operative upon filing.23 Reference Room, 100 F Street NE., solely because of a common investment At any time within 60 days of the Washington, DC 20549, on official adviser, director, or officer. Rule 17a–7 filing of the proposed rule change, the business days between the hours of requires funds to keep various records Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the in connection with purchase or sale temporarily suspend such rule change if filing also will be available for transactions effected in reliance on the it appears to the Commission that such inspection and copying at the principal rule. The rule requires the fund’s board action is necessary or appropriate in the office of the Exchange. All comments of directors to establish procedures public interest, for the protection of received will be posted without change; reasonably designed to ensure that the investors, or otherwise in furtherance of the Commission does not edit personal rule’s conditions have been satisfied. the purposes of the Act. If the identifying information from The board is also required to determine, Commission takes such action, the submissions. You should submit only at least on a quarterly basis, that all Commission shall institute proceedings information that you wish to make affiliated transactions effected during to determine whether the proposed rule available publicly. All submissions the preceding quarter in reliance on the should be approved or disapproved. should refer to File Number SR–Phlx– rule were made in compliance with IV. Solicitation of Comments 2017–71, and should be submitted on or these established procedures. If a fund before September 27, 2017. enters into a purchase or sale Interested persons are invited to For the Commission, by the Division of transaction with an affiliated person, the submit written data, views, and Trading and Markets, pursuant to delegated rule requires the fund to compile and arguments concerning the foregoing, authority.24 maintain written records of the including whether the proposed rule Eduardo A. Aleman, transaction.1 The Commission’s change is consistent with the Act. Assistant Secretary. examination staff uses these records to Comments may be submitted by any of [FR Doc. 2017–18795 Filed 9–5–17; 8:45 am] evaluate for compliance with the rule. the following methods: While most funds do not commonly BILLING CODE 8011–01–P Electronic Comments engage in transactions covered by rule • 17a–7, the Commission staff estimates Use the Commission’s Internet that nearly all funds have adopted comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE COMMISSION procedures for complying with the rules/sro.shtml); or rule.2 Of the approximately 3,243 • Send an email to rule-comments@ Proposed Collection; Comment currently active funds, the staff sec.gov. Please include File Number SR– Request estimates that virtually all have already Phlx–2017–71 on the subject line. adopted procedures for compliance with Paper Comments Upon Written Request, Copies Available rule 17a–7. This is a one-time burden, From: Securities and Exchange • and the staff therefore does not estimate Send paper comments in triplicate Commission, Office of FOIA Services, to Secretary, Securities and Exchange an ongoing burden related to the 100 F Street NE., Washington, DC policies and procedures requirement of Commission, 100 F Street NE., 20549–2736. 3 Washington, DC 20549–1090. the rule for funds. The staff estimates Extension: that there are approximately 97 new All submissions should refer to File Rule 17a–7, SEC File No. 270–238, OMB funds that register each year, and that Number SR–Phlx–2017–71. This file Control No. 3235–0214. each of these funds adopts the relevant number should be included on the policies and procedures. The staff subject line if email is used. To help the Notice is hereby given that, pursuant estimates that it takes approximately 4 Commission process and review your to the Paperwork Reduction Act of 1995 hours to develop and adopt these comments more efficiently, please use (44 U.S.C. 3501–3520), the Securities policies and procedures. Therefore, the only one method. The Commission will and Exchange Commission (‘‘Commission’’) is soliciting comments post all comments on the Commission’s on the collections of information 1 The written records are required to set forth a Internet Web site (http://www.sec.gov/ summarized below. The Commission description of the security purchased or sold, the rules/sro.shtml). Copies of the identity of the person on the other side of the plans to submit the existing collection submission, all subsequent transaction, and the information or materials upon of information to the Office of amendments, all written statements which the board of directors’ determination that the Management and Budget for extension transaction was in compliance with the procedures and approval. was made. 22 2 See Securities Exchange Act Release Nos. Rule 17a–7 (17 CFR 270.17a–7) (the Unless stated otherwise, these estimates are 81448 (August 21, 2017), 82 FR 40610 (August 25, based on conversations with the examination and 2017) (SR–FINRA–2017–026) and 81446 (August ‘‘rule’’) under the Investment Company inspections staff of the Commission and fund 21, 2017), 82 FR 40604 (August 25, 2017) (SR– Act of 1940 (15 U.S.C. 80a–1 et seq.) representatives. NASDAQ–2017–084). (the ‘‘Act’’) is entitled ‘‘Exemption of 3 Based on our reviews and conversations with 23 For purposes only of waiving the 30-day certain purchase or sale transactions fund representatives, we understand that funds operative delay, the Commission has also rarely, if ever, need to make changes to these considered the proposed rule’s impact on between an investment company and policies and procedures once adopted, and efficiency, competition, and capital formation. See therefore we do not estimate a paperwork burden 15 U.S.C. 78c(f). 24 17 CFR 200.30–3(a)(12). for such updates.

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total annual burden related to a representative survey or study of the Securities and Exchange Commission developing and adopting these policies costs of Commission rules. The (‘‘Commission’’) the proposed rule and procedures would be approximately collection of information required by change as described in Items I and II 388 hours.4 rule 17a–7 is necessary to obtain the below, which Items have been prepared Of the 3,243 existing funds, the staff benefits of the rule. Responses will not by the Exchange. On August 25, 2017, assumes that approximately 25%, (or be kept confidential. An agency may not the Exchange filed Amendment No. 1 to 811) enter into transactions affected by conduct or sponsor, and a person is not the proposed rule change. The rule 17a–7 each year (either by the fund required to respond to, a collection of Commission is publishing this notice to directly or through one of the fund’s information unless it displays a solicit comments on the proposed rule series), and that the same percentage currently valid control number. change, as modified by Amendment No. (25%, or 24 funds) of the estimated 97 Written comments are invited on: (a) 1, from interested persons. funds that newly register each year will Whether the collections of information I. Self-Regulatory Organization’s also enter into these transactions, for a are necessary for the proper 5 Statement of the Terms of Substance of total of 835 companies that are affected performance of the functions of the the Proposed Rule Change by the recordkeeping requirements of Commission, including whether the rule 17a–7. These funds must keep information has practical utility; (b) the The Exchange filed a proposal to records of each of these transactions, accuracy of the Commission’s estimate amend and restate its certificate of and the board of directors must of the burdens of the collections of incorporation and bylaws, as well as quarterly determine that all relevant information; (c) ways to enhance the amend its Rules. transactions were made in compliance quality, utility, and clarity of the The text of the proposed rule change with the company’s policies and information collected; and (d) ways to is available at the Exchange’s Web site procedures. The rule generally imposes minimize the burdens of the collections at www.bats.com, at the principal office a minimal burden of collecting and of information on respondents, of the Exchange, and at the storing records already generated for including through the use of automated Commission’s Public Reference Room. 6 other purposes. The staff estimates that collection techniques or other forms of the burden related to making these II. Self-Regulatory Organization’s information technology. Consideration Statement of the Purpose of, and records and for the board to review all will be given to comments and transactions would be 3 hours annually Statutory Basis for, the Proposed Rule suggestions submitted in writing within Change for each respondent, (2 hours spent by 60 days of this publication. compliance attorneys and 1 hour spent Please direct your written comments In its filing with the Commission, the 7 by the board of directors) or 2,505 total to Pamela Dyson, Director/Chief Exchange included statements 8 hours each year. Information Officer, Securities and concerning the purpose of and basis for Based on these estimates, the staff Exchange Commission, C/O Remi the proposed rule change and discussed estimates the combined total annual Pavlik-Simon, 100 F Street NE., any comments it received on the burden hours associated with rule 17a– proposed rule change. The text of these 9 Washington, DC 20549; or send an email 7 is 2,893 hours. The staff also to: [email protected]. statements may be examined at the estimates that there are approximately places specified in Item IV below. The Dated: August 31, 2017. 835 respondents and 6,680 total Exchange has prepared summaries, set responses.10 Eduardo A. Aleman, forth in Sections A, B, and C below, of The estimates of burden hours are Assistant Secretary. the most significant parts of such made solely for the purposes of the [FR Doc. 2017–18857 Filed 9–5–17; 8:45 am] statements. Paperwork Reduction Act, and are not BILLING CODE 8011–01–P derived from a comprehensive or even A. Self-Regulatory Organization’s Statement of the Purpose of, and 4 This estimate is based on the following SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule calculations: (4 hours × 97 new funds = 388 hours). COMMISSION Change 5 This estimate is based on the following calculation: (811 + 24 = 835). [Release No. 34–81496; File No. SR– 1. Purpose 6 Commission staff believes that rule 17a–7 does BatsEDGA–2017–22] not impose any costs associated with record EDGA submits this rule filing to the preservation in addition to the costs that funds Self-Regulatory Organizations; Bats Securities and Exchange Commission already incur to comply with the record (the ‘‘Commission’’) in connection with preservation requirements of rule 31a–2 under the EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as a corporate transaction (the Act. Rule 31a–2 requires companies to preserve ‘‘Transaction’’) involving, among other certain records for specified periods of time. Modified by Amendment No. 1, To 7 The staff estimates that funds that rely on rule Harmonize the Corporate Governance things, the recent acquisition of EDGA 17a–7 annually enter into an average of 8 rule 17a– Framework With That of Chicago along with Bats BYX Exchange, Inc. 7 transactions each year. The staff estimates that the Board Options Exchange, Incorporated (‘‘Bats BYX’’), Bats BZX Exchange, Inc. compliance attorneys of the companies spend (‘‘Bats BZX’’) and Bats EDGX Exchange, approximately 15 minutes per transaction on this and C2 Options Exchange recordkeeping, and the board of directors spends a Incorporated Inc. (‘‘Bats EDGX’’ and, together with total of 1 hour annually in determining that all Bats BYX, Bats BZX, and Bats EDGA, transactions made that year were done in August 30, 2017. the ‘‘Bats Exchanges’’) by CBOE compliance with the company’s policies and Holdings, Inc. (‘‘CBOE Holdings’’). procedures. Pursuant to Section 19(b)(1) of the 8 This estimate is based on the following Securities Exchange Act of 1934 (the CBOE Holdings is also the parent of calculation: (3 hours × 835 companies = 2,505 ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Chicago Board Options Exchange, hours). notice is hereby given that on August Incorporated (‘‘CBOE’’) and C2 Options 9 This estimate is based on the following 23, 2017, Bats EDGA Exchange, Inc. Exchange, Incorporated (‘‘C2’’). This calculation: (388 hours + 2,505 hours = 2,893 total filing proposes to amend and restate the hours). (‘‘Exchange’’ or ‘‘EDGA’’) filed with the 10 This estimate is based on the following bylaws (and amend the rules, calculations: 835 funds that engage in rule 17a–7 1 15 U.S.C. 78s(b)(1). accordingly) and the certificate of transactions × 8 transactions per year = 6,680. 2 17 CFR 240.19b–4. incorporation of the Exchange based on

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the bylaws and certificates of • Amend Article Third to provide public interest. In discharging his or her incorporation of CBOE and C2. further details as to the nature of the responsibilities as a member of the Specifically, the Exchange proposes to business of the Exchange. Specifically, Board or as an officer or employee of the replace the certificate of incorporation the proposed Certificate will further Exchange, each such Director, officer or of Bats EDGA Exchange, Inc., (the specify that the nature of the Exchange employee shall comply with the federal ‘‘current Certificate’’) in its entirety with is (i) to conduct and carry on the securities laws and the rules and the Second Amended and Restated function of an ‘‘exchange’’ within the regulations thereunder and shall Certificate of Incorporation of Bats meaning of that term in the Act and (ii) cooperate with the Commission, and the EDGA Exchange, Inc. (the ‘‘proposed to provide a securities market place Exchange pursuant to its regulatory Certificate’’). Additionally, the with high standards of honor and authority. The Exchange notes that Exchange proposes to replace the Sixth integrity among its Exchange Members similar language is included in the Amended and Restated Bylaws of Bats and other persons holding rights to current Bylaws.4 EDGA Exchange, Inc. (the ‘‘current access the Exchange’s facilities and to • Article Sixth of the proposed Bylaws’’) in its entirety with the promote and maintain just and equitable Certificate governs the indemnification Seventh Amended and Restated Bylaws principles of trade and business. of Directors of the Board. The Exchange of Bats EDGA Exchange, Inc. (the • Article Fourth of the proposed notes that its indemnification provision ‘‘proposed Bylaws’’). The Exchange Certificate specifies that Direct Edge is currently contained in Article VIII of believes that it is important for each of LLC will be the sole owner of the the current Bylaws. In order to conform CBOE Holdings’ six U.S. securities Common Stock and that any sale, governance documents across all CBOE exchanges to have a consistent, uniform transfer or assignment by Direct Edge Holdings’ exchanges and conform approach to corporate governance. LLC of any shares of Common Stock indemnification practices, the Exchange Therefore, to simplify and unify the will be subject to prior approval by the is eliminating its indemnification in the governance and corporate practices of SEC pursuant to a rule filing. The bylaws and adopting the same these six exchanges, the Exchange Exchange notes that Article IV, Section indemnification language that is proposes to revise the current Certificate 7 of the current Bylaws similarly currently contained in Article Sixth of and current Bylaws to conform them to precludes the stockholder from the CBOE Certificate. the certificates of incorporation and transferring or assigning, in whole or in • Article Seventh of the proposed bylaws of the CBOE and C2 exchanges part, its ownership interest(s) in the Certificate is the same as Article (i.e., the Third Amended and Restated Exchange. Seventh of the CBOE Certificate and Certificate of Incorporation of Chicago • Article Fifth of the proposed provides that the Exchange reserves the Board Options Exchange, Incorporated Certificate is the same as Article Fifth of right to amend, change or repeal any and the Fourth Amended and Restated the CBOE Certificate. Specifically, provision of the certificate. It also Certificate of C2 Options Exchange, Article Fifth, subparagraph (a) provides provides that before any amendment or Incorporated (collectively referred to that the governing body of the Exchange repeal of any provision of the certificate herein as the ‘‘CBOE Certificate’’) and shall be its Board. Article Fifth, shall be effective, the changes must be the Eighth Amended and Restated subparagraph (b) provides that the submitted to the Board, and if such Bylaws of Chicago Board Options Board shall consist of not less than five amendment or repeal must be filed with Exchange, Incorporated and the Eighth (5) Directors and subparagraph (c) or filed with and approved by the Amended and Restated Bylaws of C2 includes language regarding the Commission, it won’t be effective until Options Exchange, Incorporated nomination of directors, which filed with or filed with and approved by (collectively referred to herein as the information is substantially similar as is the Commission. ‘‘CBOE Bylaws’’)). The proposed provided in the CBOE Bylaws and the • Article Eighth of the proposed Certificate and proposed Bylaws reflect proposed Bylaws.3 Article Fifth, Certificate is the same as Article Eighth the expectation that the Exchange will subparagraph (d) of the proposed of the CBOE Certificate. Proposed be operated with governance structures Certificate provides that in discharging Article Eighth provides that a Director similar to those of CBOE and C2. his or her responsibilities as a member of the Exchange shall not be liable to the Accordingly, the Exchange proposes to of the Board, each Director shall take Exchange or its stockholders for adopt corporate documents that set forth into consideration the effect that his or monetary damages for breach of a substantially similar corporate her actions would have on the ability of fiduciary duty as a Director, except to governance framework and related the Exchange to carry out the the extent such exemption from liability processes as those contained in the Exchange’s responsibilities under the or limitation is not permitted under CBOE Certificate and CBOE Bylaws. The Act and on the ability of the Exchange: Delaware Corporate law. Exchange believes the proposed changes To engage in conduct that fosters and • Article Ninth of the proposed to the current Certificate and current does not interfere with the Exchange’s Certificate is the same as Article Ninth Bylaws are consistent with the ability to prevent fraudulent and of the CBOE Certificate. Specifically it requirements of the Securities Exchange manipulative acts and practices; to provides that unless and except to the Act of 1934, as amended (the ‘‘Act’’). promote just and equitable principles of extent that the Exchange’s bylaws trade; to foster cooperation and (a) Changes to the Certificate require, election of Directors of the coordination with persons engaged in Exchange need not be by written ballot. In connection with the Transaction, regulating, clearing, settling, processing • Article Tenth of the proposed the Exchange proposes to amend and information with respect to, and Certificate is the same as Article Tenth restate the current Certificate to conform facilitating transactions in securities; to of the CBOE Certificate and provides to the certificates of incorporation of remove impediments to and perfect the that in furtherance and not in limitation CBOE and C2. The proposed Certificate mechanisms of a free and open market of the powers conferred by the laws of is set forth in Exhibit 5B. Specifically, and a national market system; and, in the State of Delaware, the Board is the Exchange proposes to make the general, to protect investors and the expressly authorized to make, alter and following substantive amendments to the current Certificate. 3 See Article III of the CBOE Bylaws and proposed 4 See Article III, Section 1(d) and Section 1(e) of • Adopt an introductory section. Bylaws. the current Bylaws.

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repeal the Exchange’s bylaws, which is ‘‘Member Nominating Committee’’) and General Nomination and Election already provided for in both the current also proposes to move certain defined Under the Exchange’s current director Bylaws and proposed Bylaws.5 terms located in the current Bylaws to • nomination and election process, the Article Eleventh of the proposed the EDGA Rules (i.e., ‘‘Industry Nominating Committee (which is not a Certificate is the same as Article member’’ and ‘‘Member Representative Board committee, but rather is 6 Eleventh of the CBOE Certificate and is member’’). Additionally, the Exchange composed of Exchange member similar to Article XI, Section 3 of the proposes to define certain terms in the representatives) 9 nominates Directors current Bylaws. Particularly, Article current Bylaws in places other than for each Director position standing for Eleventh provides that confidential Section 1.1, so as to match the CBOE election for that year. Additionally, for information pertaining to the self- Bylaws (e.g., the definition of ‘‘Industry Member Representative Director regulatory function of the Exchange Director’’ is being relocated to Article positions,10 the Nominating Committee (including but not limited to III, Section 3.1 of the proposed Bylaws must nominate the Directors that have disciplinary matters, trading data, and the definition of ‘‘Record Date’’ is been approved and submitted by the trading practices and audit information) being relocated to Article II, Section 2.7 Member Nominating Committee (which 7 contained in the books and records of of the proposed Bylaws). is also not a Board committee, but rather the Exchange shall: (i) Not be made Office and Agent is composed of Member Representative available to any persons other than to members).11 Additionally, pursuant to The Exchange notes that the those officers, directors, employees and Article III, Section 3(b) of the current information in Article II (Office and agents of the Exchange that have a Bylaws, the Exchange Directors are Agent) of the current Bylaws is not reasonable need to know the contents divided into three classes, designated as included in the proposed Bylaws. The thereof; (ii) be retained in confidence by Class I, Class II and Class III. Directors Exchange notes that the language the Exchange and the officers, directors, other than the Chief Executive Officer of contained in Section 2 and 3 of Article employees and agents of the Exchange; the Exchange (‘‘CEO’’) serve staggered and (iii) not be used for any commercial II is already located in the current Certificate and will continue to be three-year terms. The Exchange purposes. Additionally, Article Eleventh proposes to adopt a nomination and of the proposed Certificate further located in the proposed Certificate.8 The Exchange does not believe the election process identical to CBOE and provides that nothing in Article C2 as set forth in Article III of the Eleventh shall be interpreted as to limit information contained in Section 1 of Article II is necessary to include in the proposed Bylaws. As such, the tiered or impede the rights of the Commission class system will be eliminated, to access and examine such confidential proposed Bylaws and notes that the CBOE Bylaws do not contain Directors will serve one-year terms information pursuant to the federal ending on the annual meeting following securities laws and the rules and information relating to the principal business office. the meeting at which Directors were regulations thereunder, or to limit or elected or at such time as their impede the ability of any officers, Nomination and Election Process successors are elected or appointed and directors, employees or agents of the Article III of the proposed Bylaws, the newly established Nominating and Exchange to disclose such confidential titled ‘‘Board of Directors’’, mirrors the Governance Committee will be information to the Commission. language in Article III of the CBOE responsible for nominating each (b) Substantive Changes to the Bylaws Bylaws and contains key provisions Director.12 In connection with the Transaction, regarding the processes for nominating Nomination and Election of the Exchange also proposes to amend and electing Representative Directors. Representative Directors and restate the current Bylaws to 6 See Proposed EDGA Rules, Rule 8.6. The Currently, pursuant to Article III, conform to the Bylaws of CBOE and C2. Exchange notes that the definition of a Member Section 4(b) of the current Bylaws, for The proposed Bylaws is set forth in Representative member is being revised to eliminate Member Representative Directors, the Exhibit 5D. Specifically, the Exchange the reference to a Stockholder Exchange Member. Member Nominating Committee proposes to make the following Currently, a Stockholder Exchange Member means an Exchange Member that also maintains, directly consults with the Nominating substantive amendments to the current or indirectly, an ownership interest in the Committee, the Chairman of the Board Bylaws: Company. The exchange notes that the sole and the CEO, and also solicits stockholder of EDGA is Direct Edge LLC, which is Definitions a wholly owned subsidiary of CBOE Holdings and comments from Exchange Members for is not an Exchange member, and as such, the purposes of approving and submitting The Exchange first notes that Section concept of a Stockholder Exchange Member need the names of candidates for election as 1.1 of the proposed Bylaws, titled not be referenced. a Member Representative Director. The ‘‘Definitions,’’ contains key definitions 7 The Exchange notes a few differences between initial nominees for Member of terms used in the proposed Bylaws, the definitions of Industry Director and Record Date in the current Bylaws and the proposed Bylaws. Representative Directors must be and are based on the defined terms used Specifically, the definition of ‘‘Industry Director’’ in in Section 1.1 of the CBOE Bylaws. The Article I, subparagraph (o) of the current Bylaws 9 See Current Bylaws, Article III, Section 4 contains references to specific percentages in order Exchange notes that certain differences (‘‘Nomination and Election’’) and Article VI, to determine whether a Director qualifies as an in terminology in the proposed Bylaws Section 2 (‘‘Nominating Committee’’). Industry Director, whereas the definition of 10 and CBOE Bylaws will exist (e.g., use of ‘‘Industry Director’’ in Article III, Section 3.1, of the See Current Bylaws, Article I, (s), which the term ‘‘Exchange Member’’ instead of proposed Bylaws uses the term ‘‘material portion’’ defines a ‘‘Member Representative Director’’. A ‘‘Trading Permit Holder’’). The in making those same determinations. The Member Representative Director must be an officer, definition of ‘‘Record Date’’ in Article I, director, employee, or agent of an Exchange Exchange proposes to eliminate from subparagraph (z) of the current Bylaws means a date Member that is not a Stockholder Exchange the current Bylaws certain definitions at least thirty-five (35) days before the date of the Member. that would be obsolete under the annual meeting of stockholders, whereas Article II, 11 See Current Bylaws Article I, subparagraph (t) proposed Bylaws (e.g., references to Section 2.7 of the proposed Bylaws provides that (‘‘Member Representative member’’). See also, the Record Date shall be at least 10 days before the Article III, Section [sic] (‘‘Nomination and ‘‘Member Representative Directors’’ and date of the annual meeting of stockholders and not Election’’) and Article VI, Section 3 (‘‘Member more than 60 days before the annual meeting. Nominating Committee’’) of the current Bylaws. 5 See Article IX, Section 1 of the current Bylaws 8 See Article Second of the current and proposed 12 See Article III, Section 3.1 and Article IV, and Article IX, Section 9.1 of the proposed Bylaws. Certificates. Section 4.3 of the proposed Bylaws.

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reported to the Nominating Committee ‘‘Representative Directors’’).14 The Members at that time. Petitions must be and Secretary no later than sixty (60) Exchange notes that unlike the current filed with the Secretary no later than days prior to the annual or special Bylaws, the proposed Bylaws will not 5:00 p.m. (Chicago time) on the 10th stockholders’ meeting, at which point require Representative Directors to be an business day following the issuance of the Secretary will promptly notify officer, director, employee, or agent of the circular to the Exchange Members Exchange Members. Exchange Members an Exchange Member that is not a identifying the Representative Director may then identify other candidates by Stockholder Exchange Member, as nominees (the ‘‘Petition Deadline’’). The delivering to the Secretary, at least neither CBOE nor C2 maintain such a names of all Representative Director thirty-five (35) days before the annual or requirement. The new process will nominees recommended by the special stockholders’ meeting, a written provide that the ‘‘Representative Nominating Body and those selected petition, identifying the alternative Director Nominating Body’’ shall be pursuant to a valid and timely petition candidate and signed by Executive responsible for nominating shall, immediately following their Representatives 13 of 10% or more of Representative Directors. The selection, be given to the Secretary who Exchange Members. No Exchange Representative Director Nominating shall promptly issue a circular to all of Member, together with its affiliates, may Body (‘‘Nominating Body’’) is either (i) the Exchange Members identifying all account for more than fifty percent the Industry-Director Subcommittee of such Representative Director (50%) of the signatures endorsing a the Nominating and Governance candidates. particular candidate. If no valid Committee if there are at least two (2) If one or more valid petitions are petitions from Exchange Members are Industry Directors on the Nominating received, the Secretary shall issue a received by the Record Date, the initial and Governance Committee, or (ii) if the circular to all of the Exchange Members identifying those individuals nominated nominees approved and submitted by Nominating and Governance Committee for Representative Director by the the Member Nominating Committee has less than two (2) Industry Directors, Nominating Body and those individuals shall be nominated as Member then the Nominating Body shall mean nominated for Representative Director Representative Directors by the the Exchange Member Subcommittee of through the petition process, as well as Nominating Committee. If one or more the Advisory Board.15 The Nominating of the time and date of a run-off election valid petitions are received by the and Governance Committee shall be to determine which individuals will be Record Date, the Secretary shall include bound to accept and nominate the nominated as Representative Director(s) such additional nominees, along with Representative Director nominees by the Nominating and Governance the initial nominees nominated by the recommended by the Nominating Body or, in the event of a petition candidate, Committee (the ‘‘Run-off Election’’). The Member Nominating Committee, on a Run-off Election will be held not more list of nominees (the ‘‘List of the Representative Director nominees who receive the most votes pursuant to than forty-five (45) days after the Candidates’’) that is sent to all Exchange Petition Deadline. In any Run-off Members, accompanied by a notice a Run-off Election. Any person nominated by the Nominating Body and Election, each Exchange Member shall regarding the time and date of an have one (1) vote for each election to be held at least twenty (20) any petition candidate must satisfy the compositional requirements determined Representative Director position to be days prior to the annual or special filled that year; provided, however, that stockholders’ meeting. Each Exchange by the Board, pursuant to a resolution adopted by the Board, designating the no Exchange Member, either alone or Member has the right to cast one (1) vote together with its affiliates, may account number of Representative Directors that for each available Member for more than twenty percent (20%) of are Non-Industry Directors and Industry Representative Director nomination (the the votes cast for a candidate.16 The Directors (if any). Not earlier than vote must be cast for a person on the Secretary shall issue a circular to all of December 1 and not later than January List of Candidates and no Exchange the Exchange Members setting forth the 15th (or the first business day thereafter Member, together with its affiliates, may results of the Run-off Election. The if January 15th is not a business day), account for more than twenty percent number of individual Representative the Nominating Body shall issue a (20%) of the votes cast for a candidate). Director nominees equal to the number circular to Exchange Members The persons on the List of Candidates of Representative Director positions to identifying the Representative Director who receive the most votes shall be be filled that year receiving the largest nominees. As is the case under the selected as the nominees for the number of votes in the Run-off Election Member Representative Director current Bylaws, Exchange Members may will be the persons approved by the positions. nominate alternative candidates for Exchange Members to be nominated as election to the Representative Director For purposes of harmonizing the the Representative Director(s) by the positions to be elected in a given year governance structure and process across Nominating and Governance Committee by submitting a petition signed by all of CBOE Holdings’ U.S. securities for that year. The Exchange believes individuals representing not less than exchanges, the Exchange proposes to that, under the proposed Board ten percent (10%) of the Exchange eliminate the Nominating Committee 16 Article III, Section 3.2 of the CBOE Bylaws and Member Nominating Committee 14 Article III, Section 3.1. of the proposed Bylaws and adopt a nomination and election provides that in any Run-off Election, a holder of requires that at all times, at least 20% of Directors a Trading Permit shall have one vote with respect process substantially similar to CBOE serving on the Board shall be Representative to each Trading Permit held by such Trading Permit and C2 for Member Representative Directors, which is the same percentage required Holder for each Representative Director position to Directors (to be renamed under the current Bylaws (see Article III, Section be filled. The Exchange notes that because no 2(b)(ii) of the current Bylaws). Article III, Section ‘‘Trading Permits’’ or similar concept exist on the 3.2 of the proposed Bylaws further clarifies that if Exchange, it is deviating from this practice and 13 The term ‘‘Executive Representative’’ as 20% of the Directors then serving on the Board is providing instead that each Exchange Member shall defined in the current Bylaws, Article I, means the not a whole number, the number of required have one (1) vote for each Representative Director person identified to the Company by an Exchange Representative Directors shall be rounded up to the position to be filled, which the Exchange does not Member as the individual authorized to represent, next whole number. believe is a significant change. The Exchange also vote, and act on behalf of the Exchange Member. 15 The Exchange notes that if there are less than notes that other Exchanges have similar practices. An Executive Representative of an Exchange two (2) Industry Directors on the Nominating and See e.g., Amended and Restated By-Laws of Miami Member or a substitute shall be a member of senior Governance Committee, it would institute an International Securities Exchange, LLC, Article II, management of the Exchange Member. Advisory Board, if not already established. Section 2.4(f).

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structure, the Representative Directors the classification for which the Director consist at all times of one (1) Director serve the same function as the Member was elected and (b) the Director’s who is the CEO and a sufficient number Representative Directors in that both continued service would violate the of Industry, Non-Industry and Member directorships give Exchange members a compositional requirements of the Representative Directors to ensure that voice in the Exchange’s use of self- Board. Article III, Section 7 of the the number of Non-Industry Directors, regulatory authority. current Bylaws also provides that any including at least on Independent Director may resign at any time upon Vacancies Director, shall equal or exceed the sum notice of resignation to the Chairman of of Industry and Member Representative Article III, Section 6 of the current the Board, the President or Secretary. Directors. Additionally, the number of Bylaws provides that during a vacancy Resignation shall take effect at the time Member Representative Directors must of any Director other than a Member specified, or if no time is specified, be at least twenty (20) percent of the Representative Director, the Nominating upon receipt of the notice. Board. The Exchange proposes to Committee shall nominate an individual Under Article III, Section 3.4 of the replace the Board composition and Director and the stockholders of EDGA proposed Bylaws, which is the same as structure with that of CBOE and C2. As shall elect the new Director.17 In the Article III, Section 3.4, of the CBOE is the case with CBOE and C2, pursuant event of a vacancy of a Member Bylaws, a Director who fails to maintain to Article III, Section 3.1, of the Representative Director, the Member the applicable Industry or Non-Industry proposed Bylaws, the Board must Nominating Committee shall either (i) qualifications required under the consist of at least five (5) directors recommend an individual to the proposed Bylaws, of which the Board (which is the minimum number of stockholders to be elected to fill such shall be the sole judge, will cease being Directors required for the Nominating vacancy or (ii) provide a list of a Director. The Exchange notes that and Governance Committee), instead of recommended individuals to the while the current Bylaws do not address 4 as required by the current Bylaws. stockholders from which the the requalification of a Director, Section Additionally, the following would apply stockholders shall elect the individual 3.4 of the proposed Bylaws permits a to the new Board structure: to fill such vacancy. The current Bylaws Director that fails to maintain the • The number of Non-Industry provide that Directors elected to fill a applicable qualifications to requalify Directors, Industry Directors and the vacancy are to hold office until the within the later of forty-five (45) days number of Representative Directors that expiration of the remaining term. from the date when the Board are Non-Industry Directors and Industry The Exchange proposes to adopt the determines the Director is unqualified Directors (if any) will be determined by same process to fill vacancies as CBOE or until the next regular Board meeting the Board pursuant to resolution and C2. Specifically, Article III, Section following the date when the Board adopted by the Board.18 3.5 of the proposed Bylaws, which is makes such determination. The Director • The proposed Bylaws provide that substantially similar to Article III, shall be deemed not to hold office (i.e., the number of Non-Industry Directors Section 3.5 of the CBOE Bylaws, will the Director’s seat is considered vacant) cannot be less than the number of provide that a vacancy on the Board following the date when the Board Industry Directors, whereas the current may be filled by a vote of majority of the determines the Director is unqualified. Bylaws, as noted above, provide that the Directors then in office, or by the sole Further, the Board shall be the sole number of Non-Industry Directors, remaining Director, so long as the judge of whether the Director has including at least on Independent elected Director qualifies for the requalified. If a Director is determined Director, shall equal or exceed the sum position. Additionally, for vacancies of to have requalified, the Board, in its sole of Industry and Member Representative Representative Directors, the discretion, may fill an existing vacancy Directors.19 Unlike the current Bylaws, Nominating Body will recommend an in the Board or may increase the size of the proposed Bylaws provide that the individual to be elected, or provide a the Board, as necessary, to appoint such CEO is excluded from the calculation of list of recommended individuals, and Director to the Board; provided, Industry Directors, as is the practice the position shall be filled by the vote however, that the Board shall be under under CBOE Bylaws.20 Additionally, the of a majority of the Directors then in no obligation to return such Director to Exchange notes that the CBOE Bylaws the Board. Similar to the current office. Under the proposed Bylaws, do not contain the term or concept of Bylaws, Section 3.4 of the proposed Directors elected to fill a vacancy will ‘‘Independent Directors’’ and in order to Bylaws provides that Representative serve until the next annual meeting of conform the proposed Bylaws to the Directors may only be removed for stockholders. CBOE Bylaws, the proposed Bylaws also cause. In addition to specifying that do not reference ‘‘Independent Removals and Resignation cause includes being subject to a Directors’’ with respect to composition. Statutory Disqualification, the proposed Article III, Section 7 of the current • The Board or the Nominating and Bylaws further lists additional examples Bylaws provides that any Director may Governance Committee will make all of cause in Section 3.4 (e.g., breach of be removed with or without cause by a materiality determinations regarding a Representative Director’s duty of majority vote of stockholders and may who qualifies as an Industry Director loyalty to the Exchange or its be removed by the Board, provided and Non-Industry Director.21 stockholders and transactions from however, that any Member • Unlike the current Bylaws which which a Representative Director derived Representative Director may only be provide that the CEO shall be the an improper personal benefit). Lastly, removed for cause, which includes such Chairman of the Board,22 the proposed the Exchange notes that under the Director being subject to a Statutory Bylaws, provide that the Chairman will proposed Bylaws, resignation must be Disqualification. Additionally, a be appointed by the Board and further Director shall be immediately removed written and must be given to either the upon a determination by the Board, by Chairman of the Board or the Secretary. 18 See Proposed Bylaws and CBOE Bylaws, a majority vote of remaining Directors Board Composition Article III, Section 3.1. that (a) the Director no longer satisfies 19 See Current Bylaws, Article III, Section 2. Pursuant to Article III, Section 2 of 20 Id. 17 The sole stockholder of EDGA is Direct Edge the current Bylaws, the Board must 21 Id. LLC, a wholly owned subsidiary of CBOE Holdings. consist of four (4) or more Directors, and 22 See Current Bylaws, Article III, Section 5.

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provides that the Board may designate Special Meetings of the Stockholders Article II, Sections 2.5 and 2.6 of the an Acting Chairman in the event the Article IV, Section 2 of the current CBOE Bylaws and similar to Article IV, Chairman is absent or fails to act.23 Section 4 of the current Bylaws. The • Bylaws provides that special meetings Unlike the current Bylaws which of the stockholders may be called by the Exchange notes that unlike the current provide that a Lead Director must be Chairman, the Board or the President, Bylaws, Article II, Section 2.5 of the designated by the Board among the proposed Bylaws and CBOE Bylaws do 24 and shall be called by the Secretary at Board’s Independent Directors, the the request in writing of stockholders not require notice of an adjourned proposed Bylaws provide that the Board owning not less than a majority of the meeting to be given to each stockholder may, but does not have to, appoint a then issued and outstanding capital of record entitled to vote at the meeting Lead Director, who if appointed, must stock of the Exchange entitled to vote. if an adjournment is for more than thirty be a Non-Industry Director, which is the (30) days, or if after the adjournment a 25 In order to streamline the rules under same practice under CBOE’s Bylaws. which special meetings can be called, new record date is fixed for the • The number of Representative the Exchange proposes to adopt the adjourned meeting. The Exchange does Directors must be at least twenty (20) same special meeting provision as not believe this requirement is percent of the Board,26 which is the Article II, Section 2.3 of the CBOE necessary given that EDGA’s sole same requirement under the current Bylaws. Particularly, under Article II, stockholder is Direct Edge LLC, a Bylaws as noted above. Section 2.3 of the proposed Bylaws, wholly owned subsidiary of CBOE Meetings special meetings of stockholders may Holdings. Additionally, in order to conform Article II, Section 2.6 of the Annual Meeting of the Stockholders only be called by the Chairman or by a majority of the Board. The CBOE Bylaws proposed Bylaws to the CBOE Bylaws, Article IV, Section 1 of the current do not include the ability of the Exchange also proposes to explicitly Bylaws provides that the annual stockholders to request a special provide that a plurality of votes meeting of the stockholders shall be meeting. The Exchange does not believe properly cast shall elect the directors, held at such place and time as this provision is necessary given that notwithstanding the language in Article determined by the Board. The Exchange EDGA’s sole stockholder is Direct Edge II, 2.6 that provides that when a quorum notes that Article II, Section 2.2 of the LLC, a wholly owned subsidiary of is present, a majority of the votes proposed Bylaws is being amended to CBOE Holdings. properly cast will decide any question conform to Article II, Section 2.2 of the brought before a meeting unless a CBOE Bylaws, which provides as a Quorum and Vote Required for Action different vote is required by express default that if required by applicable at a Stockholder Meeting provision of statute or the Certificate of law, an annual meeting of stockholders Article IV, Section 4 of the current Incorporation. shall be held on the third Tuesday in Bylaws provides, among other things, Regular Meetings of the Board May of each year or such other date as that the holders of a majority of the may be fixed by the Board, at such time capital stock issued and outstanding Article III, Sections 8 and 9 of the as may be designated by the Secretary and entitled to vote, present in person current Bylaws provide that, with or prior to the giving of notice of the or represented by proxy, shall constitute without notice, a resolution adopted by meeting. Section 2.2 of the proposed a quorum at all meetings of the the Board determines the time and place Bylaws also provides that in no event stockholders. The provision also of the regular meeting and that if no shall the annual meeting be held prior provides that if there is no quorum at designation as to place is made, then the to the completion of the process for the any meeting of the stockholders, the meeting will be held at the principal nomination of Representative Directors. stockholders, present in person or business office of the Exchange. Article The proposed Bylaws also provide in represented by proxy, shall have power III, Section 3.10 of the proposed Bylaws, Article II, Section 2.1 that in addition to to adjourn the meeting until a quorum which is the same as Article III, Section the Board, the Chairman (or CEO if there is present or represented. Additionally, 3.10 of the CBOE Bylaws, provides that is no Chairman) may designate the if an adjournment of a meeting of the regular meetings shall be held at such location of the annual meeting. The stockholders is for more than thirty (30) time and place as is determined by the Exchange notes that it is not including days, or if after the adjournment a new Chairman with notice provided to the the information contained in Article IV, record date is fixed for the adjourned full Board. Section 3 of the current Bylaws. meeting, a notice of the adjourned Special Meetings of the Board Specifically, Section 3 provides that the meeting shall be given to each Secretary of the Exchange (or designee), stockholder of record entitled to vote at Article III, Section 10 of the current shall prepare at least ten (10) days the meeting. Additionally, Article IV, Bylaws provides that special meetings before every meeting of stockholders, a Section 4 provides that when a quorum of the Board may be called on a complete list of stockholder entitled to is present at any meeting, the vote of the minimum of two (2) days’ notice to each vote at the meeting. The Exchange does holders of a majority of the capital stock Director by the Chairman or the not believe this provision is necessary having voting power present in person President and shall be called by the given that EDGA’s sole stockholder is or represented by proxy shall decide Secretary upon written request of three Direct Edge LLC, a wholly owned any question brought before such (3) Directors. Article III, Section 3.11 of subsidiary of CBOE Holdings (and also meeting, unless the question is one the proposed Bylaws, which is the same notes that neither CBOE nor C2 follow upon which by express provision of as Article III, Section 3.11 of the CBOE this practice). statute or of the Certificate of Bylaws, however, provides that special Incorporation, a different vote is meetings of the Board may be called by 23 See Proposed Bylaws and CBOE Bylaws, required, in which case such express the Chairman and shall be called by the Article III, Sections 3.6 and 3.8. provision shall govern and control the Secretary upon written request of any 24 See Current Bylaws, Article III, Section 5. decision of such question. four (4) directors. Additionally, under 25 See Proposed Bylaws and CBOE Bylaws, Article III, Section 3.7. The Exchange proposes to adopt the proposed Bylaws, the Secretary shall 26 See Proposed Bylaws and CBOE Bylaws, Article II, Sections 2.5 and 2.6 of the give at least twenty-four (24) hours’ Article III, Section 3.2. proposed Bylaws which are the same as notice of such meeting.

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Board Quorum Directors in carrying out its overall Elimination of Audit Committee Article III, Section 12 of the current responsibilities relating to executive The Exchange also proposes to Bylaws provides that a majority of the compensation and also, among other eliminate its Audit Committee because number of Directors then in office shall things, (i) recommending the its functions are duplicative of the constitute a quorum, whereas Article III, compensation of the CBOE Holdings’ functions of the Audit Committee of its Section 3.9 of the proposed Bylaws, CEO and certain other executive officers parent company, CBOE Holdings. Under which is the same as Article III, Section and (ii) approving and administering all its committee charter, the CBOE 3.9 of the CBOE Bylaws, provides that cash and equity-based incentive Holdings Audit Committee has broad two-thirds of the Directors then in office compensation plans of CBOE Holdings authority to assist the CBOE Holdings shall constitute a quorum. Increasing that affect employees of the CBOE Board in fulfilling its oversight the quorum requirement from a majority Holdings and its subsidiaries. Similarly, responsibilities in assessing controls to two-thirds will ensure that more under its committee charter, the EDGA that mitigate the regulatory and Directors are present at meetings of the Compensation Committee has authority operational risks associated with Board in order to transact business for to fix the compensation of EDGA’s CEO operating the Exchange and assist the the Exchange. and to consider and recommend CBOE Holdings Board of Directors in compensation policies, programs, and discharging its responsibilities relating Committees of the Board practices to the EDGA CEO in to, among other things, (i) the The current bylaws provide for the connection with the EDGA CEO’s fixing qualifications, engagement, and following standing committees of the of the salaries of other officers and oversight of CBOE Holdings’ 29 Board: A Compensation Committee, an agents of the Exchange. As such, other independent auditor, (ii) CBOE Audit Committee, a Regulatory than to the extent that the EDGA Holdings’ financial statements and Oversight Committee, and an Appeals Compensation Committee recommends disclosure matters, (iii) CBOE Holdings’ Committee, each to be comprised of at the compensation of executive officers internal audit function and internal least three (3) members.27 The current whose compensation is not already controls, and (iv) CBOE Holdings’ Bylaws also provide that the Exchange determined by the CBOE Holdings oversight and risk management, may establish an Executive Committee Compensation Committee, its activities including compliance with legal and and a Finance Committee.28 The are duplicative of the activities of the regulatory requirements. Because CBOE Exchange proposes to modify the CBOE Holdings Compensation Holdings’ financial statements are committees of the Board to eliminate the Committee. Indeed, the Exchange notes prepared on a consolidated basis that Audit Committee, Appeals Committee, that currently the EDGA Compensation includes the financial results of CBOE and Compensation Committee, as well Committee only fixes the compensation Holdings’ subsidiaries, including EDGA, as eliminate the provision relating to a amount of the EDGA CEO. The the CBOE Holdings Audit Committee’s Finance Committee. Additionally, the Exchange notes that currently the purview necessarily includes EDGA. Exchange proposes to require a Exchange’s CEO is the CEO (i.e., an The Exchange notes that unconsolidated mandatory Executive Committee and executive officer) of CBOE Holdings, financial statements of the Exchange Nominating and Governance and as such, the CBOE Holdings will still be prepared for each fiscal year Committee, as well as make several Compensation Committee already in accordance with the requirements set amendments to the Regulatory performs this function. To the extent forth in its application for registration as Oversight Committee provision. The that compensation need be determined a national securities exchange. The Exchange notes that CBOE and C2 have for any EDGA officer who is not also a CBOE Holdings Audit Committee is eliminated their Audit and CBOE Holdings officer in the future, the composed of at least three (3) CBOE Compensation Committees and do not Board or senior management will Holdings directors, all of whom must be maintain an Appeals Committee at the perform such action without the use of independent within the meaning given Board level. As previously noted, CBOE a compensation committee, as provided to that term in the CBOE Holdings and C2 do maintain a Board-level for in Article V, Section 5.11 of the Bylaws and Corporate Governance Nominating and Governance proposed Bylaws (which is identical to Guidelines and Rule 10A–3 under the Committee, which performs the Article V, Section 5.11 of the CBOE Act.31 All CBOE Holdings Audit functions of EDGA’s current Nominating Bylaws). Thus, the responsibilities of Committee members must be financially and Member Nominating Committees, the EDGA Compensation Committee are literate (or become financially literate which the Exchange proposes to duplicated by the responsibilities of the within a reasonable period of time after eliminate. CBOE Holdings Compensation appointment to the Committee), and at Committee. The Exchange believes that least one (1) member of the Committee Elimination of Compensation its proposal to eliminate its must be an ‘‘audit committee financial Committee Compensation Committee is expert’’ as defined by the Securities and The Exchange seeks to eliminate the substantially similar to prior actions Exchange Commission (‘‘SEC’’). By Compensation Committee because it taken by other securities exchanges with contrast, the EDGA Audit Committee believes that the Compensation parent company compensation has a more limited role, focused on Committee’s functions are duplicative of committees to eliminate their exchange- EDGA. Under its charter, the primary the functions of the Compensation level compensation committees, functions of the EDGA Audit Committee Committee of its parent company, CBOE including CBOE and C2.30 are focused on (i) EDGA’s financial Holdings. Specifically, under its committee charter, the CBOE Holdings 29 The Exchange notes that the Regulatory (SR–CBOE–2017–017) and Securities Exchange Act Compensation Committee has authority Oversight Committee (‘‘ROC’’) of the EDGA Board Release No. 80522 (April 25, 2017), 82 FR 20409 recommends to the Board compensation for the (May 1, 2017) (SR–C2–2017–009). See also to assist the CBOE Holdings Board of Chief Regulatory Officer. The Exchange also notes Securities Exchange Act Release No. 60276 (July 9, that currently not all executive officers of EDGA are 2009), 74 FR 34840 (July 17, 2009) (SR–NASDAQ– 27 See Current Bylaws, Article V, Section 1 and required to have their compensation determined by 2009–042) and Securities Exchange Act Release No. Section 2(a). the Compensation Committee. 62304 (June 16, 2010), 75 FR 36136 (June 24, 2010) 28 See Current Bylaws, Article V, Sections 6(e) 30 See e.g., Securities Exchange Act Release No. (SR–NYSEArca–2010–31). and (f), respectively. 80523 (April 25, 2017), 82 FR 20399 (May 1, 2017) 31 17 CFR 240.10A–3.

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statements and disclosure matters and pursuant to its powers under Article IV, the ROC shall consist of at least three (3) (ii) EDGA’s oversight and risk Section 4.1 of the proposed Bylaws. directors, all of whom are Non-Industry management, including compliance Although, CBOE and C2 have a standing Directors who are appointed by the with legal and regulatory requirements, exchange-level Appeals Committee, the Board on the recommendation of the in each case, only to the extent required Exchange prefers not to have to Non-Industry Directors serving on the in connection with EDGA’s discharge of maintain and staff a standing Appeals Nominating and Governance Committee its obligations as a self-regulatory Committee, but rather provide its Board (including the designation of the organization. However, to the extent the flexibility to determine whether to Chairman of the ROC). While the that the EDGA Audit Committee reviews establish a Board-level or exchange- current Bylaws also require all ROC financial statements and disclosure level Appeals Committee, as needed or members to be Non-Industry Directors, matters, its activities are duplicative of desired. The Exchange also notes that it does not specify a minimum number the activities of the CBOE Holdings other Exchanges similarly do not require of directors. The current Bylaws also Audit Committee, which is also charged standing Appeals Committees.34 The provide that the Chairman of the Board with review of financial statements and elimination of the requirement in the (instead of a Nominating and disclosure matters. Similarly, the CBOE bylaws to maintain a standing Appeals Governance Committee), with approval Holdings Audit Committee has general Committee would provide consistency of the Board, appoints the ROC responsibility for oversight and risk among the Bylaws for all of CBOE members. management, including compliance Holdings’ U.S. securities exchanges, Next, while the current Bylaws with legal and regulatory requirements, while still providing the Board the explicitly delineate some of the ROC’s for CBOE Holdings and all of its authority to appoint an Appeals responsibilities, the Exchange proposes subsidiaries, including EDGA. Thus, the Committee in the future as needed. to provide more broadly that the ROC responsibilities of the EDGA Audit shall have the duties and may exercise Committee are fully duplicated by the Elimination of Finance Committee such authority as may be prescribed by responsibilities of the CBOE Holdings Pursuant to Article V, Section 6(f) of resolution of the Board, the Bylaws or Audit Committee. The Exchange the current Bylaws, the Chairman, with the Rules of the Exchange. Particularly, believes that its proposal to eliminate its the approval of the Board, may appoint Article V, Section 6(c) of the current Audit Committee is substantially similar a Finance Committee. The Finance Bylaws provide that the ROC shall to prior actions by other securities Committee shall advise the Board with oversee the adequacy and effectiveness exchanges with parent company audit respect to the oversight of the financial of the Exchange’s regulatory and self- committees to eliminate their exchange- operations and conditions of the regulatory organization responsibilities, level audit committees, including CBOE Exchange, including recommendations assess the Exchange’s regulatory and C2.32 for the Exchange’s annual operating and performance, assist the Board and Board committees in reviewing the regulatory Elimination of Appeals Committee capital budgets. The Exchange notes that it does not currently have a Finance plan and the overall effectiveness of The Exchange next proposes to Committee and that, similarly, CBOE Exchange’s regulatory functions and, in eliminate the Appeals Committee. and C2 do not have an exchange-level consultation with the CEO, establish the Pursuant to Article V, Section 6(d) of Finance Committee. As the Exchange goals, assess the performance, and fix the current Bylaws, the Chairman, with currently does not maintain, and has no the compensation of the Chief the approval of the Board, shall appoint current intention of establishing, an Regulatory Officer (‘‘CRO’’). The an Appeals Committee. The Appeals exchange-level Finance Committee, it Exchange notes that the ROC will Committee shall consist of one (1) does not believe it is necessary to continue to have the foregoing duties Independent Director, one (1) Industry maintain this provision. The Exchange and authority, with the exception that Director, and one (1) Member notes that should it desire to establish the ROC will no longer consult the CEO Representative Director and presides a Finance Committee in the future, it with respect to establishing the goals, over all appeals related to disciplinary still maintains the authority to do so assessing the performance and fixing and adverse action determinations in under Article IV, Section 4.1 of the compensation of the CRO. The proposed accordance with the Rules. The proposed Bylaws. change to eliminate the CEO’s Exchange notes that neither CBOE nor involvement in establishing the goals, C2 maintain a Board-level Appeals Changes to the Regulatory Oversight assessing the performance and fixing Committee. Rather, CBOE and C2 Committee compensation of the CRO is consistent currently maintain an Exchange-level Article V, Section 6(c) of the current with the Exchange’s desire to maintain Appeals Committee.33 The Exchange Bylaws relates to the Regulatory the independence of the regulatory notes that although it is proposing to Oversight Committee (‘‘ROC’’), which functions of the Exchange. The eliminate the Appeals Committee as a oversees the adequacy and effectiveness Exchange notes that each of the specified Board-level committee at this of the Exchange’s regulatory and self- abovementioned proposed changes time, the Exchange will still have the regulatory organization responsibilities. provide for the same language and ability to appoint either a Board-level or The Exchange proposes to adopt Article appointment process used by CBOE and exchange-level Appeals Committee IV, Section 4.4, which amends the ROC C2 with respect to the ROC, which provision to conform to Article IV, provides consistency among the CBOE 32 See, e.g., Securities Exchange Act Release No. Section 4.4 of the CBOE Bylaws.35 First, Holdings U.S. securities exchanges.36 64127 (March 25, 2011), 76 FR 17974 (March 31, 2011) (SR–CBOE–2011–010) and Securities the Exchange proposes to specify that Creation of a Mandatory Executive Exchange Act Release No. 64128 (March 25, 2011), Committee 76 FR 17973 (March 31, 2011) (SR–C2–2011–003). 34 For example, neither the Bylaws nor Rules of See also, Securities Exchange Act Release No. BOX Options Exchange, LLC mandate an Appeals Article V, Section 6(e) of the current 60276 (July 9, 2009), 74 FR 34840 (July 17, 2009) Committee. See Bylaws of Box Options Exchange Bylaws provides that the Chairman, (SR–NASDAQ–2009–042). LLC and Rules of Box Options Exchange, LLC. with approval of the Board, may appoint 33 See e.g., CBOE Rule 2.1 and C2 Chapter 19, 35 The Exchange does not intend at this time to which incorporates by reference CBOE Chapter XIX rename the ROC the ‘‘Regulatory Oversight and an Executive Committee, which shall, to (Hearings and Review), which references the Compliance Committee’’ (‘‘ROCC’’), which is the Appeals Committee. name of the equivalent committee of CBOE and C2. 36 See CBOE Bylaws Article IV, Section 4.4.

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the fullest extent permitted by Delaware Directors for this purpose). The candidates for each Member and other applicable law, have and be Directors (other than the Chairman, CEO Representative Director position on the permitted to exercise all the powers and and Lead Director, if any) serving on the Board. authority of the Board in the Executive Committee shall be appointed The Exchange proposes to adopt a management of the business and affairs by the Board on the recommendation of Nominating and Governance Committee of the Exchange between meetings of the the Nominating and Governance which would have the same Board.37 The current Bylaws provide Committee of the Board. Directors responsibilities currently delegated to that the number of Non-Industry serving on the Executive Committee the CBOE and C2 Nominating and Directors on the Executive Committee may be removed by the Board in Governance Committees. Specifically, shall equal or exceed the number of accordance with the bylaws. The the Exchange proposes to adopt Article Industry Directors on the Executive Chairman of the Board shall be the IV, Section 4.3, which is the same as Committee. In addition, the percentage Chairman of the Executive Committee. Article IV, Section 4.3 of the CBOE of Independent Directors on the Each member of the Executive Bylaws, which would provide that the Executive Committee shall be at least as Committee shall be a voting member Nominating and Governance Committee great as the percentage of Independent and shall serve for a term of one (1) year shall consist of at least five (5) directors Directors on the whole Board, and the expiring at the first regular meeting of and shall at all times have a majority of percentage of Member Representative Directors following the annual meeting Non-Industry Directors. Members of the Directors on the Executive Committee of stockholders each year or until their committee would be recommended by shall be at least as great as the successors are appointed. The Exchange the Nominating and Governance percentage of Member Representative notes that CBOE and C2 have an Committee for approval by the Board Directors on the whole Board. Executive Committee and that the and shall not be subject to removal Under the proposed Bylaws, the proposed composition requirements and except by the Board. The Chairman of Exchange proposes to require that the functions are the same as CBOE and the Nominating and Governance Exchange maintain an Executive C2.38 Committee shall be recommended by Committee and delineates its the Nominating and Governance composition and functions in Article IV, Elimination of Nominating and Member Committee for approval by the Board. Section 4.2 of the proposed Bylaws. Nominating Committees and Creation of The Nominating and Governance Similar to the current Bylaw provisions Nominating and Governance Committee Committee would be primarily charged relating to the Executive Committee, the The Exchange also proposes to with the authority to nominate proposed Executive Committee shall eliminate the current Nominating and individuals for election as Directors of have and may exercise all the powers Member Nominating Committees, and to the Exchange. The Nominating and and authority of the Board in the prescribe that their duties be performed Governance Committee would also have management of the business and affairs by the new Nominating and Governance such other duties and may exercise such of the Exchange. Unlike the current Committee of the Board (as discussed other authority as may be prescribed by Executive Committee provisions, below). The Nominating Committee is a resolution of the Board and the however, the proposed Executive non-Board committee and is elected on Nominating and Governance Committee Committee shall not have the power and an annual basis by vote of the charter as adopted by resolution of the authority of the Board to (i) approve or Exchange’s sole stockholder, Direct Board. If the Nominating and adopt or recommend to the stockholders Edge LLC 39 The Nominating Committee Governance Committee has two (2) or any action or matter (other than the is primarily charged with nominating more Industry Directors, there shall be election or removal of Directors) candidates for election to the Board at an Industry-Director Subcommittee expressly required by Delaware law to the annual stockholder meeting and all consisting of all of the Industry be submitted to stockholders for other vacant or new Director positions Directors then serving on the approval, including without limitation, on the Board and ensuring, in making Nominating and Governance amending the certificate of such nominations, that candidates meet Committee, which shall act as the incorporation, adopting an agreement of the compositional requirements set forth Representative Director Nominating merger or consolidation, approving a in the bylaws. The Member Nominating Body (as previously discussed) if and to sale, lease or exchange of all or Committee is also a non-Board the extent required by the proposed substantially all of the Exchange’s committee and elected on an annual Bylaws. The Exchange believes that the property and assets, or approval of a basis by vote of the Exchange’s sole duties and functions of the eliminated dissolution of the Exchange or stockholder, Direct Edge LLC. 40 Each Nominating and Member Nominating revocation of a dissolution, or (ii) adopt, Member Nominating Committee Committees would continue to be alter, amend or repeal any bylaw of the member must be a Member performed and covered in the new Exchange. Additionally, Section 4.2 of Representative member (i.e., an officer, corporate governance structure under the proposed Bylaws provides that the director, employee or agent of an the proposed Bylaws. Exchange Member that is not a Executive Committee shall consist of the Creation of an Advisory Board Chairman, the CEO (if a Director), the Stockholder Exchange Member).41 The Lead Director, if any, at least one (1) Member Nominating Committee is The Exchange proposes to adopt Representative Director and such other primarily charged with nominating Article VI, Section 6.1, which provides number of Directors that the Board that the Board may establish an deems appropriate, provided that in no 38 See CBOE Bylaws, Article IV, Section 4.2. Advisory Board which shall advise the 39 See Article VI, Sections 1 and 2. A Nominating Board and management regarding event shall the number of Non-Industry Committee member may simultaneously serve on Directors constitute less than the the Nominating Committee and the Board, unless matters of interest to Exchange number of Industry Directors serving on the Nominating Committee is nominating Director Members. The Exchange believes the the Executive Committee (excluding the candidates for the Director’s class. The number of Advisory Board could provide a vehicle Non-Industry members on the Nominating for Exchange management to receive CEO from the calculation of Industry Committee shall equal or exceed the number of Industry members on the Nominating Committee. advice from the perspective of Exchange 37 The Exchange does not presently have an 40 See Article VI, Sections 1 and 3. Members and regarding matters that Executive Committee. 41 See Article VI, Section 3. impact Exchange Members. Under

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Article VI, Section 6.1 of the proposed Resignation and Removal V, Section 5.1 of the proposed Bylaws Bylaws, the Board would determine the Article VII, Section 3 of the current provides that the CEO shall be number of members of an Advisory Bylaws provides that any officer may appointed by an affirmative vote of the Board, if established, including at least resign at any time upon notice of majority of the Board, and may but need two members who are Exchange resignation to the Chairman and CEO, not be, the Chairman of the Board. The Members or persons associated with the President or the Secretary. The Exchange notes that to conform the Exchange Members. Additionally, the Exchange proposes to amend the language to the CBOE Bylaws, Article V, CEO or his or her designee would serve provision relating to officer resignations Section 5.2 of the proposed Bylaws also as the Chairman of an Advisory Board to provide that any officer may resign at states that the CEO shall be the official and the Nominating and Governance any time upon delivering written notice representative of the Exchange in all Committee would recommend the to the Exchange at its principal office, public matters and provides that the CEO shall not engage in another members of an Advisory Board for or to the CEO or Secretary.45 Article VII, business during his incumbency except approval by the Board. There would Section 3 of the current Bylaws also with approval of the Board. also be an Exchange Member provides that any officer may be Additionally, the Exchange proposes Subcommittee of the Advisory Board removed, with or without cause, by the not to carry over language in the current consisting of all members of the Board. The Exchange proposes to Bylaws that provides that the CEO shall Advisory Board who are Exchange provide that, in addition to being not participate in executive sessions of Members or persons associated with removed by the Board, an officer may be the Board, as CBOE Bylaws do not Exchange Members, which shall act as removed at any time by the CEO or contain a similar restriction. the Representative Director Nominating President (provided that the CEO can Article V, Section 5.3 of the proposed 46 Body if and to the extent required by the only be removed by the Board). Bylaws proposes to provide that the proposed Bylaws. An Advisory Board Provisions relating to resignation and President shall be the chief operating would be completely advisory in nature removal of officers in the proposed officer of the Exchange. The Exchange and not be vested with any Exchange Bylaws will be identical to the relevant notes that the current Bylaws do not 47 decision-making authority or other provisions of the CBOE Bylaws. address appointing a chief operating authority to act on behalf of the Compensation officer. Additionally, while Article VII, Exchange. The Exchange notes that Section 7 of the current Bylaws provides CBOE and C2 currently maintain an Article VII, Section 4 of the current that the President shall have all powers Advisory Board, with the same Bylaws provides that the CEO, after and duties usually incident to the office proposed compositional requirements consultation of the Compensation of the President, except as specifically and functions.42 The Exchange also Committee, shall fix the salaries of limited by a resolution of the Board, and notes, however, that while for CBOE officers of the Exchange and also states shall exercise such other powers and and C2 an Advisory Board is mandatory, that the CEO’s compensation shall be perform such other duties as may be an Advisory Board for the Exchange fixed by the Compensation Committee. assigned to the President from time to would be permissive as the Exchange In order to conform compensation time by the Board, Article V, Section 5.3 desires flexibility to determine if an practices to those of CBOE and C2, the of the proposed Bylaws further states Advisory Board should be established in Exchange proposes to modify these that in the event that the CEO does not the future. The Exchange notes that provisions to provide that in lieu of the act, the President shall perform the there is no statutory requirement to CEO, the Board, unless otherwise officer duties of the CEO, which is maintain an Advisory Board or delegated to a committee of the Board or consistent with the language in the Advisory Committee and indeed, other to members of senior management, may CBOE Bylaws. Exchanges, including EDGA itself, do fix the salaries of officers of the 48 Other Officers not require the establishment of an Exchange. Additionally, in Advisory Board.43 conjunction with the proposed change The Exchange notes the following to eliminate the EDGA Compensation modifications relating to officer Officers, Agents and Employees Committee, the Exchange proposes to provisions in the proposed Bylaws, General eliminate language providing that the which are intended to conform the CEO’s compensation is fixed by the proposed Bylaws to the CBOE Bylaws: Article VII, Section 1 of the current Compensation Committee. • Article V, Sections 5.1 and 5.4 of Bylaws provides that that an individual Chief Executive Officer and President the proposed Bylaws, which is identical may not hold office as both the to Article V, Sections 5.1 and 5.4 of the President and Secretary, whereas the Article VII, Section 6 of the current CBOE Bylaws, will provide that the CBOE Bylaws provide an individual Bylaws pertains to the CEO. The current Chief Financial Officer (‘‘CFO’’) is may not hold office as both the CEO and Bylaws provide that the CEO shall be designated as an officer of the Exchange President and that the CEO and the Chairman of the Board. CBOE and and that the Board and CEO may assign President may not hold office as either C2, however, do not require that the the CFO powers and duties as they see the Secretary or Assistant Secretary.44 CEO be Chairman of the Board. The fit. The Exchange notes that the role of As these requirements are similar, if not Exchange desires similar flexibility in a CFO is not referenced in the current more restrictive under the CBOE appointing its Chairman and, therefore, Bylaws. this requirement is not carried over in • The proposed Bylaws eliminate the Bylaws, the Exchange proposes to 49 include the same provisions in the the proposed Bylaws. Instead, Article requirement in the current Bylaws that CBOE Bylaws in Article V, Section 5.1 the Chief Regulatory Officer (‘‘CRO’’) is 45 See Proposed Bylaws, Article V, Section 5.9. 50 of the proposed Bylaws. a designated officer of the Exchange. 46 See Proposed Bylaws, Article V, Section 5.8. As noted above, the Exchange desires to 47 See Article V, Sections 5.8 and 5.9 of the CBOE 42 See Article VI, Section 6.1 of CBOE Bylaws. Bylaws. conform its Bylaws to the Bylaws of 43 For example, BOX Options Exchange, LLC does 48 See Proposed Bylaws, Article V, Section 5.11. CBOE and the CBOE Bylaws do not not require an advisory committee. 49 The Exchange notes that currently the CEO of 44 See Article V, Section 5.1 of CBOE Bylaws. EDGA is also Chairman of the Board. 50 See Current Bylaws, Article VII, Section 9.

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reference the role of the CRO. The General Provisions of, or on behalf of the Corporation. The Exchange notes that notwithstanding The Exchange proposes to add Article proposed language is the same as the the proposed elimination of the CRO VIII, Section 8.1 of the proposed language in Article VIII, Section 8.10 of provision, there is no intention to Bylaws, which is the same as Article the CBOE Bylaws and similar to related eliminate the role of the CRO. language in Article XI, Section 6 of the • VIII, Section 8.1 of the CBOE Bylaws, Article VII, Section 10 of the that unless otherwise determined by the current Bylaws. The Exchange proposes to adopt current Bylaws requires the Secretary to Board, the fiscal year of the Exchange Article VIII, Section 8.12, relating to keep official records of Board meetings. ends on the close of business December books and records and which is the The Exchange proposes to add to Article 31 each year, as compared to Article XI, same as Article VIII, Section 8.12 of V, Section 5.6 of the proposed Bylaws, Section 1 of the current Bylaws, which CBOE Bylaws and which is similar to which is similar to the current Bylaws provides that the fiscal year of the and based on Article V, Section 5.6 of language contained in Article XI, Exchange shall be as determined from Section 3 of the current Bylaws. the CBOE Bylaws, which requires that time to time by the Board. Note that the in addition to all meetings of the Board, Exchange’s fiscal year currently ends on New Bylaw Provisions the Secretary must keep official records the close of business December 31 each The Exchange proposes to add of all meetings of stockholders and of year. Exchange Members at which action is provisions to the proposed Bylaws that The Exchange also proposes to add are not included in the current Bylaws taken. Article VIII, Section 8.2 of the proposed • Article V, Section 5.7 of the in order to conform the Exchange’s Bylaws, which is the same as Article bylaws to those of CBOE and C2 and proposed Bylaws, which is based on VIII, Section 8.2 of the CBOE Bylaws, Article 5.7 of the CBOE Bylaws, would provide consistency among the CBOE which governs the execution of Holdings’ U.S. securities exchanges. provide that the Treasurer perform such instruments such as checks, drafts and duties and powers as the Board, the Specifically, the Exchange proposes to bills of exchange and contracts and add the following to the proposed CEO or CFO proscribes (whereas Article which is similar to Article XI, Section VII, Section 12 of the current Bylaws Bylaws: 6 of the current Bylaws. • Article VII, which addresses notice provides that such duties and powers Next, the Exchange proposes to adopt requirements for any notice required to may be proscribed by the Board, CEO or Article VIII, Section 8.4, which provides be given by the bylaws or Rules, President). that, except as the Board may otherwise including Article VII, Section 7.2, which • While the current Bylaws contain designate, the Chairman of the Board, provides whenever any notice to any separate provisions relating to an CEO, CFO or Treasurer may waive stockholder is required, such notice may Assistant Secretary and an Assistant notice of, and act as, or appoint any be given by a form of electronic Treasurer, the proposed Bylaws do not, person or persons to act as, proxy or transmission if the stockholder to whom as CBOE Bylaws similarly do not attorney-in-fact for the Exchange (with such notice is given has previously contain such provisions.51 or without power of substitution) at, any consented to the receipt of notice by Amendments meeting of stockholders or shareholders electronic transmission. The language of any other corporation or organization, mirrors the language set forth in Article Article IX, Section 1 of the current the securities of which may be held by Bylaws provides that the bylaws may be VII, Section 7.2 of the CBOE Bylaws. the Exchange. The proposed provision • Article VIII, Section 8.3 which is altered, amended, or repealed, or new is the same as Article VIII, Section 8.4 identical to Article VIII, Section 8.3 of bylaws adopted, (i) by written consent of the CBOE Bylaws and similar to the CBOE Bylaws, which provides that of the stockholders of the Exchange or Article XI, Section 7 of the current the corporate seal, if any, shall be in (ii) at any meeting of the Board by Bylaws, which provides generally that such form as approved by the board or resolution. The proposed Bylaws, the CEO has the power and authority to officer of the Corporation. however, eliminate the ability of act on behalf of the Company at any • Article VIII, Section 8.5, which stockholders to act by written consent meeting of stockholders, partners or provides that a certificate by the and instead provides that in order for equity holders of any other corporation Secretary, or Assistant Secretary, if any, the stockholders of the Exchange to or organization, the securities of which as to any action taken by the alter, amend, repeal or adopt new may be held by the Exchange. stockholders, directors, a committee or bylaws, there must be an affirmative The Exchange proposes to adopt any officer or representative of the vote of the stockholders present at any Article VIII, Section 8.7, which governs Exchange shall, as to all persons who annual meeting at which a quorum is transactions with interested parties. rely on the certificate in good faith, be present.52 Additionally, unlike the Proposed Article VIII, Section 8.7 is the conclusive evidence of such action. This current Bylaws, the Exchange proposes same as Article VIII, Section 8.7 of the language is identical to the language to explicitly provide that changes to the CBOE Bylaws and substantially similar contained in Article VIII, Section 8.5 of bylaws shall not become effective until to language contained in Article III, the CBOE Bylaws. filed with or filed with and approved by Section 18 of the current Bylaws. • Article VIII, Section 8.6., which is the SEC, to avoid confusion as to when Similarly, the Exchange proposes to identical to Article VIII, Section 8.6 of proposed amendments to the Bylaws adopt Article VIII, Section 8.8 which the CBOE Bylaws, which provides all 53 can take effect. The proposed governs severability and is the same as references to the Certificate of provisions are the same as the Article VIII, Section 8.8 of CBOE Bylaws Incorporation shall be deemed to refer corresponding provisions in the CBOE and substantially similar to Article XI, to the Certificate of Incorporation of the 54 Bylaws. Section 8 of the current Bylaws. Corporation, as amended, altered or The Exchange proposes to adopt restated and in effect from time to time. 51 See Article VII, Sections 11 and 13 of the Article VIII, Section 8.10 which • Article VIII, Section 8.11, which current Bylaws. provides that the Exchange may lend 52 See Proposed Bylaws, Article IX, Section 9.2. provides that the board may authorize 53 See Proposed Bylaws, Article IX, Section 9.3. any officer or agent of the Corporation money or assist an employee of the 54 See Article IX, Sections 9.2 and 9.3 of the to enter into any contract, or execute Exchange when the loan, guarantee or CBOE Bylaws. and deliver any instrument in the name assistance may reasonably benefit the

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Exchange. This language is identical to to adopt such procedures and/or rules if to the stockholder. The Exchange notes the language contained in Article VIII, necessary or desirable.55 that this language is currently contained Section 8.11 of the CBOE Bylaws. • Article X, Section 3, which relates in Article X, section 4 of the current to membership qualifications and Eliminated Bylaw Provisions Bylaws. Additionally, while not explicit provides, among other things, that the in CBOE Rule 2.51, the Exchange notes The Exchange notes that the following Board has authority to adopt rules and that the rule filing that adopted Rule provisions in the current Bylaws are not regulations applicable to Exchange 2.51 does similarly state that regulatory carried over in either the proposed Members and Exchange Member funds may be not distributed to CBOE’s Bylaws or proposed Certificate in order applicants, as well as establish specified stockholder.56 Although proposed Rule to conform the Exchange’s bylaws to and appropriate standards with respect 15.2 will differ slightly from CBOE Rule those of CBOE and C2 and provide to the training, experience, competence, 2.51, the Exchange wishes to make this consistency among the CBOE Holdings’ financial responsibility, operational point clear to avoid potential confusion. U.S. securities exchanges: capability, and other qualifications. The Lastly, the Exchange notes that unlike • Exchange does not wish to include this Article III, Sections 13 and 17. Article X, Section 4 of the current Section 13 provides that a director who provision in the proposed Bylaws as no Bylaws, proposed Rule 15.2, like CBOE is present at a Board or Board equivalent provisions exist in the CBOE Rule 2.51, will provide that Committee meeting at which action is Bylaws. The Exchange again notes that notwithstanding the preclusion to use taken is conclusively presumed to have Article III, Section 3.3 of the proposed regulatory revenue for non-regulatory assented to action being taken unless his Bylaws grants the Board broad powers or her dissent or election to abstain is to adopt such rules and regulations if purposes, in the event of liquidation of entered into the minutes or filed. necessary or desirable. the Exchange, Direct Edge LLC will be Section 17 provides that the Board has • Article X, Section 4, which relates entitled to the distribution of the the power to interpret the Bylaws and to fees, provides that the Board has remaining assets of the Exchange. any interpretations made shall be final authority to fix and charge fees, dues, • Certain sections in Article XI, and conclusive. The Exchange does not assessments, and other charges to be including Section 2 (‘‘Participation in wish to include these provisions in the paid by Exchange Members and issuers Board and Committee Meetings’’), proposed Bylaws as no equivalent and any other persons using any facility Section 4 (‘‘Dividends’’) and Section 5 provisions exist in the CBOE Bylaws or system that the Company operates or (‘‘Reserves’’). More specifically, Article and the Exchange wishes to have controls; provided that such fees, dues, XI, Section 2 governs who may attend uniformity across the bylaws of the assessments, and other charges shall be Board and Board committee meetings CBOE Holdings’ exchanges. equitably allocated among Exchange pertaining to the self-regulatory function • Article IX, Section 2, which relates Members and issuers and any other of the Exchange and particularly, to the Board’s authority to adopt persons using any facility or system that provides among other things, that Board emergency Bylaws to be operative the Company operates or controls. The and Board Committee meetings relating during any emergency resulting from, Exchange does not wish to include this to the self-regulatory function of the section of the provision in the proposed among other things, any nuclear or Company are closed to all persons other Bylaws as no equivalent provisions exist atomic disaster or attack on the United than members of the Boards, officers, in the CBOE Bylaws. To the extent the States, any catastrophe, or other staff and counsel or other advisors Board wishes to adopt such fees and emergency condition, as a result of whose participation is necessary or which a quorum of the Board or a dues, it has the authority pursuant to appropriate.57 Article XI, Section 4 committee cannot readily be convened Article III, Section 3.3 of the proposed provides that dividends may be for action. Similarly, Article IX, Section Bylaws. The Exchange notes that with declared upon the capital stock of the 3, provides that the Board, or Board’s respect to the language in Article X, Exchange by the Board. Article XI, designee, in the event of extraordinary Section 4 of the current Bylaws relating market conditions, has the authority to to the prohibition of using revenues Section 5 provides that before any take certain actions. The Exchange does received from fees derived from its dividends are paid out, there must be not wish to include these provisions in regulatory function or penalties for non- set aside funds that the Board the proposed Bylaws as no equivalent regulatory purposes, similar language determines is proper as a reserves. The provisions exist in the CBOE Bylaws exists within CBOE Rules, particularly, Exchange does not wish to include these and the Exchange wishes to have CBOE Rule 2.51. In order to conform the provisions in the proposed Bylaws as no uniformity across the bylaws of the Bylaws, the Exchange wishes to equivalent provisions exist in the CBOE CBOE Holdings’ exchanges. similarly, relocate this language to its Bylaws and the Exchange wishes to • Article X, Section 2, which relates rules, instead of maintaining it in its have uniformity across the bylaws of the to disciplinary proceedings and Bylaws. Specifically, the Exchange CBOE Holdings’ U.S. securities provides that the Board is authorized to proposes to adopt new Rule 15.2, which exchanges. establish procedures relating to language is based off CBOE Rule 2.51. disciplinary proceedings involving The Exchange notes that this provision 56 See Securities Exchange Act Release No. 62158 Exchange Members and their associated is designed to preclude the Exchange (May 24, 2010), 75 FR 30082 (May 28, 2010) (SR– from using its authority to raise CBOE–2008–088). persons, as well as impose various 57 Article XI, Section 2 also provides that in no sanctions applicable to Exchange regulatory funds for the purpose of event shall members of the Board of Directors of Members and persons associated with benefitting its Stockholder. Unlike CBOE Holdings, Inc., CBOE V, LLC or Direct Edge Exchange Members. The Exchange does CBOE Rule 2.51 however, proposed LLC who are not also members of the Board, or any Rule 15.2 explicitly provides that officers, staff, counsel or advisors of CBOE not wish to include this provision in the Holdings, Inc., CBOE V, LLC or Direct Edge LLC proposed Bylaws as no equivalent regulatory funds may not be distributed who are not also officers, staff, counsel or advisors provisions exist in the CBOE Bylaws. of the Company (or any committees of the Board), Additionally, the Exchange notes that 55 The Exchange notes that the language in be allowed to participate in any meetings of the proposed Article III, Section 3.3 is similar to Board (or any committee of the Board) pertaining Article III, Section 3.3 of the proposed language provided for in Article X, Section 1 of the to the self-regulatory function of the Company Bylaws grants the Board broad powers current Bylaws. (including disciplinary matters).

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(c) Changes to Rules and to comply and to enforce Board and committee composition The Exchange will also amend its compliance by its Members and persons requirements, and related nomination rules in conjunction with the proposed associated with its Members, with the and election processes, more consistent changes to its bylaws. The proposed provisions of the Act, the rules and with those of its affiliates, CBOE and C2. rule changes are set forth in Exhibit 5E. regulations thereunder, and the Rules, The Exchange therefore believes that the First, the Exchange proposes to update as required by Section 6(b)(1) of the proposed changes would contribute to 58 the reference to the bylaws in Rule 1.1. Act. the orderly operation of the Exchange and would enable the Exchange to be so Next, the Exchange notes that in order 2. Statutory Basis organized as to have the capacity to to keep the governance documents The Exchange believes the proposed uniform, it proposes to eliminate the carry out the purposes of the Act and rule change is consistent with the Act comply with the provisions of the Act definitions of ‘‘Industry member’’, and the rules and regulations ‘‘Member Representative member’’ and by its members and persons associated thereunder applicable to the Exchange with members. The Exchange also ‘‘Director’’ from Article I of the current and, in particular, the requirements of believes that this proposal furthers the Bylaws. The Exchange notes that Section 6(b) of the Act.59 Specifically, objectives of Section 6(b)(3) 62 and (b)(5) Industry members and Member the Exchange believes the proposed rule of the Act in particular, in that it is Representative members are still used change is consistent with the Section designed to assure a fair representation for Hearing Panels pursuant to Rule 8.6. 6(b)(5) 60 requirements that the rules of of Exchange Members in the selection of As such, the Exchange proposes to an exchange be designed to prevent its directors and administration of its relocate these definitions to the rules fraudulent and manipulative acts and affairs and provide that one or more (specifically, Rule 8.6) and proposes to practices, to promote just and equitable directors would be representative of update the reference to the location of principles of trade, to foster cooperation issuers and investors and not be the definitions in Rule 8.6 accordingly and coordination with persons engaged associated with a member of the (i.e., refer to the definition in Rule 8.6 in regulating, clearing, settling, exchange, broker, or dealer; and is as opposed to the definition in the processing information with respect to, designed to promote just and equitable bylaws). The Exchange also proposes to and facilitating transactions in principles of trade, to remove eliminate language in Rule 2.10 that, in securities, to remove impediments to impediments to and perfect the connection with a reference to and perfect the mechanism of a free and mechanism of a free and open market ‘‘Director’’, states ‘‘as such term is open market and a national market and a national market system, and, in defined in the Bylaws of the Exchange’’. system, and, in general, to protect general to protect investors and the As the definition of Director is being investors and the public interest. public interest. For example, the eliminated in the Bylaws, the Exchange Additionally, the Exchange believes the number of Non-Industry Directors must is seeking to remove the obsolete proposed rule change is consistent with not be less than the number of Industry language in Rule 2.10. the Section 6(b)(5) 61 requirement that Directors. Additionally, the Exchange Lastly, as discussed above, the the rules of an exchange not be designed believes that the 20% requirement for Exchange proposes to add new Rule to permit unfair discrimination between Representative Directors and the 15.2, which will provide that any customers, issuers, brokers, or dealers. proposed method for selecting revenues received by the Exchange from The Exchange also believes that its Representative Directors ensures fair fees derived from its regulatory function proposal is consistent with Section 6(b) representation and allows members to or regulatory fines will not be used for of the Act in general, and furthers the have a voice in the Exchange’s use of its non-regulatory purposes or distributed objectives of Section 6(b)(1) of the Act self-regulatory authority. For instance, to the Stockholder, but rather, shall be in particular, in that it enables the the proposed Bylaws includes a process applied to fund the legal and regulatory Exchange to be so organized as to have by which Exchange members can operations of the Exchange (including the capacity to be able to carry out the directly petition and vote for surveillance and enforcement activities), purposes of the Act and to comply, and representation on the Board. or be used to pay restitution and to enforce compliance by its exchange Additionally, the Exchange believes disgorgement of funds intended for members and persons associated with the proposed Certificate, Bylaws and customers (except in the event of its exchange members, with the rules support a corporate governance liquidation of the Exchange, which case provisions of the Act, the rules and framework, including the proposed Direct Edge LLC will be entitled to the regulations thereunder, and the rules of Board and Board Committee structure distribution of the remaining assets of the Exchange. that preserves the independence of the the Exchange). As more fully discussed The Exchange also believes that its Exchange’s self-regulatory function and above in the ‘‘Eliminated Bylaw proposal to adopt the Board and insulates the Exchange’s regulatory Provisions’’ section, the proposed committee structure and related functions from its market and other change is similar to Article X, Section nomination and election processes set commercial interests so that the 4 of the current Bylaws and based on forth in the proposed Bylaws are Exchange can continue to carry out its Rule 2.51 of CBOE Rules. consistent with the Act, including regulatory obligations. Particularly, the The Exchange believes that the Section 6(b)(1) of the Act, which proposed governance documents proposed changes to the current Bylaws requires, among other things, that a provide that Directors must take into and current Certificate would align its national securities exchange be consideration the effect that his or her governance documents with the organized to carry out the purposes of actions would have on the ability of the governance documents of each of CBOE the Act and comply with the Company to carry out its regulatory and C2, which preserves governance requirements of the Act. In general, the responsibilities under the Act and the continuity across each of CBOE proposed changes would make the proposed changes to the rules includes Holdings’ six U.S. securities exchanges. the restriction on using revenues The Exchange also notes that the 58 15 U.S.C. 78f(b)(1). derived from the Exchange’s regulatory Exchange will continue to be so 59 15 U.S.C. 78f(b). function for non-regulatory purposes, organized and have the capacity to be 60 15 U.S.C. 78f(b)(5). able to carry out the purposes of the Act 61 Id. 62 15 U.S.C. 78f(b)(3).

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which further underscores the Exchange notes that it is reasonable to Electronic Comments independence of the Exchange’s not require a standing exchange-level • regulatory function. The Exchange also Appeals Committee because the Board Use the Commission’s Internet believes that requiring that the number still has the authority to appoint an comment form (http://www.sec.gov/ of Non-Industry Directors not be less Appeals Committee in the future as rules/sro.shtml); or than the number of Industry Directors needed pursuant to its powers under • Send an email to rule-comments@ and requiring that all Directors serving Article IV, Section 4.1 of the proposed sec.gov. Please include File No. SR– on the ROC be Non-Industry Directors Bylaws and because an Appeals BatsEDGA–2017–22 on the subject line. would help to ensure that no single Committee is not statutorily required. group of market participants will have Paper Comments Finally, the proposed amendments to the ability to systematically • disadvantage other market participants the rules as discussed above are non- Send paper comments in triplicate through the exchange governance substantive changes meant to merely to Secretary, Securities and Exchange process, and would foster the integrity update the Rules in light of the Commission, 100 F Street NE., of the Exchange by providing unique, proposed changes to the current Bylaws Washington, DC 20549–1090. unbiased perspectives. and to relocate certain provisions to All submissions should refer to File No. Moreover, the Exchange believes that better conform the Exchange’s SR–BatsEDGA–2017–22. This file the new corporate governance governance documents to those of CBOE number should be included on the framework and related processes being and C2. subject line if email is used. To help the proposed are consistent with Section 6(b)(5) of the Act because they are B. Self-Regulatory Organization’s Commission process and review your substantially similar to the framework Statement on Burden on Competition comments more efficiently, please use and processes used by CBOE and C2, only one method. The Commission will which have been well-established as fair The Exchange does not believe the post all comments on the Commission’s and designed to protect investors and proposed rule change will impose any Internet Web site (http://www.sec.gov/ the public interest.63 The Exchange burden on competition not necessary or rules/sro.shtml). Copies of the believes that conforming its governance appropriate in furtherance of the submission, all subsequent documents based on the documents of purposes of the Act. The proposed rule amendments, all written statements the CBOE and C2 exchanges would change relates to the corporate with respect to the proposed rule streamline the CBOE Holdings’ U.S. governance of EDGA and not the change that are filed with the securities exchanges’ governance operations of the Exchange. This is not Commission, and all written process, create equivalent governing a competitive filing and, therefore, communications relating to the standards among the exchanges and also imposes no burden on competition. proposed rule change between the provide clarity to its members, which is C. Self-Regulatory Organization’s Commission and any person, other than beneficial to both investors and the those that may be withheld from the public interest. Statement on Comments on the Proposed Rule Change Received From public in accordance with the To the extent there are differences provisions of 5 U.S.C. 552, will be between the current CBOE and C2 Members, Participants or Others available for Web site viewing and framework and the proposed Exchange The Exchange neither solicited nor printing in the Commission’s Public framework, the Exchange believes the received comments on the proposed differences are reasonable. First, the Reference Room, 100 F Street NE., rule change. Exchange believes it’s reasonable to Washington, DC 20549 on official provide that in Run-Off Elections, each III. Date of Effectiveness of the business days between the hours of Exchange Member shall have one (1) Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of the vote for each Representative Director Commission Action filing will also be available for position to be filled that year instead of inspection and copying at the principal one vote per Trading Permit held, Within 45 days of the date of office of the Exchange. All comments because the Exchange, unlike CBOE and publication of this notice in the Federal received will be posted without change; C2, does not have Trading Permits and Register or within such longer period the Commission does not edit personal because other exchanges have similar up to 90 days (i) as the Commission may identifying information from practices.64 The Exchange believes it’s designate if it finds such longer period submissions. You should submit only also reasonable not to require the to be appropriate and publishes its information that you wish to make establishment of an Advisory Board, as reasons for so finding or (ii) as to which available publicly. All submissions the Exchange desires flexibility in the Exchange consents, the Commission should refer to File No. SR–BatsEDGA– maintaining such a Committee, and is will: (a) By order approve or disapprove 2017–22 and should be submitted on or not statutorily required to maintain such such proposed rule change, or (b) before September 27, 2017. a committee. Additionally, the institute proceedings to determine For the Commission, by the Division of Exchange notes that it currently does whether the proposed rule change not have an Advisory Board. Lastly, the Trading and Markets, pursuant to delegated should be disapproved. authority.65 63 See e.g., Securities Exchange Act Release No. IV. Solicitation of Comments Eduardo A. Aleman, 62158 (May 24, 2010), 75 FR 30082 (May 28, 2010) Assistant Secretary. (SR–CBOE–2008–088); Securities Exchange Act Interested persons are invited to [FR Doc. 2017–18790 Filed 9–5–17; 8:45 am] Release No. 64127 (March 25, 2011), 76 FR 17974 submit written data, views and (March 31, 2011) (SR–CBOE–2011–010); and BILLING CODE 8011–01–P Securities Exchange Act Release No. 80523 (April arguments concerning the foregoing, 25, 2017), 82 FR 20399 (May 1, 2017) (SR–CBOE– including whether the proposal is 2017–017). consistent with the Act. Comments may 64 See e.g., Amended and Restated By-Laws of Miami International Securities Exchange, LLC, be submitted by any of the following Article II, Section 2.4(f). methods: 65 17 CFR 200.30–3(a)(12).

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SMALL BUSINESS ADMINISTRATION Percent Contiguous Counties (Economic Injury Loans Only): [Disaster Declaration #15274 and #15275; For Economic Injury: Texas: Austin, Colorado, Hardin, TEXAS Disaster Number TX–00487] Businesses & Small Agricultural Jefferson, Lavaca, Montgomery, Cooperatives without Credit Presidential Declaration of a Major Polk, San Jacinto, Waller Available Elsewhere ...... 3.305 All other information in the original Disaster for the State of Texas Non-Profit Organizations with- out Credit Available Else- declaration remains unchanged. AGENCY: U.S. Small Business where ...... 2.500 (Catalog of Federal Domestic Assistance Administration. Number 59008) ACTION: Notice. The number assigned to this disaster James E. Rivera, SUMMARY: This is a Notice of the for physical damage is 152748 and for economic injury is 152750. Associate Administrator for Disaster Presidential declaration of a major Assistance. disaster for the State of Texas (FEMA– (Catalog of Federal Domestic Assistance [FR Doc. 2017–18761 Filed 9–5–17; 8:45 am] Number 59008) 4332–DR), dated 08/25/2017. BILLING CODE 8025–01–P Incident: Hurricane Harvey. James E. Rivera, Incident Period: 08/23/2017 and Associate Administrator for Disaster continuing. Assistance. DEPARTMENT OF STATE DATES : Issued on 08/25/2017. [FR Doc. 2017–18760 Filed 9–5–17; 8:45 am] [Public Notice: 101101] Physical Loan Application Deadline BILLING CODE 8025–01–P Date: 10/24/2017. Notice of Determinations; Culturally Economic Injury (EIDL) Loan Significant Objects Imported for Application Deadline Date: 05/25/2018. SMALL BUSINESS ADMINISTRATION Exhibition Determinations: ‘‘Giovanni ADDRESSES: Submit completed loan Bellini: Landscapes of Faith in applications to: U.S. Small Business [Disaster Declaration #15274 and #15275; Texas Disaster Number TX–00487] Renaissance Venice’’ Exhibition Administration, Processing and SUMMARY: Notice is hereby given of the Disbursement Center, 14925 Kingsport Presidential Declaration Amendment of Road, Fort Worth, TX 76155. following determinations: I hereby a Major Disaster for the State of Texas determine that certain objects to be FOR FURTHER INFORMATION CONTACT: A. included in the exhibition ‘‘Giovanni Escobar, Office of Disaster Assistance, AGENCY: U.S. Small Business Administration. Bellini: Landscapes of Faith in U.S. Small Business Administration, Renaissance Venice,’’ imported from ACTION: Amendment 1. 409 3rd Street SW., Suite 6050, abroad for temporary exhibition within Washington, DC 20416, (202) 205–6734. SUMMARY: This is an amendment of the the United States, are of cultural SUPPLEMENTARY INFORMATION: Notice is Presidential declaration of a major significance. The objects are imported hereby given that as a result of the disaster for the State of Texas (FEMA– pursuant to loan agreements with the President’s major disaster declaration on 4332–DR), dated 08/25/2017. foreign owners or custodians. I also 08/25/2017, applications for disaster Incident: Hurricane Harvey. determine that the exhibition or display loans may be filed at the address listed Incident Period: 08/23/2017 and of the exhibit objects at The J. Paul Getty above or other locally announced continuing. Museum at the Getty Center, Los locations. The following areas have been Angeles, California, from on or about determined to be adversely affected by DATES: Issued on 08/27/2017. October 10, 2017, until on or about the disaster: Physical Loan Application Deadline January 14, 2018, and at possible Primary Counties (Physical Damage and Date: 10/24/2017. additional exhibitions or venues yet to Economic Injury Loans): Bee, Economic Injury (EIDL) Loan be determined, is in the national Goliad, Kleberg, Nueces, Refugio, Application Deadline Date: 05/25/2018. interest. ADDRESSES: Submit completed loan San Patricio. FOR FURTHER INFORMATION CONTACT: For applications to: U.S. Small Business Contiguous Counties (Economic Injury further information, including a list of Administration, Processing and Loans Only): the imported objects, contact Elliot Chiu Disbursement Center, 14925 Kingsport Texas: Aransas, Brooks, Calhoun, in the Office of the Legal Adviser, U.S. Road, Fort Worth, TX 76155. Dewitt, Jim Wells, Karnes, Kenedy, Department of State (telephone: 202– Live Oak, Victoria. FOR FURTHER INFORMATION CONTACT: A. 632–6471; email: section2459@ The Interest Rates are: Escobar, Office of Disaster Assistance, state.gov). The mailing address is U.S. U.S. Small Business Administration, Department of State, L/PD, SA–5, Suite Percent 409 3rd Street SW., Suite 6050, 5H03, Washington, DC 20522–0505. Washington, DC 20416, (202) 205–6734. For Physical Damage: SUPPLEMENTARY INFORMATION: The Homeowners with Credit Avail- SUPPLEMENTARY INFORMATION: The notice foregoing determinations were made able Elsewhere ...... 3.500 of the President’s major disaster pursuant to the authority vested in me Homeowners without Credit declaration for the State of Texas, dated by the Act of October 19, 1965 (79 Stat. Available Elsewhere ...... 1.750 08/25/2017, is hereby amended to 985; 22 U.S.C. 2459), E.O. 12047 of Businesses with Credit Avail- include the following areas as adversely March 27, 1978, the Foreign Affairs able Elsewhere ...... 6.610 affected by the disaster: Reform and Restructuring Act of 1998 Businesses without Credit Primary Counties (Physical Damage and Available Elsewhere ...... 3.305 (112 Stat. 2681, et seq.; 22 U.S.C. 6501 Non-Profit Organizations with Economic Injury Loans): Aransas, note, et seq.), Delegation of Authority Credit Available Elsewhere ... 2.500 Brazoria, Calhoun, Chambers, Fort No. 234 of October 1, 1999, Delegation Non-Profit Organizations with- Bend, Galveston, Harris, Jackson, of Authority No. 236–3 of August 28, out Credit Available Else- Liberty, Matagorda, Victoria, 2000 (and, as appropriate, Delegation of where ...... 2.500 Wharton Authority No. 257–1 of December 11,

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2015). I have ordered that Public Notice Certificate under title 14 Code of Engineers under section 404 of the of these determinations be published in Regulations, Part 139. A Part 139 Clean Water Act. the Federal Register. Airport Operating Certificate allows the In accordance with FAA Order airport to accommodate scheduled 1050.1F, where major steps toward Alyson Grunder, passenger-carrying operations, implementation of a proposed action Deputy Assistant Secretary for Policy, Bureau commonly referred to as ‘‘commercial have not commenced within 3 years of Educational and Cultural Affairs, from the date of the issuance of a Department of State. service.’’ In November 2013, several Paulding County residents filed a FONSI, a written reevaluation may be [FR Doc. 2017–18821 Filed 9–5–17; 8:45 am] Petition for Review in the United States prepared. In this case, the general BILLING CODE 4710–05–P Court of Appeals for the District of aviation apron has independent utility, Columbia of two categorical exclusions is not connected to the Part 139 Airport issued by GDOT for airfield Operating Certificate, and is therefore DEPARTMENT OF TRANSPORTATION improvement projects. The petitioners not required by the National argued that the two projects were Environmental Policy Act or the terms Federal Aviation Administration connected to the proposed introduction of the 2013 settlement agreement to be Notice of Modification to Previously of commercial service at PUJ. On included in the EA. Accordingly, the Published Notice of Intent To Prepare December 23, 2013, the petitioners and current EA will no longer consider an Environmental Assessment the FAA entered into a settlement direct impacts of the Terminal Area agreement under which the FAA agreed Apron Expansion Project, but will AGENCY: Federal Aviation to prepare, at a minimum, an EA for the address potential cumulative impacts Administration (FAA), DOT. proposed Part 139 Airport Operating associated with the project. ACTION: Notice. Certificate and all connected actions. To satisfy the requirements of FAA The FAA is currently in the process of Order 1050.1F, GDOT has prepared a SUMMARY: The FAA is publishing this preparing that EA (current EA). While written reevaluation of the project, and notice to advise the public of a the settlement agreement contemplated FAA concurred. The written modification to the Notice of Intent to that the current EA would include all reevaluation is available for review at Prepare an Environmental Assessment actions connected with the proposed PUJ and online at http:// (EA) and notice of opportunity for issuance of the Part 139 Airport www.paulding.gov/DocumentCenter/ public comment published in the Operating Certificate, the FAA opted to View/5935. Federal Register on April 21, 2014. include in the current EA all reasonably Issued in Atlanta, Georgia, on August 28, Specifically, FAA is withdrawing a foreseeable airport improvement 2017. Terminal Area Apron Expansion Project projects, whether or not connected with Larry F. Clark, from the scope of the EA, and the the proposed introduction of project will be subject instead to a Manager, Atlanta Airports District Office, commercial service. Southern Region. discrete environmental review. On April 21, 2014, the FAA published [FR Doc. 2017–18920 Filed 9–5–17; 8:45 am] FOR FURTHER INFORMATION CONTACT: a ‘‘Notice of Intent to Prepare an BILLING CODE 4910–13–P Parks Preston, Assistant Manager, Environmental Assessment and Notice Atlanta Airports District Office, 1701 of Opportunity for Public Comment’’ in Columbia Avenue, Room 220, College the Federal Register, 79 FR 22177. The DEPARTMENT OF TRANSPORTATION Park, Georgia 30337–2747, (404) 305– Notice of Intent identified all of the 6799. projects intended to be reviewed in the Federal Aviation Administration SUPPLEMENTARY INFORMATION: Paulding EA, including ‘‘construct[ion of] a Northwest Atlanta Airport (PUJ) is terminal area expansion to provide Public Notice for Waiver of located outside Atlanta, Georgia, in the hangars and apron area’’ which is the Aeronautical Land-Use Assurance town of Dallas, Georgia. Paulding Terminal Area Apron Expansion AGENCY: Federal Aviation County and the Paulding County Project. FAA Order 1050.1F, Administration (FAA), DOT. Environmental Impacts: Policies and Airport Authority (PCAA) own the ACTION: Notice of intent of waiver with Procedures, requires that where major airport. PUJ opened in 2008 and is respect to land; Indianapolis steps toward implementation of the designated as a general aviation airport. International Airport, Indianapolis, proposed action have not commenced An EA for the construction of PUJ was Indiana. completed in 2005. The 2005 EA within 3 years from the date of the evaluated the future Terminal Area issuance of an environmental finding, SUMMARY: The FAA is considering a Apron Expansion. In 2011, PUJ owners further environmental review is proposal to change 22.111 acres of redesigned the Terminal Area Apron required. The current EA was to include airport land from aeronautical use to Expansion and conducted a the Terminal Area Apron Expansion non-aeronautical use and to authorize supplemental environmental assessment Project because major steps toward the sale of airport property located at (SEA) to consider potential implementation of the project had not Indianapolis International Airport, environmental impacts associated with been undertaken since the issuance of Indianapolis, Indiana. The the revised project. The Georgia the FONSI in March 2011. aforementioned land is not needed for Department of Transportation (GDOT), PUJ owners now desire to move aeronautical use. The future use of the as authorized by the FAA’s State Block forward with the Terminal Area Apron property is for commercial and Grant Program, issued a Finding of No Expansion Project more expeditiously industrial development. The land is Significant Impact (FONSI), and the than will be possible if the project located on the northwest corner of FAA issued a Record of Decision on the remains within the scope of the current Ronald Reagan Parkway and Stafford SEA in March 2011. EA. The primary need for expediting Road. In September 2013, the PCAA this project is the approaching There are no impacts to the airport by submitted an application to the FAA expiration of a permit for the project allowing the Indianapolis Airport requesting an Airport Operating issued by the U.S. Army Corps of Authority to dispose of the property.

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DATES: Comments must be received on Legal Description North line of said described land and or before October 6, 2017. Part of the Northwest Quarter of parallel with the South line of said Northwest Quarter 125.00 feet to the ADDRESSES: Documents are available for Section 32, Township 15 North, Range Northwest corner thereof; thence South review by appointment at the FAA 2 East in Hendricks County, Indiana, 00 degrees 23 minutes 29 seconds West Chicago Airports District Office, more particularly described as follows: along the West line of said described Melanie Myers, Program Manager, 2300 Commencing at a mag nail with land and parallel with the East line of East Devon Avenue, Des Plaines, IL washer stamped ‘‘Cripe Firm No. 0055’’ said Northwest Quarter 236.93 feet to ‘‘a 60018 Telephone: (847) 294–7525/Fax: (hereinafter referred to as ‘‘a mag nail’’) rebar’’ on the North right of way line of (847) 294–7046 and Eric Anderson, at the Southeast corner of the Northwest Stafford Road (the next four courses are Director of Properties, Indianapolis Quarter of said Section 32; thence North along said North right of way line); (1) Airport Authority, 7800 Col. H. Weir 00 degrees 23 minutes 29 seconds East thence South 89 degrees 59 minutes 55 Cook Memorial Drive, Indianapolis, (assumed bearing) along the East line of seconds East parallel with the said Indiana 46241 (317) 487–5135 said Northwest Quarter 117.10 feet; thence North 89 degrees 36 minutes 38 South line 132.72 feet to ‘‘a rebar’’; (2) Written comments on the Sponsor’s seconds West 16.50 feet to a 5⁄8 inch thence South 81 degrees 28 minutes 04 request must be delivered or mailed to: diameter rebar with a yellow plastic cap seconds East 132.70 feet to ‘‘a rebar’’; (3) Melanie Myers, Program Manager, stamped ‘‘Cripe Firm No. 0055’’ thence South 89 degrees 59 minutes 55 Federal Aviation Administration, (hereinafter referred to as ‘‘a rebar’’) on seconds East parallel with the said Chicago Airports District Office, 2300 the West right of way line of Ronald South line 574.15 feet to ‘‘a rebar’’; (4) East Devon Avenue, Des Plaines, Illinois Reagan Parkway and the POINT OF thence North 59 degrees 12 minutes 36 60018 Telephone Number: (847) 294– BEGINNING; thence North 00 degrees seconds East 49.52 feet to the POINT OF 7525/FAX Number: (847) 294–7046. 23 minutes 29 seconds East along the BEGINNING, containing 22.111 acres, FOR FURTHER INFORMATION CONTACT: said West right of way line and parallel more or less Melanie Myers, Program Manager, to the said East line 1250.78 feet to the Issued in Des Plaines, Illinois on August Federal Aviation Administration, North line of land described in Deed 29, 2017. Chicago Airports District Office, 2300 Record 301, page 852, recorded in the Carlton Lambiasi, East Devon Avenue, Des Plaines, IL Office of the Recorder of Hendricks Acting Manager, Chicago Airports District 60018 Telephone: (847) 294–7525/Fax: County, Indiana; thence North 89 Office, FAA, Great Lakes Region. (847) 294–7046. degrees 59 minutes 55 seconds West [FR Doc. 2017–18845 Filed 9–5–17; 8:45 am] SUPPLEMENTARY INFORMATION: In parallel with the South line of said BILLING CODE 4910–13–P accordance with section 47107(h) of Northwest Quarter 755.60 feet to the Title 49, United States Code, this notice Northwest corner of land described in is required to be published in the Deed Record 301, page 406, recorded in DEPARTMENT OF TRANSPORTATION said Recorder’s Office and ‘‘a rebar’’; Federal Register 30 days before Federal Highway Administration modifying the land-use assurance that thence South 00 degrees 23 minutes 29 seconds West parallel with the East line requires the property to be used for an Notice of Final Federal Agency Actions of said Northwest Quarter 723.00 feet to aeronautical purpose. on Proposed Highway in Alaska the Southwest corner of land described The vacant land consists of fifteen in Deed Record 303, page 419, recorded AGENCY: Federal Highway (15) original airport acquired parcels. in said Recorder’s Office; thence South Administration (FHWA), DOT. These parcels were acquired under 89 degrees 59 minutes 55 seconds East ACTION: Notice of Limitations on Claims grants 3–18–0038–17, 3–18–0038–18, 3– along the South line of said described 18–0038–23, 3–18–0038–24, 3–18– for Judicial Review of Actions by the land and parallel with the South line of FHWA and other Federal agencies. 0038–25, 3–18–0038–45, or without said Northwest Quarter 191.30 feet to federal participation. The future use of the Northwest corner of land described SUMMARY: This notice announces actions the property is for commercial and in Deed Record 312, page 3, recorded in taken by the FHWA and other federal industrial development. said Recorder’s Office and ‘‘a rebar’’; agencies that are final. The actions The disposition of proceeds from the thence South 00 degrees 23 minutes 29 relate to a proposed highway project, sale of the airport property will be in seconds West along the West line of said Seward Highway Milepost 75 to 90 accordance with FAA’s Policy and described land and parallel with the Road and Bridge Rehabilitation, in the Procedures Concerning the Use of East line of said Northwest Quarter Kenai Peninsula Borough and the Airport Revenue, published in the 150.00 feet to the North line of land Municipality of Anchorage, Alaska. Federal Register on February 16, 1999 described in Deed Record 299, page 605, Those actions grant licenses, permits, (64 FR 7696). recorded in said Recorder’s Office; and approvals for the project. This notice announces that the FAA thence North 89 degrees 59 minutes 55 DATES: By this notice, the FHWA is is considering the release of the subject seconds West along said North line and advising the public of final agency airport property at the Indianapolis parallel with the South line of said action subject to 23 U.S.C. 139(l)(1). A International Airport from federal land Northwest Quarter 191.30 feet to the claim seeking judicial review of the covenants, subject to a reservation for Northwest corner thereof; thence South Federal agency actions on the listed continuing right of flight as well as 00 degrees 23 minutes 29 seconds West highway project will be barred unless restrictions on the released property as along the West line of said described the claim is filed on or before February required in FAA Order 5190.6B section land and parallel with the East line of 5, 2018. If the Federal law that 22.16. Approval does not constitute a said Northwest Quarter 146.52 feet to authorizes judicial review of a claim commitment by the FAA to financially the Northeast corner of land described provides a time period of less than 150 assist in the disposal of the subject in Instrument No. 199800012353, days for filing such claim, then that airport property nor a determination of recorded in said Recorder’s Office and shorter time period still applies. eligibility for grant-in-aid funding from ‘‘a rebar’’; thence North 89 degrees 59 FOR FURTHER INFORMATION CONTACT: Mr. the FAA. minutes 55 seconds West along the Henry Rettinger, Central Region Area

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Engineer, FHWA Alaska Division, P.O. (REA) issued pursuant to the National seq.]; Marine Mammal Protection Act of Box 21648, Juneau, Alaska 99802–1648; Environmental Policy Act. Key issues 1972, as amended [16 U.S.C. 1361 et office hours 8 a.m.–4:30 p.m. (AST), identified in the REA include a not seq.]; Fish and Wildlife Coordination phone (907) 586–7544; email likely to adversely affect determination Act, as amended [16 U.S.C. 661 et seq.]; [email protected]. You may also for the Cook Inlet Beluga Whale and Migratory Bird Treaty Act [16 U.S.C. contact Brian Elliott, DOT&PF Central designated Critical Habitat, construction 703–712]; Anadromous Fish Region Environmental Manager, Alaska mitigation measures to protect the Cook Conservation Act [16 U.S.C. 757a–757g]; Department of Transportation and Inlet Beluga Whale and designated Magnuson-Stevenson Fishery Public Facilities, 4111 Aviation Drive, Critical Habitat, identification and Conservation and Management Act, as P.O. Box 196900, Anchorage, Alaska protection of Section 4(f) historic and amended [16 U.S.C. 1801 et seq.]. 99519–6900; office hours 7:30 a.m.–5 recreational properties within the 7. Historic and Cultural Resources: p.m. (AST), phone (907) 269–0539, project corridor, and temporary Section 106 of the National Historic email [email protected]. construction effects on local businesses Preservation Act of 1966, as amended SUPPLEMENTARY INFORMATION: Notice is and tourism. Measures to avoid, [54 U.S.C. 306108]; Archeological hereby given that FHWA has taken final minimize, and/or mitigate adverse Resources Protection Act of 1977 [16 agency actions subject to 23 U.S.C. environmental effects are included in U.S.C. 470aa et seq.]; Archeological and 139(l)(1) by issuing licenses, permits, the REA and associated Finding of No Historic Preservation Act [54 U.S.C. and approvals for the proposed highway Significant Impact (FONSI). 312501 et seq.]. project, Seward Highway Milepost 75 to The actions by the Federal agencies, 8. Social and Economic: Title VI of 90 Road and Bridge Rehabilitation, in and the laws under which such actions the Civil Rights Act of 1964, as amended the Kenai Peninsula Borough and the were taken, are described in the REA, [42 U.S.C. 2000d et seq.]; Farmland Municipality of Anchorage, Alaska. The Section 4(f) evaluations, and FONSI, Protection Policy Act (FPPA) [7 U.S.C. proposed project would improve the issued on June 6, 2017, and in other 4201 et seq.]. 9. Executive Orders: E.O. 13186— Seward Highway between Milepost 75 documents in the FHWA project Responsibilities of Federal Agencies to and Milepost 90 as follows: records. The REA, Section 4(f) Protect Migratory Birds; E.O. 11514— 1. Resurface the entire 15-mile evaluations, FONSI, and other project Protection and Enhancement of highway corridor with asphalt and records are available by contacting Environmental Quality; E.O. 11990— reconstruct its subbase where necessary; FHWA or the State of Alaska Protection of Wetlands; E.O. 11988— 2. Construct auxiliary passing lanes in Department of Transportation & Public Floodplain Management; E.O. 13112— three locations (in total, approximately Facilities at the addresses provided Invasive Species; E.O. 12898—Federal 5 miles of new northbound passing above. The EA and FONSI documents Actions to Address Environmental lanes and 5 miles of new southbound can be viewed and downloaded from Justice in Minority Populations and passing lanes will be constructed); the project Web site at http:// Low-Income Populations. 3. Realign and reprofile the MP 88 www.sewardhighway75to90.com or horizontal and vertical curves; viewed at 4111 Aviation Avenue, (Catalog of Federal Domestic Assistance 4. Realign the Portage curve, which Anchorage, Alaska 99519. Program Number 20.205, Highway Planning This notice applies to all Federal would make at-grade improvements at and Construction. The regulations agency decisions as of the issuance date implementing Executive Order 12372 the Portage Glacier Road intersection of this notice and all laws under which regarding intergovernmental consultation on and improve recreation access in the such actions were taken, including but Federal programs and activities apply to this vicinity; not limited to: program.) 5. Construct two parking areas near 1. General: National Environmental Authority: 23 U.S.C. 139(l)(1). MP 81.5 and MP 83 to access the area Policy Act (NEPA) [42 U.S.C. 4321 et Issued on: August 29, 2017. for hooligan dipnet fishing, the parking seq.]; Council on Environmental Quality Sandra A. Garcia-Aline, lots will be connected by a new paved Regulations [40 CFR parts 1500 et seq.]; path; Federal-Aid Highway Act of 1970 [23 Division Administrator, Juneau, Alaska. 6. Replace or reconstruct most U.S.C. 109]; MAP–21, the Moving [FR Doc. 2017–18901 Filed 9–5–17; 8:45 am] existing driveways; Ahead for Progress in the 21st Century BILLING CODE 4910–RY–P 7. Replace eight bridges (at Glacier Act [Pub. L. 112–141]. Creek, Virgin Creek, Peterson Creek, 2. Air: Clean Air Act [42 U.S.C. 7401 Twentymile River, Portage Creek No. 1, et seq.]. DEPARTMENT OF TRANSPORTATION Portage Creek No. 2, Placer River, and 3. Land: Section 4(f) of the Federal Motor Carrier Safety Placer River Overflow) and rehabilitate Department of Transportation Act of Administration one bridge (at Ingram Creek); 1966 [49 U.S.C. 303]; Land and Water 8. Where possible, replace and reduce Conservation Fund (LWCF) [54 U.S.C. [Docket No. FMCSA–2007–27387; FMCSA– the existing guardrail length; 200301 et seq.]. 2008–0137; FMCSA–2009–0122; FMCSA– 9. Improve drainage by replacing or 4. Noise: Noise Control Act of 1972 2011–0143; FMCSA–2013–0018; FMCSA– reconfiguring culverts; and [42 U.S.C. 4901 et seq.]. 2015–0060; FMCSA–2015–0061] 10. Replace/install miscellaneous 5. Wetlands and Water Resources: maintenance/intelligent transportation Clean Water Act (Section 401 and Qualification of Drivers; Exemption system features such as: Road Weather Section 404) [33 U.S.C. 1251 et seq.] Applications; Diabetes Information Systems, Automatic Traffic (Federal Water Pollution Control Act of AGENCY: Federal Motor Carrier Safety Recorders, and avalanche protection 1972); Safe Drinking Water Act, as Administration (FMCSA), DOT. gun pads. amended [42 U.S.C. 300f et seq.]; ACTION: Notice of final disposition. The environmental effects of the Coastal Zone Management Act [16 Seward Highway Milepost 75 to 90 U.S.C. 1451 et seq.]; Wild and Scenic SUMMARY: FMCSA announces its Road and Bridge Rehabilitation project Rivers Act [16 U.S.C. 1271 et seq.]. decision to renew exemptions for 134 are evaluated and described in the 6. Wildlife: Endangered Species Act of individuals from its prohibition in the Revised Environmental Assessment 1973, as amended [16 U.S.C. 1531 et Federal Motor Carrier Safety

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Regulations (FMCSRs) against persons renewing these exemptions would As of July 7, 2017, and in accordance with insulin-treated diabetes mellitus achieve a level of safety equivalent to or with 49 U.S.C. 31136(e) and 31315, the (ITDM) from operating commercial greater than the level that would be following 33 individuals have satisfied motor vehicles (CMVs) in interstate achieved by complying with the current the renewal conditions for obtaining an commerce. The exemptions enable these regulation 49 CFR 391.41(b)(3). exemption from the rule prohibiting individuals with ITDM to continue to The physical qualification standard drivers with ITDM from driving CMVs operate CMVs in interstate commerce. for drivers regarding diabetes found in in interstate commerce (80 FR 31949; 80 DATES: Each group of renewed 49 CFR 391.41(b)(3) states that a person FR 49299): exemptions were applicable on the is physically qualified to drive a CMV Craig S. Barton (UT) dates stated in the discussions below if that person: Kevin H. Bennerson (NY) and will expire on the dates stated in Has no established medical history or Eugene Butler (AR) the discussions below. clinical diagnosis of diabetes mellitus Allen D. Clise (MD) FOR FURTHER INFORMATION CONTACT: Ms. currently requiring insulin for control. John W. Dillard (TX) Christine A. Hydock, Chief, Medical III. Discussion of Comments Derek P. Elkins (AZ) Programs Division, 202–366–4001, Joshua J. Ellett (IN) [email protected], FMCSA, FMCSA received one comment in this Raymond C. Erschen (PA) Department of Transportation, 1200 preceding. Irenee Muluh stated that she Dominic C. Frisina (PA) New Jersey Avenue SE., Room W64– is in favor of renewing the exemptions David D. Gambill (NC) 224, Washington, DC 20590–0001. for all 134 drivers in this notice if they Alan G. Gladhill (MD) Office hours are from 8:30 a.m. to 5:30 have remained compliant with the Richard A. Hall (IL) p.m., e.t., Monday through Friday, standards of the program. Craig L. Jackson (WY) except Federal holidays. If you have IV. Conclusion Wayne A. Jadezuk (NY) questions regarding viewing or Lee L. Kropp (WI) Based upon its evaluation of the 134 submitting material to the docket, David E. Lawton (MA) renewal exemption applications and contact Docket Services, telephone (202) Babe A. Lisai (NY) comments received, FMCSA announces 366–9826. Adrian Martinez-Alba (TX) its’ decision to exempt the following Daniel Mendolia (NY) SUPPLEMENTARY INFORMATION: drivers from the rule prohibiting drivers Timothy W. Olden (NJ) I. Electronic Access with ITDM from driving CMVs in John Palermo (NJ) interstate commerce in 49 CFR You may see all the comments online John N. Peterson (WI) 391.64(3): Robert L. Potter, Jr. (NH) through the Federal Document As of July 2, 2017, and in accordance Management System (FDMS) at: http:// Todd M. Raether (NE) with 49 U.S.C. 31136(e) and 31315, the Michael A. Ramsey (CT) www.regulations.gov. following 24 individuals have satisfied Docket: For access to the docket to Peter B. Rzadkowski, Jr. (IL) the renewal conditions for obtaining an Michael A. Scavotto (MA) read background documents or exemption from the rule prohibiting comments, go to http// Steven J. Schmitt (MN) drivers with ITDM from driving CMVs Douglas J. Smith (NY) www.regulations.gov and/or Room in interstate commerce (72 FR 27625; 72 Carmen M. Stellitano (PA) W12–140 on the ground level of the FR 36101; 78 FR 26419; 78 FR 39825): Andy L. Strommenger (CO) West Building, 1200 New Jersey Avenue Robert T. Warriner (NJ) SE., Washington, DC, between 9 a.m. Darrell L. Allen (MO) Ellis E. Wilkins (MA) and 5 p.m., e.t., Monday through Friday, Luis A. Alvarez (MD) except Federal holidays. Jeffery C. Badberg (NE) The drivers were included in docket Privacy Act: In accordance with 5 Kevin W. Bender (NY) number FMCSA–2015–0060. Their U.S.C. 553(c), DOT solicits comments Ricky N. Blankenship (UT) exemptions are applicable as of July 7, from the public to better inform its Ronnie T. Bledsoe (NC) 2017, and will expire on July 7, 2019. rulemaking process. DOT posts these Kevin E. Blythe (AR) As of July 23, 2017, and in accordance comments, without edit, including any Clayton J. Bragg (IN) with 49 U.S.C. 31136(e) and 31315, the personal information the commenter Jessie W. Burnett (KS) following 33 individuals have satisfied provides, to http://www.regulations.gov, Cary W. Chase (CO) the renewal conditions for obtaining an as described in the system of records Peggy A. Colbert (GA) exemption from the rule prohibiting notice (DOT/ALL–14 FDMS), which can Ernest R. Copeland (PA) drivers with ITDM from driving CMVs be reviewed at http://www.dot.gov/ Jerry L. Grimit (IA) in interstate commerce (80 FR 35705; 80 privacy. Robert J. Guilford (NY) FR 48393): Lucas C. Hansen (IA) Daniel E. Benes (WI) II. Background Bruce K. Harris (TX) William E. Blake (TX) On June 6, 2017, FMCSA published a Michael G. Lorelli (NY) Thomas M. Burns (NJ) notice announcing its decision to renew James M. McClarnon (RI) George W. Cahall (DE) exemptions for 134 individuals from the Franklin C. Perrin (IA) John T. Curry (TN) insulin-treated diabetes mellitus Douglas F. Reinke (WI) Christopher A. DiCioccio (CT) prohibition in 49 CFR 391.41(b)(3) to Timothy S. Seitz (IN) Johnny L. Emory (KS) operate a CMV in interstate commerce Daniel L. Smith (NE) Ike Gibbs (CA) and requested comments from the Randall J. Stoller (IL) Juan Gomez, Jr. (IA) public (82 FR 26222). The public Jeffrey A. Withers (MI) George A. Gross (NY) comment period ended on July 6, 2017 The drivers were included in one of Grover D. Johnson (NY) and one comment was received. the following docket numbers: FMCSA– Francis D. Judd (MA) As stated in the previous notice, 2007–27387; FMCSA–2013–0018. Their George S. Kean (NH) FMCSA has evaluated the eligibility of exemptions are applicable as of July 2, Yehuda Lauber (NY) these applicants and determined that 2017, and will expire on July 2, 2019. Kyle A. Mininger (AL)

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John T. Murchison, Jr. (TN) Lester J. Manis (MD) ADDRESSES: You may submit comments Axel J.M. Murphy (MN) Troy A. Martinson (WI) identified by DOT Docket ID Number Charles M. Naylis (PA) Richard L. Miller (OH) NHTSA–2017–0057 using any of the Craig J. Nelson (IL) Jerome A. Mjolsness (MN) following methods: Richard A. Nigro (NJ) Richard Murphy (NH) Electronic submissions: Go to http:// Thomas S. O’Brien (TX) Edward F. Murray (NY) www.regulations.gov and follow the on- Paul T. Ozbun (OK) Nicholas W. Pomnitz (NJ) line instructions for submitting Modesto F. Pedote (NY) Clayton M. Reynolds (WA) comments. David M. Pomeroy (IA) Brandon M. Ross (ND) Mail, Hand Delivery, or Courier: U.S. Matthew C. Preston (KY) Jeffrey S. SaintVincent (CA) Department of Transportation, 1200 Anthony A. Rachuy (MN) Patrick D. Schiller (MI) New Jersey Avenue SE., Docket Dwight B. Richardson (OK) Bruce D. Schmoyer (PA) Management Facility, M–30, Room James C. Rocco (NJ) Joseph E. Sobiech (WI) W12–140, Washington, DC 20590. Patrick J. Severance (NY) James L. Swedenburg (MN) Docket hours are 9 a.m. to 5 p.m., Billy L. Wagner (IL) Gary A. Sweeney (NY) Monday through Friday, except Federal Steven L. Wear (ND) Lawrence M. Tanner (NV) holidays; phone 202–647–5527. James T. Young (MI) Robert D. Tarkington (AK) FOR FURTHER INFORMATION CONTACT: Ms. David J. Zelhart (IL) Joshua C. Webb (AR) Amy Berning, Contracting Officer’s The drivers were included in docket The drivers were included in one of Representative, Office of Behavioral number FMCSA–2015–0061. Their the following docket numbers: FMCSA– Safety Research, National Highway exemptions are applicable as of July 23, 2008–0137; FMCSA–2009–0122. Their Traffic Safety Administration, 1200 New 2017, and will expire on July 23, 2019. exemptions are applicable as of July 28, Jersey Avenue SE., Washington, DC As of July 26, 2017, and in accordance 2017, and will expire on July 28, 2019. 20590. Ms. Berning’s phone number is with 49 U.S.C. 31136(e) and 31315, the In accordance with 49 U.S.C. 31315, 202–366–5587 and the email address is following ten individuals have satisfied each exemption will be valid for two [email protected]. the renewal conditions for obtaining an years from the effective date unless SUPPLEMENTARY INFORMATION: exemption from the rule prohibiting revoked earlier by FMCSA. The OMB Control Number: None. drivers with ITDM from driving CMVs exemption will be revoked if the Title: Drug Use by Drivers Arrested for in interstate commerce (76 FR 32012; 76 following occurs: (1) The person fails to Driving Under the Influence or Driving FR 44650): comply with the terms and conditions While Under the Influence of Drugs Teddy L. Beach (ND) of the exemption; (2) the exemption has Form Number: This collection of Franklin L. Bell (NE) resulted in a lower level of safety than information uses no standard forms. Jeffrey F. Borelli (OH) was maintained prior to being granted; Type of Request: Regular. Dale E. Burke (WA) or (3) continuation of the exemption Respondents—Under this proposed Boyd L. Croshaw (UT) would not be consistent with the goals effort, NHTSA will collect data from Derek Haagensen (MN) and objectives of 49 U.S.C. 31136 and approximately 1,000 drivers/ Todd J. Smith (NY) 31315. participants. Andrew C. Winsberg (WA) Issued on: August 25, 2017. Estimated time per Participant— Nathan E. Woodin (IL) Larry W. Minor, NHTSA estimates that participants will Vicky A. Yernesek (WI) Associate Administrator for Policy. spend an average of 15 minutes to The drivers were included in docket [FR Doc. 2017–18826 Filed 9–5–17; 8:45 am] complete the survey and provide the number FMCSA–2011–0143. Their BILLING CODE 4910–EX–P oral fluid specimen. The respondents exemptions are applicable as of July 26, would not incur any reporting cost or 2017, and will expire on July 26, 2019. record keeping burden from the data As of July 28, 2017, and in accordance DEPARTMENT OF TRANSPORTATION collection. with 49 U.S.C. 31136(e) and 31315, the Total Estimated Annual Burden following 34 individuals have satisfied National Highway Traffic Safety Hours: 250 hours per year. the renewal conditions for obtaining an Administration Frequency of Collection: Each exemption from the rule prohibiting participant will provide one oral fluid [U.S. DOT Docket No. NHTSA–2017–0057] drivers with ITDM from driving CMVs sample and respond to the survey in interstate commerce (73 FR 33144; 73 Reports, Forms, and Record Keeping questions only once during the study FR 43817; 74 FR 26467; 74 FR 37293): Requirements period. Jeromy B. Birchard (MN) Summary of Collection of Bradley M. Brown (TX) AGENCY: National Highway Traffic Information: This study will estimate Robert F. Browne III (NH) Safety Administration, DOT. the prevalence of drugs in drivers William M. Camp (GA) ACTION: Notice. arrested for impaired driving. The goal Robert F. Carter (IN) is to better understand the frequency of Scott A. Cary (NC) SUMMARY: In compliance with the alcohol, prescription, over-the-counter, Eugene W. Clark, Jr. (WI) Paperwork Reduction Act of 1995, this and illicit drugs, in impaired driving William D. Cornwell III (OH) notice announces that the Information arrests. Adam F. Demeter (NY) Collection Request (ICR) abstracted A minimum of 1,000 drivers arrested Brian P. Dionne (NH) below will be submitted to the Office of for impaired driving, who consent to Richard C. Dunn (CT) Management and Budget (OMB) for voluntarily participate, will provide an Donald K. Ennis (NC) review. The ICR describes the nature of oral fluid sample and respond to Larry A. Fritz (PA) the information collection and its interview questions. The oral fluid Jerret L. Gerber (WI) expected burden. sample provides information on the Alan L. Johnson (WA) DATES: Comments must be received on participant’s use of 50 or more drug(s). Richard B. Lorimer (MO) or before November 6, 2017. Trained researchers will ask

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participants questions regarding the drivers, to directly learn about drug complying if a statement is attached to demographics, driving, alcohol, and use, along with collecting self-report the gift tax return reporting the gift drug use. data. stating that a proceeding has been Data collection would take place over The data will be used to better commenced to reform the instrument to a six month period at two to three sites understand the prevalence of a variety comply with the requirements of the across the country. The research team of drugs in impaired drivers and better regulations. will coordinate with the local police understand risk factors for drug- Current Actions: There is no change departments and officials at these sites. impaired driving. in the paperwork burden previously There will be a private room at each Authority: 44 U.S.C. Section 3506(c)(2)(A). police department’s booking facility for approved by OMB. this study’s use. Issued in Washington, DC. Type of Review: Extension of a A police officer will briefly inform the Jeff Michael, currently approved collection. driver/potential participant of the Associate Administrator, Research and Affected Public: Individuals or opportunity to participate in a research Program Development. households. study sponsored by NHTSA. If the [FR Doc. 2017–18827 Filed 9–5–17; 8:45 am] driver is interested, a researcher will BILLING CODE 4910–59–P Estimated Number of Respondents: provide full information about the 200. study. If the driver is not interested, no Estimated Time per Respondent: 3 information will be collected on that DEPARTMENT OF THE TREASURY hour, 7 minutes. person. The researcher will highlight that participation is voluntary, the oral Internal Revenue Service Estimated Total Annual Burden fluid and survey responses will be Hours: 625. anonymous, and the participant may Proposed Collection; Comment The following paragraph applies to all stop the study at any time. The results Request for Sale of Residence From of the collections of information covered of the drug test and questionnaire will Qualified Personal Residence Trust by this notice: (T.D. 8743) not be provided to anyone outside of the An agency may not conduct or research team (including to the AGENCY: Internal Revenue Service (IRS), sponsor, and a person is not required to participant), and participation in the Treasury. respond to, a collection of information study will not be used to help or hurt unless the collection of information the individual in any related legal ACTION: The Internal Revenue Service displays a valid OMB control number. proceedings. All participants must be 18 (IRS), as part of its continuing effort to years of age or older to participate. reduce paperwork and respondent Books or records relating to a collection To provide an oral fluid sample, a burden, invites the general public and of information must be retained as long participant simply places a cotton swab other Federal agencies to take this as their contents may become material in their mouth for approximately 5 opportunity to comment on proposed in the administration of any internal minutes. The specimen will be sent to and/or continuing information revenue law. Generally, tax returns and an independent laboratory for analyses. collections, as required by the tax return information are confidential, The participant will also be provided a Paperwork Reduction Act of 1995. The as required by 26 U.S.C. 6103. self-report survey on alcohol and drug IRS is soliciting comments concerning Request for comments: Comments use, perceptions of impaired driving, information collection requirements submitted in response to this notice will related to Sale of Residence From and driving behaviors. This survey will be summarized and/or included in the Qualified Personal Residence Trust. take approximately 10 minutes and will request for OMB approval. All be conducted via an electronic tablet or, DATES: Written comments should be comments will become a matter of if needed, a paper copy will be public record. Comments are invited on: available. All data will be housed on a received on or before November 6, 2017 (a) Whether the collection of secure data collection and management to be assured of consideration. information is necessary for the proper site. No identifying participant ADDRESSES: Direct all written comments performance of the functions of the information will be collected or used in to L. Brimmer, Internal Revenue the study. Drug test results will only be Service, Room 6526, 1111 Constitution agency, including whether the associated with survey responses using Avenue NW., Washington, DC 20224. information shall have practical utility; a project subject code. Requests for additional information or (b) the accuracy of the agency’s estimate Description of the Need for the copies of the regulation should be of the burden of the collection of Information and Proposed Use of the directed to Taquesha Cain, Room 6526, information; (c) ways to enhance the Information: The purpose of this study 1111 Constitution Avenue NW., quality, utility, and clarity of the is to examine the drug presence and Washington, DC 20224, or through the information to be collected; (d) ways to drug use characteristics of drivers internet at [email protected]. minimize the burden of the collection of arrested for impaired driving. While SUPPLEMENTARY INFORMATION: Title: Sale information on respondents, including there is extensive research on alcohol- of Residence From Qualified Personal through the use of automated collection impaired driving, significantly less is Residence Trust. techniques or other forms of information known about the prevalence and risk OMB Number: 1545–1485. technology; and (e) estimates of capital factors of over-the-counter, prescription, Regulation Project Number: T.D. 8743 or start-up costs and costs of operation, and illegal drug-positive driving. A Abstract: Internal Revenue Code maintenance, and purchase of services significant reason for this lack of section 2702(a)(3) provides special to provide information. information is that impaired drivers favorable valuation rules for valuing the Approved: August 29, 2017. with alcohol in their system are rarely gift of a personal residence trust. tested for other drugs and, when tested, Regulation section 25.2702–5(a)(2) L. Brimmer, are only tested for a few drugs. To provides that if the trust fails to comply Senior Tax Analyst. address this knowledge gap, this study with the requirements contained in the [FR Doc. 2017–18839 Filed 9–5–17; 8:45 am] will obtain a biological specimen from regulations, the trust will be treated as BILLING CODE 4830–01–P

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DEPARTMENT OF THE TREASURY Kenneth C. Corbin, Commissioner, Scott E. Irick, Director, Examination Wage & Investment Headquarters, Small Business/Self- Internal Revenue Service Brenda A. Dial, Director, Examination, Employed Small Business/Self-Employed Sharon C. James, Associate Chief Members of Senior Executive Service Nanette M. Downing, Assistant Deputy Information Officer, Cybersecurity, Performance Review Boards Commissioner, Government Entities/ Information Technology AGENCY: Internal Revenue Service (IRS), Shared Service, Tax Exempt & Robin D. Jenkins, Director, Collection— Department of the Treasury (Treasury). Government Entities Campus, Small Business/Self- Pamela Drenthe, Director, Examination Employed ACTION: Notice. Planning and Performance Analysis, Tracy A. Keeter, Director, Enterprise SUMMARY: The purpose of this notice is Small Business/Self-Employed Technology Implementation, to publish the names of those IRS Alain Dubois, Deputy Chief, Financial Information Technology employees who will serve as members Officer Andrew J. Keyso Jr., Chief of Staff on IRS’s Fiscal Year 2017 Senior John C. Duder, Project Director, Deputy Edward T. Killen, Chief Privacy Officer, Executive Service (SES) Performance Commissioner for Services and Privacy, Governmental Liaison and Review Boards. Enforcement Disclosure Elizabeth A. Dugger, Assistant Deputy DATES: Terry Lemons, Chief, Communications This notice is effective Commissioner for Operations Support September 1, 2017. & Liaison Kimberly A. Edwards, Director, Western Sunita B. Lough, Commissioner, Tax FOR FURTHER INFORMATION CONTACT: Compliance, Large Business & Exempt & Government Entities Cheryl Huffman, IRS, 250 Murall Drive, International William H. Maglin II, Associate Chief Kearneysville, WV 25430, (304) 579– Dennis A. Figg, Director, Program and Financial Officer for Financial 6987. Business Solutions, Large Business & Management SUPPLEMENTARY INFORMATION: Pursuant International Paul J. Mamo, Director, Online Services to 5 U.S.C. 4314(c)(4), this notice Nikole C. Flax, Deputy Chief, Appeals Lee D. Martin, Director, Whistleblower’s announces the appointment of members John D. Fort, Chief, Criminal Office to the IRS’s SES Performance Review Investigation Erick Martinez, Director of Field Boards. The names and titles of the Karen L. Freeman, Deputy Chief Operations—Northern Area, Criminal executives serving on the boards are as Information Officer for Operations, Investigation follows: Information Technology Ivy S. McChesney, Director, Silvana G. Garza, Chief Information Examination—Ogden, Small Kirsten B. Wielobob, Deputy Officer, Information Technology Business/Self-Employed Commissioner for Services and Ursula S. Gillis, Chief, Financial Officer Kevin Q. McIver, Chief, Agency-Wide Enforcement Linda K. Gilpin, Associate Chief Shared Services Jeffrey J. Tribiano, Deputy Information Officer, Enterprise IT Commissioner for Operations Support Program Management Office, Tina D. Meaux, Assistant Deputy David P. Alito, Deputy Division Information Technology Commissioner Compliance Commissioner, Wage & Investment Dietra D. Grant, Director, Customer Integration, Large Business & Dretha M. Barham, Director, Operations Assistance, Relationships and International Support, Small Business/Self- Education, Wage & Investment Mary E. Murphy, Commissioner, Small Employed Darren J. Guillot, Director, Collection— Business/Self-Employed Robert J. Bedoya, Director, Submission Field, Small Business/Self-Employed Frank A. Nolden, Director, Stakeholder, Processing, Information Technology Valerie Gunter, Director, Media & Partnerships, Education & Michael C. Beebe, Director, Return Publications, Wage & Investment Communication, Wage & Investment Integrity and Compliance Services, Daniel S. Hamilton, Associate Chief Douglas W. O’Donnell, Commissioner, Wage & Investment Information Officer, Enterprise Large Business & International E. Faith Bell, Deputy IRS Human Capital Services, Information Technology Nina E. Olson, National Taxpayer Officer Donna C. Hansberry, Chief, Appeals Advocate Thomas A. Brandt, Chief Risk Officer Barbara Harris, Director, Northeastern Kaschit D. Pandya, Deputy Associate Linda J. Brown, Director Submission Compliance Practice Area, Large Chief Information Officer, Enterprise Processing, Wage & Investment Business & International Operations, Information Technology Phyllis Brown, Director, Collection- Nancy E. Hauth, Director, Examination Holly O. Paz, Director, Pass Through Headquarters, Small Business/Self- Field, Small Business/Self-Employed Entities, Large Business & Employed Mary R. Hernandez, Associate Chief International Carol A. Campbell, Director, Return Information Officer, Enterprise Richard A. Peterson, Senior Advisor/ Preparer Office Operations, Information Technology Technology Advisor, Deputy John V. Cardone, Director, Withholding Benjamin D. Herndon, Director, Commissioner for Services and and International Individual Research, Applied, Analytics & Enforcement Compliance, Large Business & Statistics Mary S. Powers, Director, Operations International John E. Hinding, Director, Cross Border Support, Wage & Investment Robert Choi, Director, Employee Plans, Activities Practice Area, Large Scott B. Prentky, Director, Collection, Tax Exempt & Government Entities Business & International Small Business/Self-Employed Elia I. Christiansen, Executive Director, David W. Horton, Deputy Robert A. Ragano, Deputy, Associate Office of Equity, Diversity & Inclusion Commissioner, Tax Exempt & Chief Information Officer for James P. Clifford, Director, Customer Government Entities Applications Development, Account Services, Wage & Investment Cecil T. Hua, Director, Infrastructure Information Technology Katherine M. Coffman, IRS Human Services, Information Technology Tamera L. Ripperda, Deputy Capital Officer Eric C. Hylton, Deputy Chief, Criminal Commissioner, Small Business/Self- Amelia C. Colbert, Acting Chief of Staff Investigation Employed

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Kathy J. Robbins, Director, Enterprise Development, Information Shanna R. Webbers, Chief Procurement Activities, Large Business & Technology Officer International Susan Simon, Director, Field Stephen A. Whitlock, Director, Office of Richard L. Rodriguez, Director, Assistance, Wage & Investment Professional Responsibility Facilities Management and Security Harrison Smith, Deputy Chief Services, Agency-Wide Shared Procurement Officer Lavena B. Williams, Director, Eastern Services Tommy A. Smith, Associate Chief Compliance, Large Business & Rene S. Schwartzman, Deputy Director Information Officer, Strategy and International Online Services and IRS Identity Planning, Information Technology Johnny E. Witt, Deputy Director, Marla L. Somerville, Deputy Chief Assurance Executive Affordable Care Act Rosemary Sereti, Deputy Commissioner, Information Officer for Strategy and Large Business & International Modernization, Information This document does not meet the Theodore D. Setzer, Assistant Deputy Technology Treasury’s criteria for significant Commissioner International, Large Carolyn A. Tavenner, Director, regulations. Business & International Affordable Care Act Verline A. Shepherd, Associate Chief Kathryn D. Vaughan, Director, Jeffrey J. Tribiano, Information Officer for User and Examination—Campus, Small Deputy Commissioner for Operations Network Services, Information Business/Self-Employed Support, Internal Revenue Service. Technology Margaret Von Lienen, Director, Exempt [FR Doc. 2017–18840 Filed 9–5–17; 8:45 am] Nancy A. Sieger, Associate Chief Organizations, Tax Exempt & BILLING CODE 4830–01–P Information Officer for Applications Government Entities

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Part II

The President

Proclamation 9633—National Alcohol and Drug Addiction Recovery Month, 2017

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Federal Register Presidential Documents Vol. 82, No. 171

Wednesday, September 6, 2017

Title 3— Proclamation 9633 of August 31, 2017

The President National Alcohol and Drug Addiction Recovery Month, 2017

By the President of the United States of America

A Proclamation During National Alcohol and Drug Addiction Recovery Month, we stand with the millions of Americans in recovery from alcohol and drug addiction, and reaffirm our commitment to support those who are struggling with addiction, and their families and loved ones. Substance abuse robs Americans of their potential, shatters their families, and tears apart our communities. My Administration is committed to lifting our Nation from this tragic reality. Substance addiction affects people of every class, creed, and color. More than 20 million Americans are addicted to alcohol or other drugs, and countless more lives have been touched as a consequence of substance abuse. Together, however, we can fight drug and alcohol abuse. This month, we emphasize to all those suffering that recovery is possible. My Administration is taking a proactive approach to support State and local communities as they work on the front lines to prevent substance use and addiction and to promote recovery. To date, we have dedicated more than $500 million to strengthening prevention programs, expanding access to evidence-based addiction treatment, and building networks of recovery support services across our Nation. And earlier this year, I established the President’s Commis- sion on Combating Drug Addiction and the Opioid Crisis to help guide the Federal Government’s response to drug abuse and drug addiction, with a particular focus on the opioid epidemic that is currently afflicting our country. Solving our Nation’s drug and alcohol problems requires both a strong public health response and a strong public safety response that stems the flow of illicit drugs into our communities. I have, therefore, requested $2.6 billion in my 2018 budget proposal for border security and infrastructure that will improve our ability to protect Americans and the homeland from the dangers of drug trafficking. During National Alcohol and Drug Addiction Recovery Month, and through- out the year, let us remember those who have bravely conquered their addiction. We also pray for those currently suffering so they may, through effective treatment and the strength of family and friends, transform their lives. Finally, let us also thank the family members, friends, and healthcare providers who provide much-needed assistance, encouragement, and love to support Americans in recovery. NOW, THEREFORE, I, DONALD J. TRUMP, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim September 2017 as National Alcohol and Drug Addiction Recovery Month. I call upon the people of the United States to observe this month with appropriate programs, ceremonies, and activities.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of August, in the year of our Lord two thousand seventeen, and of the Independence of the United States of America the two hundred and forty- second.

[FR Doc. 2017–19046 Filed 9–5–17; 11:15 am] Billing code 3295–F7–P

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Reader Aids Federal Register Vol. 82, No. 171 Wednesday, September 6, 2017

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. 33 CFR Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: 100...... 41886 117 ...... 41519, 41520, 41887, The United States Government Manual 741–6000 9632...... 42019 9633...... 42231 41889, 41891, 42032 Other Services 165 ...... 41521, 41893, 42033, Electronic and on-line services (voice) 741–6020 7 CFR 42035 Privacy Act Compilation 741–6050 301...... 41825 Proposed Rules: Public Laws Update Service (numbers, dates, etc.) 741–6043 930...... 41827 100...... 42050 1205...... 41829 117...... 41901 ELECTRONIC RESEARCH 8 CFR 38 CFR 212...... 41867 62...... 41523 World Wide Web 9 CFR Proposed Rules: Full text of the daily Federal Register, CFR and other publications 9...... 42052 is located at: www.fdsys.gov. 300...... 41501 74...... 41579 441...... 41501 Federal Register information and research tools, including Public 530...... 41501 40 CFR Inspection List, indexes, and Code of Federal Regulations are 531...... 41501 located at: www.ofr.gov. 52 ...... 41526, 41527, 41895, 532...... 41501 42037, 42040 E-mail 533...... 41501 81...... 41527 534...... 41501 Proposed Rules: FEDREGTOC (Daily Federal Register Table of Contents Electronic 537...... 41501 52...... 42054, 42055 Mailing List) is an open e-mail service that provides subscribers 539...... 41501 81...... 41903 with a digital form of the Federal Register Table of Contents. The 540...... 41501 digital form of the Federal Register Table of Contents includes 541...... 41501 47 CFR HTML and PDF links to the full text of each document. 544...... 41501 548...... 41501 1...... 41529, 41530 To join or leave, go to https://public.govdelivery.com/accounts/ 2...... 41549 USGPOOFR/subscriber/new, enter your email address, then 550...... 41501 552...... 41501 15...... 41549 follow the instructions to join, leave, or manage your 22...... 41530 subscription. 555...... 41501 557...... 41501 24...... 41530 PENS (Public Law Electronic Notification Service) is an e-mail 559...... 41501 27...... 41530 service that notifies subscribers of recently enacted laws. 560...... 41501 30...... 41530 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 561...... 41501 73...... 42041 and select Join or leave the list (or change settings); then follow 74...... 41530, 41549 the instructions. 10 CFR 80...... 41530 87...... 41549 FEDREGTOC and PENS are mailing lists only. We cannot 72...... 41873 1016...... 41503 90...... 41530, 41549 respond to specific inquiries. 95...... 41530 Proposed Rules: Reference questions. Send questions and comments about the 590...... 41570 101...... 41530 Federal Register system to: [email protected] Proposed Rules: The Federal Register staff cannot interpret specific documents or 14 CFR 1...... 41580 regulations. 39 ...... 41508, 41874, 41878, 22...... 41580 42021, 42024, 42029 24...... 41580 CFR Checklist. Effective January 1, 2009, the CFR Checklist no Proposed Rules: 27...... 41580 longer appears in the Federal Register. This information can be 30...... 41580 found online at http://bookstore.gpo.gov/. 21...... 42049 39...... 41577 74...... 41580, 41583 80...... 41580 FEDERAL REGISTER PAGES AND DATE, SEPTEMBER 18 CFR 90...... 41580 1301...... 41511 95...... 41580 41501–41824...... 1 101...... 41580 41825–42020...... 5 21 CFR 50 CFR 42021–42232...... 6 112...... 42031 17...... 42043 22 CFR 300...... 41562 41...... 41883 622...... 41563, 42044 648...... 41564 26 CFR 679 ...... 41567, 41568, 41899, 1...... 41885 42046, 42047

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List September 5, 2017 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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