Federal Register / Vol. 78, No. 61 / Friday, March 29, 2013 / Notices 19353 

17Pursuant to the Regulatory Contract, both 

FINRA and the Exchange will collect and maintain 

all alerts, complaints, investigations and 

enforcement actions in which NES (in its capacity 

as a facility of BX and PHLX routing orders to the 

Exchange) is identified as a participant that has 

potentially violated applicable Commission or 

Exchange rules. The Exchange and FINRA will 

retain these records in an easily accessible manner 

in order to facilitate any potential review conducted 

by the Commission’s Office of Compliance 

Inspections and Examinations. See Notice, supra 

note 3, at 10670 n.11. 

18See Notice, supra note 3, at 10671. 

19See, e.g., Securities Exchange Act Release Nos. 

54170 (July 18, 2006), 71 FR 42149 (July 25, 2006) 

(SR–NASDAQ–2006–006) (order approving 

NASDAQ’s proposal to adopt NASDAQ Rule 2140, 

restricting affiliations between NASDAQ and its 

members); 53382 (February 27, 2006), 71 FR 11251 

(March 6, 2006) (SR–NYSE–2005–77) (order 

approving the combination of the New York Stock 

Exchange, Inc. and Archipelago Holdings, Inc.); 

58673 (September 29, 2008), 73 FR 57707 (October 

3, 2008) (SR–Amex–2008–62 and SR–NYSE–2008– 

60) (order approving the combination of NYSE 

Euronext and the American Stock Exchange LLC); 

59135 (December 22, 2008), 73 FR 79954 (December 

30, 2008) (SR–ISE–2009–85) (order approving the 

purchase by ISE Holdings of an ownership interest 

in Direct Edge Holdings LLC); 59281 (January 22, 

2009), 74 FR 5014 (January 28, 2009) (SR–NYSE– 

2008–120) (order approving a joint venture between 

NYSE and BIDS Holdings L.P.); 58375 (August 18, 

2008), 73 FR 49498 (August 21, 2008) (File No. 10– 

182) (order granting the exchange registration of 

BATS Exchange, Inc.); 61698 (March 12, 2010), 75 

FR 13151 (March 18, 2010) (File Nos. 10–194 and 

10–196) (order granting the exchange registration of 

EDGX Exchange, Inc. and EDGA Exchange, Inc.); 

and 62716 (August 13, 2010), 75 FR 51295 (August 

19, 2010) (File No. 10–198) (order granting the 

exchange registration of BATS–Y Exchange, Inc.). 

20The Commission notes that these limitations 

and conditions are consistent with those previously 

approved by the Commission for other exchanges. 

See, e.g., Securities Exchange Act Release Nos. 

67256 (June 26, 2012) 77 FR 39277 (July 2, 2012) 

(SR–BX–2012–030); and 64090 (March 17, 2011), 76 

FR 16462 (March 23, 2011) (SR–BX–2011–007). 

21This oversight will be accomplished through 

the 17d–2 Agreement between FINRA and the 

Exchange and the Regulatory Contract. See Notice, 

supra note 3, at 10670 n.10 and accompanying text. 

22 15 U.S.C. 78s(b)(2). 

23 17 CFR 200.30–3(a)(12). 

Exchange retains ultimate responsibility 

for enforcing its rules with respect to 

NES. 

• Second, FINRA will monitor NES 

for compliance with NASDAQ’s trading 

rules, and will collect and maintain 

certain related information.17

• Third, FINRA will provide a report 

to the Exchange’s chief regulatory 

officer (‘‘CRO’’), on a quarterly basis, 

that: (i) Quantifies all alerts (of which 

the Exchange or FINRA is aware) that 

identify NES as a participant that has 

potentially violated Commission or 

Exchange rules, and (ii) lists all 

investigations that identify NES as a 

participant that has potentially violated 

Commission or NASDAQ rules. 

• Fourth, the Exchange has in place 

NASDAQ Rule 2160(c), which requires 

NASDAQ OMX, as the holding 

company owning both the Exchange and 

NES, to establish and maintain 

procedures and internal controls 

reasonably designed to ensure that NES 

does not develop or implement changes 

to its system, based on non-public 

information obtained regarding planned 

changes to the Exchange’s systems as a 

result of its affiliation with the 

Exchange, until such information is 

available generally to similarly situated 

Exchange members, in connection with 

the provision of inbound order routing 

to the Exchange. 

The Exchange stated that it has met 

all the above-listed conditions. By 

meeting such conditions, the Exchange 

believes that it has set up mechanisms 

that protect the independence of the 

Exchange’s regulatory responsibility 

with respect to NES, and has 

demonstrated that NES cannot use any 

information advantage it may have 

because of its affiliation with the 

Exchange.18 In the past, the Commission 

has expressed concern that the 

affiliation of an exchange with one of its 

members raises potential conflicts of 

interest, and the potential for unfair 

competitive advantage.19 Although the 

Commission continues to be concerned 

about potential unfair competition and 

conflicts of interest between an 

exchange’s self-regulatory obligations 

and its commercial interest when the 

exchange is affiliated with one of its 

members, for the reasons discussed 

below, the Commission believes that it 

is consistent with the Act to permit 

NES, in its capacity as a facility of BX 

and PHLX, to route orders inbound to 

the Exchange on a permanent basis 

instead of a pilot basis, subject to the 

limitations and conditions described 

above.20

The Exchange has proposed four 

ongoing conditions applicable to NES’s 

routing activities, which are enumerated 

above. The Commission believes that 

these conditions will mitigate its 

concerns about potential conflicts of 

interest and unfair competitive 

advantage. In particular, the 

Commission believes that FINRA’s 

oversight of NES,21 combined with 

FINRA’s monitoring of NES’s 

compliance with the Exchange’s rules 

and quarterly reporting to the Exchange, 

will help to protect the independence of 

the Exchange’s regulatory 

responsibilities with respect to NES. 

The Commission also believes that the 

Exchange’s Rule 2160 is designed to 

ensure that NES cannot use any 

information advantage it may have 

because of its affiliation with the 

Exchange. 

V. Conclusion 

It is therefore ordered, pursuant to 

Section 19(b)(2) of the Act,22 that the 

proposed rule change (SR–NASDAQ– 

2013–028) be, and hereby is, approved. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.23

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2013–07298 Filed 3–28–13; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice 8262] 

Biodiversity Beyond National 

Jurisdiction; Notice of Public Meeting 

ACTION: Notice of public meeting. 

SUMMARY: The Department of State will 

hold an information session regarding 

issues related to marine biodiversity in 

areas beyond national jurisdiction. 

DATES: The public meeting will be held 

on April 23, 2013, 10:30am–12:00pm in 

Main State, Room 1105, Washington, 

DC. For the agenda, see SUPPLEMENTARY

INFORMATION. 

ADDRESSES: The meeting will be held at 

the Harry S. Truman Main State 

Building, Room 1105, 2201 C Street 

NW., Washington, DC 20520. 

For Further Information & To 

Participate In The Meeting, Contact: If 

you would like to participate in this 

meeting, please send your (1) name, (2) 

organization/affiliation, and (3) email 

address and phone number, as well as 

any requests for reasonable 

accommodation, to BBNJ-InformationSession@state.gov. 

SUPPLEMENTARY INFORMATION: In May 

2013, the United States will participate 

in two workshops of the United Nations 

General Assembly Working Group on 

conservation and sustainable use of 

marine biological diversity beyond areas 

of national jurisdiction. The first 

workshop will focus on marine genetic 

resources; the second will focus on 

conservation and management tools. 

These workshops are intended to inform 

the discussion of delegates at the August 

meeting of the Working Group, in which 

the United States will also participate. 

Additional information on the Working 

Group can be found at this United 

Nations Web site: http://www.un.org/ 

Depts/los/biodiversityworkinggroup/ 

biodiversityworkinggroup.htm 

We would like to invite interested 

stakeholders to share comments, 

mstockstill on DSK4VPTVN1PROD with NOTICES

19354 Federal Register / Vol. 78, No. 61 / Friday, March 29, 2013 / Notices 

concerns, and questions about these 

issues. We, in turn, will provide an 

overview of past discussions in the 

Working Group and our approach to the 

May workshops. 

The information obtained from this 

session and any subsequent related 

meetings will be used to help us prepare 

for U.S. participation in international 

meetings and negotiations on marine 

biodiversity beyond national 

jurisdiction, such as the meeting of the 

UN BBNJ working group August 19–23, 

2013. 

Reasonable Accommodation 

This meeting is physically accessible 

to people with disabilities. Requests for 

sign language interpretation or other 

reasonable accommodation should be 

directed to (see FOR FURTHER

INFORMATION CONTACT) at least 5 days 

prior to the meeting date. Requests 

received after that date will be 

considered, but might not be possible to 

fulfill. 

Personal data for entry into the Harry 

S. Truman building are requested 

pursuant to Pub.L.99–399 (Omnibus 

Diplomatic Security and Antiterrorism 

Act of 1986), as amended; Public 

Law107–56 (USA PATRIOT Act); and 

Executive Order 13356. The purpose of 

the collection is to validate the identity 

of individuals who enter Department 

facilities. The data will be entered into 

the Visitor Access Control System 

(VACS–D) database. Please see the 

Security Records System of Records 

Notice (State-36) at http:// 

www.state.gov/documents/organization/ 

103419.pdf for additional information. 

Dated: March 22, 2013. 

Evan Bloom, 

Office Director, Office of Ocean and Polar 

Affairs, Department of State. 

[FR Doc. 2013–07398 Filed 3–28–13; 8:45 am] 

BILLING CODE 4710–09–P 

DEPARTMENT OF TRANSPORTATION 

Office of the Secretary 

Certificates of Public Convenience and 

Necessity and Foreign Air Carrier 

Permits 

Notice of Applications for Certificates 

of Public Convenience and Necessity 

and Foreign Air Carrier Permits Filed 

Under Subpart B (formerly Subpart Q) 

during the Week Ending March 16, 

2013. The following Applications for 

Certificates of Public Convenience and 

Necessity and Foreign Air Carrier 

Permits were filed under Subpart B 

(formerly Subpart Q) of the Department 

of Transportation’s Procedural 

Regulations (See 14 CFR 301.201 et. 

seq.). The due date for Answers, 

Conforming Applications, or Motions to 

Modify Scope are set forth below for 

each application. Following the Answer 

period DOT may process the application 

by expedited procedures. Such 

procedures may consist of the adoption 

of a show-cause order, a tentative order, 

or in appropriate cases a final order 

without further proceedings. 

Docket Number: DOT–OST–2013– 

0049. 

Date Filed: March 11, 2013. 

Due Date for Answers, Conforming 

Applications, or Motion To Modify 

Scope: April 1, 2013. 

Description: Application of Air China 

Limited d/b/a Air China requesting an 

amendment of its foreign air carrier 

permit to include Houston, Texas as a 

coterminal point in the United States, 

together with the existing coterminal 

points authorized in its foreign air 

carrier permit. 

Docket Number: DOT–OST–2013– 

0053. 

Date Filed: March 14, 2013. 

Due Date for Answers, Conforming 

Applications, or Motion To Modify 

Scope: April 4, 2013. 

Description: Joint application of Delta 

Air Lines, Inc. (‘‘Delta’’) and Pinnacle 

Airlines, Inc. (‘‘Pinnacle’’) requesting a 

disclaimer of jurisdiction or, in the 

alternative, approval of the de facto 

transfer of certain international 

certificate and other authorities held by 

Pinnacle to Delta. 

Barbara J. Hairston, 

Acting Program Manager, Docket Operations, 

Federal Register Liaison. 

[FR Doc. 2013–07363 Filed 3–28–13; 8:45 am] 

BILLING CODE 4910–9X–P 

DEPARTMENT OF TRANSPORTATION 

Office of the Secretary 

Certificates of Public Convenience and 

Necessity and Foreign Air Carrier 

Permits 

Notice of Applications for Certificates 

of Public Convenience and Necessity 

and Foreign Air Carrier Permits Filed 

Under Subpart B (formerly Subpart Q) 

during the Week Ending March 9, 2013. 

The following Applications for 

Certificates of Public Convenience and 

Necessity and Foreign Air Carrier 

Permits were filed under Subpart B 

(formerly Subpart Q) of the Department 

of Transportation’s Procedural 

Regulations (See 14 CFR 301.201 et. 

seq.). The due date for Answers, 

Conforming Applications, or Motions to 

Modify Scope are set forth below for 

each application. Following the Answer 

period DOT may process the application 

by expedited procedures. Such 

procedures may consist of the adoption 

of a show-cause order, a tentative order, 

or in appropriate cases a final order 

without further proceedings. 

Docket Number: DOT–OST–2007– 

28233. 

Date Filed: March 5, 2013. 

Due Date for Answers, Conforming 

Applications, or Motion to Modify 

Scope: March 26, 2013. 

Description: Application of 

AirBridgeCargo Airlines, LLC (‘‘ABC’’) 

requesting an amendment of its foreign 

air carrier permit to engage in scheduled 

foreign air transportation of property 

and mail between a point or points in 

the Russian Federation, on the one 

hand, via intermediate points, and 

Houston, Texas; New York, New York; 

Atlanta, Georgia; Chicago, Illinois; 

Miami, Florida; Dallas/Fort Worth, 

Texas; and Los Angeles, California, on 

the other hand, and beyond. ABC also 

requests an exemption to engage in 

scheduled foreign air transportation of 

property and mail between a point or 

points in the Russian Federation, on the 

one hand, via intermediate points, and 

Miami, Florida; Dallas/Fort Worth, 

Texas; and Los Angeles, California, on 

the other hand, and beyond. 

Barbara J. Hairston, 

Acting Program Manager, Docket Operations, 

Federal Register Liaison. 

[FR Doc. 2013–07372 Filed 3–28–13; 8:45 am] 

BILLING CODE 4910–9X–P 

DEPARTMENT OF TRANSPORTATION 

Office of the Secretary 

Aviation Proceedings, Agreements 

Filed the Week Ending March 16, 2013 

The following Agreements were filed 

with the Department of Transportation 

under the Sections 412 and 414 of the 

Federal Aviation Act, as amended (49 

U.S.C. 1382 and 1384) and procedures 

governing proceedings to enforce these 

provisions. Answers may be filed within 

21 days after the filing of the 

application. 

Docket Number: DOT–OST–2013– 

0048. 

Date Filed: March 11, 2013. 

Parties: Members of the International 

Air Transport Association. 

Subject: Resolution 787. 

PSC Minutes 29 through 43—34th. 

PSC held in Abu Dhabi on 18–19 

October 2012. 

Memorandum. 

PSC/RESO/154 dated 4 January 2013. 

mstockstill on DSK4VPTVN1PROD with NOTICES