[Federal Register Volume 87, Number 132 (Tuesday, July 12, 2022)]
[Rules and Regulations]
[Page 41250]
[FR Doc No: 2022-14771]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-USCG-2022-0586]

Safety Zone; Fireworks Display; John H. Kerr Reservoir,
Clarksville, VA

AGENCY: Coast Guard, DHS.

ACTION: Notification of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce a safety zone for the Virginia
Lake Festival on July 16, 2022, Clarksville, VA, to provide for the
safety of life on navigable waterways during this event. Coast Guard
regulations for marine events within the Fifth Coast Guard District
identifies the regulated area for this event. During the enforcement
period, entry of vessels or persons into this zone is prohibited unless
specifically authorized by the Captain of the Port Virginia.

DATES: The regulations in 33 CFR 165.506 will be enforced for the
location identified as Item 12 in table 3 to paragraph (h)(3) from 9:30
p.m. until 10 p.m. on July 16, 2022.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
notification of enforcement, call or email LCDR Ashley Holm, Chief,
Waterways Management Division, Sector Virginia, U.S. Coast Guard;
telephone<PHONE_NUMBER> email [email protected].

SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the safety zone
in 33 CFR 165.506 for the Virginia Lake Festival regulated area from
9:30 p.m. to 10 p.m. on July 16, 2022. This action is being taken to
provide for the safety of life on navigable waterways during this
event. Coast Guard regulations for safety zones within the Fifth Coast
Guard District, Sec.  165.506, specifies the location of the regulated
area for the Virginia Lake Festival which encompasses portions of the
John H. Kerr Reservoir. During the enforcement periods, entry of
vessels or persons into this zone is prohibited unless specifically
authorized by the Captain of the Port Virginia.
    In addition to this notification of enforcement in the Federal
Register, the Coast Guard plans to provide notification of this
enforcement period via the Local Notice to Mariners and Broadcast
Notice to Mariners.

    Dated: July 6, 2022.
Jennifer A. Stockwell,
Captain, U.S. Coast Guard, Captain of the Port Virginia.
[FR Doc. 2022-14771 Filed 7-11-22; 8:45 am]
BILLING CODE 9110-04-P


                         TOXIC SUBSTANCES CONTROL ACT
            [As Amended Through P.L. 107 - 377, December 31, 2002]
                     TITLE I -- CONTROL OF TOXIC SUBSTANCES

***

SEC. 2. FINDINGS, POLICY, AND INTENT.
      (a) FINDINGS. -- The Congress finds that --
      (1) human beings and the environment are being exposed each year to a large number
      of chemical substances and mixtures.
      (2) among the many chemical substances and mixtures which are constantly being
      developed and produced, there are some whose manufacture, processing, distribution in
      commerce, use, or disposal may present an unreasonable risk of injury to health or the environment; and
      (3) the effective regulation of interstate commerce in such chemical substances and
      mixtures also necessitates the regulation of intrastate commerce in such chemical substances
      and mixtures.
      (b) POLICY. -- It is the policy of the United States that --
      (1) adequate data should be developed with respect to the effect of chemical
      substances and mixtures on health and the environment and that the development of such data
      should be the responsibility of those who manufacture and those who process such chemical
      substances and mixtures;
      (2) adequate authority should exist to regulate chemical substances and mixtures which
      present an unreasonable risk of injury to health or the environment, and to take action with
      respect to chemical substances and mixtures which are imminent hazards; and
      (3) authority over chemical substances and mixtures should be exercised in such a
      manner as not to impede unduly or create unnecessary economic barriers to technological
      innovation while fulfilling the primary purpose of this Act to assure that such innovation and
      commerce in such chemical substances and mixtures do not present an unreasonable risk of
      injury to health or the environment.
      (c) INTENT OF CONGRESS. -- It is the intent of Congress that the Administrator shall carry out this
Act in a reasonable and prudent manner, and that the Administrator shall consider the environmental, economic, and social impact of any action the Administrator takes or proposes to take under this Act.
[15 U.S.C. 2601]

***
SEC. 11. INSPECTIONS AND SUBPOENAS.

      (a) IN GENERAL. -- For purposes of administering this Act, the Administrator, and any duly designated representative of the Administrator, may inspect any establishment, facility, or other premises in which chemical substances, mixtures, or products subject to title IV are manufactured, processed, stored, or held before or after their distribution in commerce and any conveyance being used to transport chemical substances, mixtures, such products, or such articles in connection with distribution in commerce. Such an inspection may only be made upon the presentation of appropriate credentials and of a written notice to the owner, operator, or agent in charge of the premises or conveyance to be inspected. A separate notice shall be given for each such inspection, but a notice shall not be required for each entry made during the period covered by the inspection. Each such inspection shall be commenced and completed with reasonable promptness and shall be conducted at reasonable
times, within reasonable limits, and in a reasonable manner.
      (b) SCOPE. --
      (1) Except as provided in paragraph (2), an inspection conducted under subsection (a) shall extend to all things within the premises or conveyance inspected (including records, files, papers, processes, controls, and facilities) bearing on whether the requirements of this Act applicable to the chemical substances, mixtures, or products subject to title IV within such premises or conveyance have been complied with.
      (2) No inspection under subsection (a) shall extend to --
            (A) financial data,
            (B) sales data (other than shipment data),
            (C) pricing data,
            (D) personnel data, or
                  (E) research data (other than data required by this Act or under a rule promulgated thereunder),
      unless, the nature and extent of such data are described with reasonable specificity in the
      written notice required by subsection (a) for such inspection.
      (c) SUBPOENAS. -- In carrying out this Act, the Administrator may by subpoena require the attendance and testimony of witnesses and the production of reports, papers, documents, answers to questions, and other information that the Administrator deems necessary. Witnesses shall be paid the same fees and mileage that are paid witnesses in the courts of the United States. In the event of contumacy, failure, or refusal of any person to obey any such subpoena, any district court of the United States in which venue is proper shall have jurisdiction to order any such person to comply with such subpoena. Any failure to obey such an order of the court is punishable by the court as a contempt thereof.
[15 U.S.C. 2610]


[Federal Register Volume 87, Number 156 (Monday, August 15, 2022)]
[Notices]
[Pages 50129-50130]
[FR Doc No: 2022-17425]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34667; File No. 812-15348]

Rand Capital Corporation, et al.

August 9, 2022.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').

ACTION: Notice.

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

    Notice of application for an order (``Order'') under sections 17(d)
and 57(i) of the Investment Company Act of 1940

(the ``Act'') and rule 17d-1 under the Act to permit certain joint
transactions otherwise prohibited by sections 17(d) and 57(a)(4) of the
Act and rule 17d-1 under the Act.

SUMMARY OF APPLICATION: Applicants request an order to amend a previous
order granted by the Commission that permits certain business
development companies (``BDCs'') and closed-end management investment
companies to co-invest in portfolio companies with each other and with
certain affiliated investment entities.

APPLICANTS: Rand Capital Corporation, Rand Capital Management, LLC,
Rand Capital Sub LLC, Callodine Capital Management, LP, Callodine
Credit Management, LLC, Callodine Strategic Credit, LLC, Bluearc
Mezzanine Partners I, L.P., Callodine Asset Based Loan Fund II, LP,
Callodine Perpetual ABL Fund, LP, Callodine Capital Fund, LP, Callodine
Capital Offshore Fund, Ltd., Callodine Capital Master Fund, LP,
Callodine BDC Income Fund, LP, Callodine Equity Income Fund, LP,
Callodine Strategic Credit Fund II, LP, Thorofare, LLC, Thorofare Asset
Based Lending Fund IV, L.P., Thorofare Asset Based Lending REIT Fund
IV, LLC, Thorofare Asset Based Lending Fund V, L.P. and Thorofare Asset
Based Lending REIT Fund V, LLC.

FILING DATES: The application was filed on June 13, 2022, and amended
on August 4, 2022.

HEARING OR NOTIFICATION OF HEARING: An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing on any application by emailing
the SEC's Secretary at [email protected] and serving the
Applicants with a copy of the request by email, if an email address is
listed for the relevant Applicant below, or personally or by mail, if a
physical address is listed for the relevant Applicant below. Hearing
requests should be received by the Commission by 5:30 p.m. on September
2, 2022, and should be accompanied by proof of service on applicants,
in the form of an affidavit or, for lawyers, a certificate of service.
Pursuant to rule 0-5 under the Act, hearing requests should state the
nature of the writer's interest, any facts bearing upon the
desirability of a hearing on the matter, the reason for the request,
and the issues contested. Persons who wish to be notified of a hearing
may request notification by emailing the Commission's Secretary at
[email protected].

ADDRESSES: The Commission: [email protected]. Applicants: James
Morrow at [email protected] or Daniel Penberthy at
[email protected]. Anne G. Oberndorf, Esq., Eversheds
Sutherland (US) LLP, at [email protected].

FOR FURTHER INFORMATION CONTACT: Bruce R. MacNeil, Senior Counsel, or
Kaitlin C. Bottock, Branch Chief, at<PHONE_NUMBER> (Division of
Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: For Applicants' representations, legal
analysis, and conditions, please refer to Applicants' first amended and
restated application, dated August 4, 2022, which may be obtained via
the Commission's website by searching for the file number at the top of
this document, or for an Applicant using the Company name search field,
on the SEC's EDGAR system. The SEC's EDGAR system may be searched at,
at http://www.sec.gov/edgar/searchedgar/legacy/companysearch.html. You
may also call the SEC's Public Reference Room at<PHONE_NUMBER>.

    For the Commission, by the Division of Investment Management,
under delegated authority.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-17425 Filed 8-12-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 224 (Wednesday, November 22, 2023)]
[Notices]
[Pages 81421-81422]
[FR Doc No: 2023-25816]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2023-N-4996]

Advancing Drug Development for the Prevention of Spontaneous
Preterm Birth; Public Meeting

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of public meeting.

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SUMMARY: The Food and Drug Administration (FDA, the Agency, or we) is
announcing the following public meeting entitled ``Advancing Drug
Development for the Prevention of Spontaneous Preterm Birth.'' The
meeting will be convened by Duke University's Robert J. Margolis, MD,
Center for Health Policy (Duke-Margolis) and supported by a cooperative
agreement with FDA. The meeting is intended to gather industry, family,
clinician, researcher, ethicist, professional society, and other
stakeholder input on the impact of preterm birth on families and on
society, as well as on the ethical, regulatory, and clinical trial
considerations surrounding the drug development for the prevention of
spontaneous preterm birth.

DATES: The public meeting will be held on January 23 and 24, 2024, from
1 p.m. to 4:30 p.m. Eastern Time each day. See the SUPPLEMENTARY
INFORMATION section for registration information.

ADDRESSES: The public meeting will be held virtually via Zoom.

FOR FURTHER INFORMATION CONTACT: Luke Durocher, Duke-Margolis Center
for Health Policy, [email protected],<PHONE_NUMBER>; or Christina
Chang, Center for Drug Evaluation and Research, Food and Drug
Administration, 10903 New Hampshire Ave., Silver Spring, MD 20993, 301-
796-2078.

SUPPLEMENTARY INFORMATION:

I. Background Information

    In the United States in 2021, 1 in every 10 infants was born
prematurely (before 37 weeks of pregnancy). Infants born too early have
higher rates of death and disability, resulting in a significant public
health concern. The exact mechanisms and risk factors associated with
spontaneous preterm birth are not fully understood, resulting in a
dearth of interventions demonstrated to be effective and safe.
    FDA endorses an informed and balanced approach to gathering data
supporting the safe and effective use of drugs and biological products
for the prevention of spontaneous preterm birth. Currently, there is a
significant medical need for such therapies, as there are no FDA
approved therapies for reducing the risk of neonatal morbidity/
mortality resulting from spontaneous preterm birth. Input from this
meeting will help provide guidance on the development of therapies for
the prevention of spontaneous preterm birth.

II. Topics for Discussion at the Public Meeting

    The meeting will allow participants (including clinicians,
patients, family, researchers, ethicists, professional societies, and
other stakeholders) to provide input on key topics, including:

 The current understanding of spontaneous preterm birth,
including the epidemiology of the condition, etiologies, and
pathophysiology
 Ethical and regulatory considerations and challenges
associated with the development of therapeutics for the prevention of
spontaneous preterm birth
 Impact of preterm birth on families and society
 Assessing efficacy and safety in clinical programs for
therapeutics for spontaneous preterm birth prevention
 Dose-finding and clinical trial design considerations

    For more information on the meeting topics and discussion
questions, visit https://duke.is/g/gde6. Duke-Margolis will publish a
discussion guide outlining background information and current thinking
on the topic areas to this website approximately 2 weeks before the
meeting date. FDA will also post the agenda and other meeting materials
to this website approximately 5 business days before the meeting.
    The format of the public meeting will consist of a series of
presentations, panel discussions, and open discussion.

III. Participating in the Public Meeting

    Registration: To register for the virtual public meeting, please
visit the following website: https://duke.is/g/gde6. Please provide
complete contact information for each attendee, including name, title,
affiliation, address, email, and telephone.
    Registration is free. Persons interested in attending this virtual
public meeting must register. Early registration is recommended.
Registrants will receive confirmation once they have been accepted. If
you need special accommodations due to a disability, please contact
Luke Durocher, Duke-Margolis Center for Health Policy, at
[email protected] or at<PHONE_NUMBER>.
    Streaming Webcast of the Public Meeting: This virtual public
meeting will be webcast via Zoom and the archived video footage will be
available at the event website. The link for registration is the same
as above: https://duke.is/g/gde6. Registered webcast participants will
be sent technical system requirements in advance of the event. It is
recommended that you review these technical system requirements prior
to joining the streaming webcast of the public meeting. Although FDA
has verified the website addresses in this document, please note that
websites are subject to change over time.

    Transcripts: Please be advised that transcripts of the public
meeting will not be available.

    Dated: November 16, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-25816 Filed 11-21-23; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 86, Number 130 (Monday, July 12, 2021)]
[Rules and Regulations]
[Pages 36485-36487]
[FR Doc No: 2021-14688]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2021-0297; Project Identifier 2019-SW-062-AD; Amendment
39-21614; AD 2021-13-09]
RIN 2120-AA64

Airworthiness Directives; Airbus Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: The FAA is adopting a new airworthiness directive (AD) for
Airbus Helicopters Model SA330J helicopters, all serial numbers. This
AD was prompted by reports of the failure of the lower bearing cage of
the main rotor hub (MRH) flapping hinges and of the presence of
metallic particles at the bottom of a drag hinge. This AD requires
repetitive inspections of the MRH chip detectors, or for helicopters
not equipped with chip detectors, repetitive inspections of the oil for
contamination by metallic particles, and corrective actions if
necessary, as specified in a European Union Aviation Safety Agency
(EASA) AD, which is incorporated by reference. The FAA is issuing this
AD to address the unsafe condition on these products.

DATES: This AD is effective August 16, 2021.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of August 16,
2021.

ADDRESSES: For material incorporated by reference (IBR) in this AD,
contact the EASA, Konrad-Adenauer-Ufer 3, 50668 Cologne, Germany;
phone: +49 221 8999 000; email<EMAIL_ADDRESS>internet:
www.easa.europa.eu. You may find this material on the EASA website at
https://ad.easa.europa.eu. You may view this material at the FAA,
Office of the Regional Counsel, Southwest Region, 10101 Hillwood Pkwy.,
Room 6N-321, Fort Worth, TX 76177. For information on the availability
of this material at the FAA, call<PHONE_NUMBER>. It is also available in
the AD docket on the internet at https://www.regulations.gov by
searching for and locating Docket No. FAA-2021-0297.

Examining the AD Docket

    You may examine the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-2021-

0297; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this final rule, any comments received, and other information. The
address for Docket Operations is U.S. Department of Transportation,
Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200
New Jersey Avenue SE, Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Mahmood G. Shah, Aviation Safety
Engineer, Fort Worth ACO Branch, FAA, 10101 Hillwood Pkwy., Fort Worth,
TX 76177; phone:<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    The EASA, which is the Technical Agent for the Member States of the
European Union, has issued EASA AD 2019-0157, dated July 3, 2019 (EASA
AD 2019-0157) (also referred to as the Mandatory Continuing
Airworthiness Information, or the MCAI), to correct an unsafe condition
for Airbus Helicopters Model SA330J helicopters, all serial numbers.
    The FAA issued a notice of proposed rulemaking (NPRM) to amend 14
CFR part 39 by adding an AD that would apply to Airbus Helicopters
Model SA330J helicopters, all serial numbers. The NPRM published in the
Federal Register on April 13, 2021 (86 FR 19157). The NPRM was prompted
by reports of the failure of the lower bearing cage of the MRH flapping
hinges and of the presence of metallic particles at the bottom of a
drag hinge. The NPRM proposed to require repetitive inspections of the
MRH chip detectors, or for helicopters not equipped with chip
detectors, repetitive inspections of the oil for contamination by
metallic particles, and corrective actions if necessary, as specified
in an EASA AD.
    The FAA is issuing this AD to address failure of the lower bearing
cage of the MRH flapping hinges and presence of metallic particles at
the bottom of a drag hinge, which could lead to loss of flapping hinge
function, resulting in MRH unbalance and loss of control of the
helicopter. See the MCAI for additional background information.

Discussion of Final Airworthiness Directive

Comments

    The FAA gave the public the opportunity to participate in
developing this final rule. The FAA received no comments on the NPRM or
on the determination of the cost to the public.

Conclusion

    The FAA reviewed the relevant data and determined that air safety
and the public interest require adopting this final rule as proposed,
except for minor editorial changes. The FAA has determined that these
minor changes:
     Are consistent with the intent that was proposed in the
NPRM for addressing the unsafe condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM.

Related Service Information Under 1 CFR Part 51

    EASA AD 2019-0157 specifies procedures for repetitive inspections
of the MRH chip detectors, or for helicopters not equipped with chip
detectors, repetitive inspections of the oil for contamination by
metallic particles, and corrective actions if necessary. Corrective
actions include replacement of the incidence hinge bearings,
replacement of the flapping bearing race and bearing or if there is no
degradation reinstallation of the bearing race and bearing 180[deg]
from the marked position during removal, and replacement of the drag
lower bearing race and bearing. This material is reasonably available
because the interested parties have access to it through their normal
course of business or by the means identified in the ADDRESSES section.

Interim Action

    The FAA considers this AD interim action. The investigation to
detect the root cause of the reported failures of the lower bearing
cage of the MRH flapping hinges and presence of metallic particles at
the bottom of the drag hinge is on-going.

Costs of Compliance

    The FAA estimates that this AD affects 4 helicopters of U.S.
registry. The FAA estimates the following costs to comply with this AD:

                                      Estimated Costs for Required Actions
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per       Cost on U.S.
                          Labor cost                              Parts cost        product         operators
----------------------------------------------------------------------------------------------------------------
4 work-hours x $85 per hour = $340...........................              $0             $340           $1,360
----------------------------------------------------------------------------------------------------------------

    The FAA estimates the following costs to do any necessary on-
condition replacements that would be required based on the results of
any required actions. The FAA has no way of determining the number of
helicopters that might need these on-condition replacements:

                 Estimated Costs of On-Condition Actions
------------------------------------------------------------------------
                                                             Cost per
              Labor cost                   Parts cost        product
------------------------------------------------------------------------
24 work-hours x $85 per hour = $2,040.      $53,025.29       $55,065.29
------------------------------------------------------------------------

Authority for This Rulemaking

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

unsafe condition that is likely to exist or develop on products
identified in this rulemaking action.

Regulatory Findings

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Will not affect intrastate aviation in Alaska, and
    (3) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

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

The Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

2021-13-09 Airbus Helicopters: Amendment 39-21614; Docket No. FAA-
2021-0297; Project Identifier 2019-SW-062-AD.

(a) Effective Date

    This airworthiness directive (AD) is effective August 16, 2021.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Airbus Helicopters Model SA330J helicopters,
certificated in any category, all serial numbers.

(d) Subject

    Joint Aircraft System Component (JASC) Code 6200, Main Rotor
System.

(e) Reason

    This AD was prompted by reports of the failure of the lower
bearing cage of the main rotor hub (MRH) flapping hinges and of the
presence of metallic particles at the bottom of a drag hinge. The
FAA is issuing this AD to address failure of the lower bearing cage
of the MRH flapping hinges and presence of metallic particles at the
bottom of a drag hinge, which could lead to loss of flapping hinge
function, resulting in MRH unbalance and loss of control of the
helicopter.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Requirements

    Except as specified in paragraph (h) of this AD: Comply with all
required actions and compliance times specified in, and in
accordance with, European Union Aviation Safety Agency (EASA) AD
2019-0157, dated July 3, 2019 (EASA AD 2019-0157).

(h) Exceptions to EASA AD 2019-0157

    (1) Where EASA AD 2019-0157 refers to its effective date, this
AD requires using the effective date of this AD.
    (2) The ``Remarks'' section of EASA AD 2019-0157 does not apply
to this AD.
    (3) Where EASA AD 2019-0157 refers to flight hours (FH), this AD
requires using hours time-in-service.
    (4) Although the service information referenced in EASA AD 2019-
0157 specifies to discard certain parts, this AD requires removing
those parts from service.

(i) Special Flight Permit

    Special flight permits may be issued in accordance with 14 CFR
21.197 and 21.199 to operate the helicopter to a location where the
helicopter can be modified (if the operator elects to do so),
provided the helicopter is operated during the day under visual
flight rules with no passengers are onboard.

(j) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, International Validation Branch, FAA, has the
authority to approve AMOCs for this AD, if requested using the
procedures found in 14 CFR 39.19. In accordance with 14 CFR 39.19,
send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the manager of the International Validation Branch, send
it to the attention of the person identified in paragraph (k) of
this AD. Information may be emailed to<EMAIL_ADDRESS>    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office/certificate holding
district office.

(k) Related Information

    For more information about this AD, contact Mahmood G. Shah,
Aviation Safety Engineer, Fort Worth ACO Branch, FAA, 10101 Hillwood
Pkwy., Fort Worth, TX 76177; phone:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
(l) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless this AD specifies otherwise.
    (i) European Union Aviation Safety Agency (EASA) AD 2019-0157,
dated July 3, 2019.
    (ii) [Reserved]
    (3) For EASA AD 2019-0157, contact the EASA, Konrad-Adenauer-
Ufer 3, 50668 Cologne, Germany; phone: +49 221 8999 000; email:
<EMAIL_ADDRESS>Internet: www.easa.europa.eu. You may find this
EASA AD on the EASA website at https://ad.easa.europa.eu.
    (4) You may view this service information at the FAA, Office of
the Regional Counsel, Southwest Region, 10101 Hillwood Pkwy., Room
6N-321, Fort Worth, TX 76177. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>. This material may be
found in the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-
2021-0297.
    (5) You may view this material that is incorporated by reference
at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, email
<EMAIL_ADDRESS>or go to https://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued on July 2, 2021.
Gaetano A. Sciortino,
Deputy Director for Strategic Initiatives, Compliance & Airworthiness
Division, Aircraft Certification Service.
[FR Doc. 2021-14688 Filed 7-9-21; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: June 7, 2006 (Volume 71, Number 109)]
[Notices]
[Page 33007-33008]
[DOCID:fr07jn06-137]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-53908]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Declaration of Effectiveness of the Fingerprint Plan of the NASDAQ
Stock Market LLC

May 31, 2006.
    On May 30, 2006, the NASDAQ Stock Market LLC (``Nasdaq'') filed
with the Securities and Exchange Commission (``Commission'' or ``SEC'')
a fingerprint plan (``Plan'') pursuant to Rule 17f-2(c) \1\ under the
Securities Exchange Act of 1934 (``Act'').\2\
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    \1\ 17 CFR 240.17f-2(c).
    \2\ 15 U.S.C. 78a et seq.
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    Nasdaq believes that the Plan will facilitate compliance by Nasdaq
members and Nasdaq member applicants (together, ``participants'') with
section 17(f)(2) of the Exchange Act and Rule 17f-2 thereunder, by
providing a facility for participants to have the fingerprints of their
partners, directors, officers, and employees processed by the Attorney
General of the United States or his designee (``Attorney General'').
    The Plan will be administered for Nasdaq by NASD Regulation, Inc.
(``NASDR'') and the National Association of Securities Dealers, Inc.
(``NASD''), the parent corporation of NASDR, pursuant to a regulatory
services agreement between NASDR and Nasdaq (the ``Regulatory
Contract''). The Commission notes that, notwithstanding the fact that
Nasdaq has entered into the Regulatory Contract to have NASDR perform
some of Nasdaq's functions, Nasdaq shall retain ultimate legal
responsibility for, and control of, such functions.
    Under the Plan, participants submit fingerprints and identifying
information, on paper or electronically, to the NASD, which then
forwards the cards to the Federal Bureau of Investigation (``FBI'')
(the fingerprint processing arm of the Attorney General). The FBI
identifies submitted fingerprints, retrieves relevant criminal history
information, and returns fingerprint reports (including the original
paper fingerprint cards, if any)

to authorized recipients (i.e., to a participant that submitted the
fingerprints and to regulators for licensing, registration and other
regulatory purposes). Under the terms of the Plan, participants will be
able to view the status and results of fingerprints, including any
relevant criminal history information, through the NASD's Central
Registration Depository (CRD[supreg]) system after submission to the
Attorney General.
    The Commission has reviewed the procedures detailed in the Plan and
believes that the Plan is consistent with the public interest and the
protection of investors. Thus, the Commission declares the Plan to be
effective.
    The Commission notes that securities industry fingerprinting
procedures are in a state of flux due to rapidly advancing technology.
In the event that an industry-wide standard is adopted or becomes
prevalent and in the event that this Plan substantially differs
therefrom, the Commission would expect Nasdaq to revise its fingerprint
plan to incorporate the industry-wide standard.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\3\
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    \3\ 17 CFR 200.30-3(a)(17)(iii).
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J. Lynn Taylor,
Assistant Secretary.

Exhibit A--The NASDAQ Stock Market LLC; Fingerprint Plan

    The NASDAQ Stock Market LLC (``Nasdaq'') submits this Fingerprint
Plan (``Plan'') pursuant to Rule 17f-2(c) under the Securities Exchange
Act of 1934 (``Exchange Act'').
    The purpose of this Plan is to facilitate compliance by Nasdaq
members and Nasdaq member applicants with section 17(f)(2) of the
Exchange Act and Rule 17f-2 thereunder, by providing a mechanism for
Nasdaq members and Nasdaq member applicants to have the fingerprints of
their partners, directors, officers, and employees processed by the
Attorney General of the United States or his designee (hereinafter
``Attorney General'') as required by section 17(f)(2) of the Exchange
Act and Rule 17f-2 thereunder. The Plan will be administered for Nasdaq
by NASD Regulation, Inc. (``NASDR'') and the National Association of
Securities Dealers, Inc. (``NASD''), the parent corporation of NASDR,
pursuant to a regulatory services agreement between NASDR and Nasdaq
(the ``Regulatory Contract''). In the event that Nasdaq enters into a
contract to administer the Plan with a regulatory service provider
other than NASDR or decides to administer the Plan itself, Nasdaq shall
file an amendment to the Plan with the Securities and Exchange
Commission (the ``Commission''). Notwithstanding the fact that Nasdaq
has entered into the Regulatory Contract to have NASDR perform some of
Nasdaq's functions, Nasdaq shall retain ultimate legal responsibility
for, and control of, such functions.
    NASD, pursuant to a Plan filed with and declared effective by the
Commission,\4\ processes fingerprint records of securities industry
participants as described herein consistent with section 17(f)(2) of
the Exchange Act and Rule 17f-2 thereunder.
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    \4\ Securities Exchange Act Release No. 53751 (May 2, 2006), 71
FR 27299 (May 10, 2006).
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    NASD accepts fingerprints and identifying information from
associated persons of Nasdaq members and Nasdaq member applicants
required to be fingerprinted pursuant to Rule 17f-2. Nasdaq members and
Nasdaq member applicants may submit fingerprints and identifying
information on paper or electronically, provided such submissions are
consistent with protocols and requirements established by the Attorney
General.
    NASD transmits fingerprints and identifying information, on paper
or electronically, to the Attorney General for identification and
processing, consistent with protocols and requirements established by
the Attorney General.
    NASD receives processed results from the Attorney General (on paper
or electronically) and transmits those results via paper or electronic
means to authorized recipients (i.e., to a Nasdaq member or Nasdaq
member applicant that submitted the fingerprints and to regulators for
licensing, registration and other regulatory purposes), consistent with
protocols and requirements established by the Attorney General. In
cases where the Attorney General's search on the fingerprints submitted
fails to disclose prior arrest data, NASD transmits that result to the
Nasdaq member or Nasdaq member applicant that submitted the
fingerprints. In cases where the Attorney General's search yields
Criminal History Record Information (CHRI), NASD transmits that
information to the Nasdaq member or Nasdaq member applicant that
submitted the fingerprints. With respect to Nasdaq members, NASD also
reviews any CHRI returned by the Attorney General to identify persons
who may be subject to statutory disqualification under the Exchange Act
and notifies NASD and Nasdaq staff to take action, as appropriate, with
respect to such persons.
    Nasdaq advises its members and member applicants of the
availability of fingerprint services and any fees charged in connection
with those services and the processing of fingerprints pursuant to this
Plan. Nasdaq will file any such Nasdaq member fees with the Commission
pursuant to section 19(b) of the Exchange Act.
    NASD maintains copies of fingerprint processing results received
from the Attorney General with respect to fingerprints submitted by
NASD pursuant to this Plan, in accordance with Nasdaq's record
retention obligations under the Act. Any maintenance of fingerprint
records by NASD shall be for NASD's and Nasdaq's own administrative
purposes, and NASD is not undertaking to maintain fingerprint records
on behalf of Nasdaq members pursuant to Rule 17f-2(d)(2). NASD records
in the Central Registration Depository (CRD() the status of
fingerprints submitted to the Attorney General. Through the CRD system,
NASD makes available to a Nasdaq member that has submitted fingerprints
the status and results of such fingerprints after submission to the
Attorney General.
    Neither NASD nor Nasdaq shall be liable for losses or damages of
any kind in connection with fingerprinting services, as a result of a
failure to follow, or properly to follow, the procedures described
above, or as a result of lost or delayed fingerprint cards, electronic
fingerprint records, or fingerprint reports, or as a result of any
action by NASD or Nasdaq or NASD's or Nasdaq's failure to take action
in connection with this Plan.

 [FR Doc. E6-8808 Filed 6-6-06; 8:45 am]

BILLING CODE 8010-01-P