[Federal Register: June 30, 2010 (Volume 75, Number 125)]
[Notices]
[Page 37861-37863]
[DOCID:fr30jn10-113]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-62358; File No. SR-NSX-2010-06]

Self-Regulatory Organizations; National Stock Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Implement an Equity Rights Program

June 22, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on June 15, 2010, National Stock Exchange, Inc. (``NSX[supreg]''
or ``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change, as described in Items I, II,
and III below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comment on the proposed
rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    NSX is proposing to implement an equity rights program pursuant to
which warrants may be purchased that would allow equity in the
Exchange's parent holding company to be acquired based on, among other
things, a participating ETP Holder's payment of an initial purchase
price for the warrants and achievement of certain liquidity adding
volume thresholds on the Exchange over a six month measuring period.
    The text of the proposed rule change is available on the Exchange's
Web site at http://www.nsx.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant parts of such
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    With this rule change, the Exchange is proposing to implement an
equity rights program pursuant to which warrants for common stock of
the Exchange's parent holding company, NSX Holdings, Inc.
(``Holdings''), will be issued to each ETP Holder who participates in
the program in exchange for such ETP Holder participant's initial cash
capital contribution of $250,000, and with such warrants being
exercisable upon the achievement by the participating ETP Holder of the
following liquidity adding volume thresholds (measured as a percentage
of total consolidated average daily volume) on the Exchange during a
six month measurement period commencing June 15, 2010:

----------------------------------------------------------------------------------------------------------------
                                             Participating ETP holder's
                                         liquidity adding ADV as % of total    Participating ETP holder's total
                                                  consolidated ADV                   exercisable warrants
----------------------------------------------------------------------------------------------------------------
Tier 1:...............................  > 15 basis points..................  4,575
Tier 2:...............................  > 25 and < 30 basis points.........  19,575
Tier 3:...............................  > 30 and < 35 basis points.........  22,075
Tier 4:...............................  > 35 and < 40 basis points.........  24,575
Tier 5:...............................  > 40 basis points..................  24,575 plus participation in bonus
                                                                              pool.
----------------------------------------------------------------------------------------------------------------

    For purposes of the program, the term ``Liquidity Adding ADV''
means, with respect to a participating ETP Holder, the number of shares
such ETP Holder has executed as a liquidity provider on average per
trading day (excluding partial trading days) across all tapes on NSX
for the measuring period in which the executions occurred. The term
``Total Consolidated ADV'' means average daily volume reported by all
exchanges and trade reporting facilities to the consolidated
transaction reporting plans for Tape A, B and C securities. For
purposes of calculating an ETP Holder's Liquidity Adding ADV as a
percentage of Total Consolidated ADV over the measuring period, the 10
days during the measuring period constituting that ETP Holder's lowest
ratio of liquidity adding volume to total consolidated volume will be
excluded. In addition, the number of shares executed by ETP Holders
under common ownership and control may be aggregated for purposes of
calculating average daily volumes.
    Total Bonus Pool shares shall equal the number of warrant holders
achieving Tier 5 multiplied by 10,000. Each warrant holder eligible for
participation in the Bonus Pool shall be

entitled to exercise its Bonus Pool warrants for a number of Bonus Pool
shares determined by the following formula: number of shares in Bonus
Pool multiplied by a fraction, the numerator of which is the eligible
holder's Liquidity Adding ADV in excess of 40 basis points of Total
Consolidated ADV and the denominator of which is the total of all
eligible holders' Liquidity Adding ADV in excess of 40 basis points of
Total Consolidated ADV.
    The maximum number of shares issued under the program will be
103,724. The number of shares that would otherwise be issued to warrant
holders if in excess of this limit will, at the time of warrant
exercise, be reduced for each warrant on a pro rata basis. Warrant
exercise will not be permitted to the extent that exercise would result
in a warrant holder's pro forma ownership in Holdings exceeding 19.9%
or any lower percentage cap that is applicable to such warrant holder
due to legal or regulatory limitations. The warrants are not
transferrable, and all shares issued pursuant to the terms of the
warrants are subject to ownership and voting limits and transfer
restrictions as stated in Holding's Certificate of Incorporation and
By-laws.
    Each participating ETP Holder will also receive the option to
participate in any second rights program made by the Exchange and
Holdings covering a six month measuring period shortly following the
current measuring period, on the same terms and conditions as all other
participants in such program, but with the new cash contribution
required for participation in such program fixed at $250,000. All other
participants in any such second program will pay a cash contribution
that is the same for each such participant, in an amount that is based
on a determination made by Holdings at the time of announcement of any
such program.
    Participants must have executed the definitive documentation
(including a Warrant Purchase Agreement) and tendered the minimum cash
investment by June 30, 2010. All program terms, rights and obligations
are subject to final documentation to be executed by participating ETP
Holders, which final documentation may contain terms that supplement
those summarized herein.
    In addition to the payment of the purchase price and the execution
of the purchase agreement, participating ETP Holders must qualify as
``accredited investors'' (as such term is defined in Regulation D of
the Securities Act of 1933). All participating ETP Holders will
participate on the same terms, conditions and restrictions. This filing
shall not constitute an offer to sell or a solicitation of an offer to
buy securities.

Measurement Period and Notice

    The Exchange intends to commence the six month measurement period
for the equity award program on June 15, 2010. The Exchange will
provide ETP Holders with notice of the implementation of this program
through the issuance of a Regulatory Circular and will post a copy of
this rule filing on the Exchange's Web site (http://www.nsx.com). Any
ETP Holder that is interested in participating in this program may
contact John J. McCoy, Chief Legal Officer of the Exchange, at (201)
499-1854, for more information and legal documentation. Execution among
the parties of a non-disclosure agreement regarding such additional
program information will be required.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the provisions of Section 6(b) of the Act,\3\ in general, and
Section 6(b)(4) of the Act,\4\ in particular, in that it is designed to
provide for the equitable allocation of reasonable dues, fees and other
charges among its members and other persons using the facilities of the
Exchange. Moreover, the proposed rule change is not discriminatory in
that all ETP Holders are eligible to participate (or elect to not
participate) in the program on the same terms and conditions.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78f(b).
    \4\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any inappropriate burden on competition.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    The Exchange has neither solicited nor received written comments on
the proposed rule change.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    The proposed rule change has taken effect upon filing pursuant to
Section 19(b)(3)(A)(ii) of the Act \5\ and subparagraph (f)(2) of Rule
19b-4 \6\ thereunder, because, as provided in (f)(2), it changes ``a
due, fee or other charge applicable only to a member'' (known on the
Exchange as an ETP Holder). At any time within sixty (60) days of the
filing of such proposed rule change, the Commission may summarily
abrogate such rule change if it appears to the Commission that such
action is necessary or appropriate in the public interest, for the
protection of investors, or otherwise in furtherance of the purposes of
the Act.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \6\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NSX-2010-06 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-NSX-2010-06. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of the filing will also be available for
inspection and copying at the principal office of the self-regulatory
organization. All comments received will be posted without change; the
Commission does not edit personal identifying information from
submissions. You

should submit only information that you wish to make available
publicly. All submissions should refer to File Number SR-NSX-2010-06
and should be submitted on or before July 21, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------

    \7\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-15822 Filed 6-29-10; 8:45 am]
BILLING CODE 8010-01-P


[Federal Register: December 10, 2007 (Volume 72, Number 236)]
[Rules and Regulations]
[Page 69598-69600]
[DOCID:fr10de07-13]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-29117; Directorate Identifier 2007-NM-114-AD;
Amendment 39-15291; AD 2007-25-09]
RIN 2120-AA64

Airworthiness Directives; Airbus Model A310 Series Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for the
products listed above. This AD results from mandatory continuing
airworthiness information (MCAI) originated by an aviation authority of
another country to identify and correct an unsafe condition on an
aviation product. The MCAI describes the unsafe condition as:

    As a result of a Wide Spread Fatigue Damage (WFD) calculation on
A310 aircraft it was found that a modification of the upper fuselage
circumferential joint at FR (frame) 55/58 is necessary to enable the
aircraft to reach the Extended Service Goal (ESG).

The unsafe condition is failure of the circumferential joint of the
upper fuselage, which could result in reduced structural integrity of
the airplane. We are issuing this AD to require actions to correct the
unsafe condition on these products.

DATES: This AD becomes effective January 14, 2008.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of January 14,
2008.

ADDRESSES: You may examine the AD docket on the Internet at http://www.regulations.gov
 or in person at the U.S. Department of

Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC.

FOR FURTHER INFORMATION CONTACT: Tom Stafford, Aerospace Engineer,
International Branch, ANM-116, FAA, Transport Airplane Directorate,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425)
227-1622; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM was published in the Federal Register on September 7, 2007
(72 FR 51386). That NPRM proposed to correct an unsafe condition for
the specified products. The MCAI states:

    As a result of a Wide Spread Fatigue Damage (WFD) calculation on
A310 aircraft it was found that a modification of the upper fuselage
circumferential joint at FR (frame) 55/58 is necessary to enable the
aircraft to reach the Extended Service Goal (ESG).
    As a consequence, this Airworthiness Directive (AD) requires the
reinforcement of the affected fuselage frame butt joint.

The unsafe condition is failure of the circumferential joint of the
upper fuselage, which could result in reduced structural integrity of
the airplane. You may obtain further information by examining the MCAI
in the AD docket.

Comments

    We gave the public the opportunity to participate in developing
this AD. We received no comments on the NPRM or on the determination of
the cost to the public.

Conclusion

    We reviewed the available data and determined that air safety and
the public interest require adopting the AD as proposed.

Differences Between This AD and the MCAI or Service Information

    We have reviewed the MCAI and related service information and, in
general, agree with their substance. But we might have found it
necessary to use different words from those in the MCAI to ensure the
AD is clear for U.S. operators and is enforceable. In making these
changes, we do not intend to differ substantively from the information
provided in the MCAI and related service information.
    We might also have required different actions in this AD from those
in the MCAI in order to follow our FAA policies. Any such differences
are highlighted in a NOTE within the AD.

Costs of Compliance

    We estimate that this AD will affect about 67 products of U.S.
registry. We also estimate that it will take about 330 work-hours per
product to comply with the basic requirements of this AD. The average
labor rate is $80 per work-hour. Required parts will cost about $3,016
per product. Where the service information lists required parts costs
that are covered under warranty, we have assumed that there will be no
charge for these parts. As we do not control warranty coverage for
affected parties, some parties may incur costs higher than estimated
here. Based on these figures, we estimate the cost of this AD to the
U.S. operators to be $1,970,872, or $29,416 per product.

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.
    We are 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

    We determined that 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 this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979); 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.
    We prepared a regulatory evaluation of the estimated costs to
comply with this AD and placed it in the AD docket.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov
; or in person at the

Docket Operations office between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The AD docket contains the NPRM, the
regulatory evaluation, any comments received, and other information.
The street address for the Docket Operations office (telephone (800)
647-5527) is in the ADDRESSES section. Comments will be available in
the AD docket shortly after receipt.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

0
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 AD:

2007-25-09 Airbus: Amendment 39-15291. Docket No. FAA-2007-29117;
Directorate Identifier 2007-NM-114-AD.

Effective Date

    (a) This airworthiness directive (AD) becomes effective January
14, 2008.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Airbus Model A310 series airplanes,
certificated in any category; all certified models; all serial
numbers; except airplanes that have received in-service application
of Airbus Service Bulletin A310-53-2125.

Subject

    (d) Air Transport Association (ATA) of America Code 53:
Fuselage.

Reason

    (e) The mandatory continuing airworthiness information (MCAI)
states:
    As a result of a Wide Spread Fatigue Damage (WFD) calculation on
A310 aircraft it was found that a modification of the upper fuselage
circumferential joint at FR (frame) 55/58 is necessary to enable the
aircraft to reach the Extended Service Goal (ESG).
    As a consequence, this Airworthiness Directive (AD) requires the
reinforcement of the affected fuselage frame butt joint.
    The unsafe condition is failure of the circumferential joint of
the upper fuselage, which could result in reduced structural
integrity of the airplane.

Actions and Compliance

    (f) Unless already done, do the following actions: Reinforce the
fuselage butt joint at FR 55/58 in accordance with the
Accomplishment Instructions of Airbus Service Bulletin A310-53-2125,
including Appendix 01, dated January 9, 2007, at the applicable
compliance times listed in Table 1 (threshold) or Table 2 (grace
period) of this AD, whichever occurs later.

                     Table 1.--Compliance Thresholds
------------------------------------------------------------------------
                                           Whichever occurs first after
                                           the effective date of this AD
                                         -------------------------------
                                            Accumulated     Accumulated
              Airbus model                  time since      time since
                                           first flight    first flight
                                            (in flight      (in flight
                                              cycles)         hours)
------------------------------------------------------------------------
A310-200 airplanes......................          41,500          83,500
A310-300 airplanes with an average                33,000          93,500
 flight time (AFT) < = to 4 hours........
A310-300 airplanes with an AFT > 4 hours          20,500         102,000
------------------------------------------------------------------------

                         Table 2.--Grace Periods
------------------------------------------------------------------------
                                           Whichever occurs first after
                                           the effective date of this AD
              Airbus model               -------------------------------
                                           Flight cycles   Flight hours
------------------------------------------------------------------------
A310-200 airplanes......................           1,500           3,000
A310-300 airplanes with an AFT < = 4                1,200           3,400
 hours..................................
A310-300 airplanes with an AFT > 4 hours             740           3,600
------------------------------------------------------------------------

FAA AD Differences

    Note: This AD differs from the MCAI and/or service information
as follows:
    No differences.

Other FAA AD Provisions

    (g) The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. Send information to ATTN: Tom
Stafford, Aerospace Engineer, International Branch, ANM-116,
Transport Airplane Directorate, FAA, 1601 Lind Avenue, SW., Renton,
Washington 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.
Before using any approved AMOC on any airplane to which the AMOC
applies, notify your appropriate principal inspector (PI) in the FAA
Flight Standards District Office (FSDO), or lacking a PI, your local
FSDO.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.
    (3) Reporting Requirements: For any reporting requirement in
this AD, under the provisions of the Paperwork Reduction Act, the
Office of Management and Budget (OMB) has approved the information
collection requirements and has assigned OMB Control Number 2120-
0056.

Related Information

    (h) Refer to MCAI European Aviation Safety Agency Airworthiness
Directive 2007-0111, dated April 25, 2007; and Airbus Service
Bulletin A310-53-2125, including Appendix 01, dated January 9, 2007;
for related information.

Material Incorporated by Reference

    (i) You must use Airbus Service Bulletin A310-53-2125, including
Appendix 01, dated January 9, 2007, to do the actions required by
this AD, unless the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of

this service information under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact
Airbus, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France.
    (3) You may review copies at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the
National Archives and Records Administration (NARA). For information
on the availability of this material at NARA, call<PHONE_NUMBER>,
or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html
.

    Issued in Renton, Washington, on November 23, 2007.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
 [FR Doc. E7-23457 Filed 12-7-07; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 79, Number 140 (Tuesday, July 22, 2014)]
[Notices]
[Page 42564]
[FR Doc No: 2014-17183]

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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-185, OMB Control No. 3235-0238]

Proposed Collection; Comment Request

Upon Written Request, Copy Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC
20549-2736

Extension:
    Form N-6F

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange
Commission (the ``Commission'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit this existing collection of information to the Office of
Management and Budget for extension and approval.
    The title for the collection of information is ``Form N-6F (17 CFR
274.15), Notice of Intent to Elect to be Subject to Sections 55 through
65 of the Investment Company Act of 1940.'' The purpose of Form N-6F is
to notify the Commission of a company's intent to file a notification
of election to become subject to Sections 55 through 65 of the
Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) (``1940
Act''). Certain companies may have to make a filing with the Commission
before they are ready to elect to be regulated as a business
development company.\1\ A company that is excluded from the definition
of ``investment company'' by Section 3(c)(1) because it has fewer than
one hundred shareholders and is not making a public offering of its
securities may lose such an exclusion solely because it proposes to
make a public offering of securities as a business development company.
Such company, under certain conditions, would not lose its exclusion if
it notifies the Commission on Form N-6F of its intent to make an
election to be regulated as a business development company. The company
only has to file a Form N-6F once.
---------------------------------------------------------------------------

    \1\ A company might not be prepared to elect to be subject to
Sections 55 through 65 of the 1940 Act because its capital structure
or management compensation plan is not yet in compliance with the
requirements of those sections.
---------------------------------------------------------------------------

    The Commission estimates that on average approximately 15 companies
file these notifications each year. Each of those companies need only
make a single filing of Form N-6F. The Commission further estimates
that this information collection imposes burden of 0.5 hours, resulting
in a total annual PRA burden of 7.5 hours. Based on the estimated wage
rate, the total cost to the industry of the hour burden for complying
with Form N-6F would be approximately $2,505.
    The collection of information under Form N-6F is mandatory. The
information provided under the form is not kept confidential. An agency
may not conduct or sponsor, and a person is not required to respond to,
a collection of information unless it displays a currently valid OMB
control number.
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to Thomas Bayer, Chief
Information Officer, Securities and Exchange Commission, C/O Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549; or send an email
to<EMAIL_ADDRESS>
    Dated: July 16, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-17183 Filed 7-21-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: April 13, 2009 (Volume 74, Number 69)]
[Notices]
[Page 16857-16861]
[DOCID:fr13ap09-54]

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

ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2009-0147; FRL-8406-5]

Certain New Chemicals; Receipt and Status Information

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: Section 5 of the Toxic Substances Control Act (TSCA) requires
any person who intends to manufacture (defined by statute to include
import) a new chemical (i.e., a chemical not on the TSCA Inventory) to
notify EPA and comply with the statutory provisions pertaining to the
manufacture of new chemicals. Under sections 5(d)(2) and 5(d)(3) of
TSCA, EPA is required to publish a notice of receipt of a
premanufacture notice (PMN) or an application for a test marketing
exemption (TME), and to publish periodic status reports on the
chemicals under review and the receipt of notices of commencement to
manufacture those chemicals. This status report, which covers the
period from January 26, 2009 through February 13, 2009, consists of the
PMNs and TME, both pending or expired, and the notices of commencement
to manufacture a new

chemical that the Agency has received under TSCA section 5 during this
time period.

DATES: Comments identified by the specific PMN number or TME number,
must be received on or before May 13, 2009.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2009-0147, by one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
     Mail: Document Control Office (7407M), Office of Pollution
Prevention and Toxics (OPPT), Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001.
     Hand Delivery: OPPT Document Control Office (DCO), EPA
East Bldg., Rm. 6428, 1201 Constitution Ave., NW., Washington, DC.
Attention: Docket ID Number EPA-HQ-OPPT-2009-0147. The DCO is open from
8 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the DCO is<PHONE_NUMBER>. Such deliveries are
only accepted during the DCO's normal hours of operation, and special
arrangements should be made for deliveries of boxed information.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPPT-
2009-0147. EPA's policy is that all comments received will be included
in the docket without change and may be made available on-line at
http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through regulations.gov or e-
mail. The regulations.gov website is an ``anonymous access'' system,
which means EPA will not know your identity or contact information
unless you provide it in the body of your comment. If you send an e-
mail comment directly to EPA without going through regulations.gov,
your e-mail address will be automatically captured and included as part
of the comment that is placed in the docket and made available on the
Internet. If you submit an electronic comment, EPA recommends that you
include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit. If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses. For additional
information about EPA's public docket, visit the EPA Docket Center
homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the docket index
available in regulations.gov. To access the electronic docket, go to
http://www.regulations.gov, select ``Advanced Search,'' then ``Docket
Search.'' Insert the docket ID number where indicated and select the
``Submit'' button. Follow the instructions on the regulations.gov
website to view the docket index or access available documents.
Although listed in the index, some information is not publicly
available, e.g., CBI or other information whose disclosure is
restricted by statute. Certain other material, such as copyrighted
material, will be publicly available only in hard copy. Publicly
available docket materials are available electronically at http://
www.regulations.gov, or, if only available in hard copy, at the OPPT
Docket. The OPPT Docket is located in the EPA Docket Center (EPA/DC) at
Rm. 3334, EPA West Bldg., 1301 Constitution Ave., NW., Washington, DC.
The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30
p.m., Monday through Friday, excluding Federal holidays. The telephone
number of the EPA/DC Public Reading Room is<PHONE_NUMBER>, and the
telephone number for the OPPT Docket is<PHONE_NUMBER>. Docket visitors
are required to show photographic identification, pass through a metal
detector, and sign the EPA visitor log. All visitor bags are processed
through an X-ray machine and subject to search. Visitors will be
provided an EPA/DC badge that must be visible at all times in the
building and returned upon departure.

FOR FURTHER INFORMATION CONTACT: Colby Lintner, Regulatory Coordinator,
Environmental Assistance Division, Office of Pollution Prevention and
Toxics (7408M), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>;
e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    This action is directed to the public in general. As such, the
Agency has not attempted to describe the specific entities that this
action may apply to. Although others may be affected, this action
applies directly to the submitter of the premanufacture notices
addressed in the action. If you have any questions regarding the
applicability of this action to a particular entity, consult the person
listed under FOR FURTHER INFORMATION CONTACT.

B. What Should I Consider as I Prepare My Comments for EPA?

    1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or e-mail. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD-ROM that you mail to EPA, mark the outside of the disk or CD-ROM
that you mail to EPA, mark the outside of the disk or CD-ROM as CBI and
then identify electronically within the disk or CD-ROM the specific
information that is claimed as CBI. In addition to one complete version
of the comment that includes information claimed as CBI, a copy of the
comment that does not contain the information claimed as CBI must be
submitted for inclusion in the public docket. Information so marked
will not be disclosed except in accordance with procedures set forth in
40 CFR part 2.
    2. Tips for preparing your comments. When submitting comments,
remember to:
    i. Identify the document by docket ID number and other identifying
information (subject heading, Federal Register date and page number).
    ii. Follow directions. The Agency may ask you to respond to
specific questions or organize comments by referencing a Code of
Federal Regulations (CFR) part or section number.
    iii. Explain why you agree or disagree; suggest alternatives and
substitute language for your requested changes.
    iv. Describe any assumptions and provide any technical information
and/or data that you used.
    v. If you estimate potential costs or burdens, explain how you
arrived at your estimate in sufficient detail to allow for it to be
reproduced.
    vi. Provide specific examples to illustrate your concerns and
suggest alternatives.
    vii. Explain your views as clearly as possible, avoiding the use of
profanity or personal threats.
    viii. Make sure to submit your comments by the comment period
deadline identified.

II. Why is EPA Taking this Action?

    Section 5 of TSCA requires any person who intends to manufacture
(defined by statute to include import) a new chemical (i.e., a chemical
not on the TSCA Inventory to notify EPA and comply with the statutory
provisions

pertaining to the manufacture of new chemicals. Under sections 5(d)(2)
and 5(d)(3) of TSCA, EPA is required to publish a notice of receipt of
a PMN or an application for a TME and to publish periodic status
reports on the chemicals under review and the receipt of notices of
commencement to manufacture those chemicals. This status report, which
covers the period from January 26, 2009 through February 13, 2009,
consists of the PMNs and TME, both pending or expired, and the notices
of commencement to manufacture a new chemical that the Agency has
received under TSCA section 5 during this time period.

III. Receipt and Status Report for PMNs

    This status report identifies the PMNs and TME, both pending or
expired, and the notices of commencement to manufacture a new chemical
that the Agency has received under TSCA section 5 during this time
period. If you are interested in information that is not included in
the following tables, you may contact EPA as described in Unit I. to
access additional non-CBI information that may be available.
    In Table I of this unit, EPA provides the following information (to
the extent that such information is not claimed as CBI) on the PMNs
received by EPA during this period: the EPA case number assigned to the
PMN; the date the PMN was received by EPA; the projected end date for
EPA's review of the PMN; the submitting manufacturer; the potential
uses identified by the manufacturer in the PMN; and the chemical
identity.

                                            I. 44 Premanufacture Notices Received From: 01/26/09 to 02/13/09
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              Projected Notice End
              Case No.                    Received Date               Date           Manufacturer/Importer           Use                  Chemical
--------------------------------------------------------------------------------------------------------------------------------------------------------
P-09-0178                            01/26/09                04/25/09                CBI                    (G) Polymer coating    (G) Fatty acids,
                                                                                dimers, polymers
                                                                                with alkane diol,
                                                                                dihydroxyfunctional
                                                                                monocarboxylic acid,
                                                                                alkyl isocyanate,
                                                                                alkanediol, aromatic
                                                                                anhydride, glycol
                                                                                ether and
                                                                                alkanetriol,
                                                                                compounds with amino
                                                                                alcohol
P-09-0179                            01/26/09                04/25/09                CBI                    (G) Polymer coating    (G) Fatty acids,
                                                                                dimers, polymers
                                                                                dihydroxyfunctional
                                                                                monocarboxylic acid,
                                                                                alkane diol, alkyl
                                                                                isocyanate,
                                                                                alkanediol, aromatic
                                                                                anhydride, glycol
                                                                                ether and
                                                                                alkanetriol,
                                                                                compounds with amino
                                                                                alcohol
P-09-0180                            01/26/09                04/25/09                DuPont Performance     (G) Polymer modifier / (G) Modified
                                                                                Elastomers, LLC         process aid           tetrafluoroethylene-
                                                                                fluoroelastomer part   hexafluoropropene-
                                                                                vinylidene fluoride
                                                                                copolymer
P-09-0181                            01/26/09                04/25/09                CBI                    (G) Intermediate       (G) Dimer fatty
                                                                                polymer                acids, polymers with
                                                                                alkane diol, alkyl
                                                                                glycol, carboxylic
                                                                                acid anhydride,
                                                                                glycol ether and
                                                                                alcohol
P-09-0182                            01/27/09                04/26/09                CBI                    (G) Polymer for        (G) 2-propenoic acid,
                                                                                waterborne paint       2-methyl-, polymer
                                                                                with ethenylbenzene,
                                                                                ethyl 2-propenoate,
                                                                                formaldehyde, 2-
                                                                                hydroxyethyl 2-
                                                                                propenoate, methyl 2-
                                                                                methyl-2-propenoate
                                                                                and substituted
                                                                                monoheterocycle,
                                                                                tert-bu 2-
                                                                                ethylhexaneperoxoate-
                                                                                initiated, compounds
                                                                                with 2-
                                                                                (dimethylamino)ethan
                                                                                ol]
P-09-0183                            01/27/09                04/26/09                Cook Composites and    (S) Thermoset          (G) 2,5-furandione,
                                                                                Polymers Co.           laminating resin for   polymer with
                                                                                reinforced composite   alkanediol,
                                                                                parts; thermoset       3a,4,5,6,7,7a-
                                                                                closed molding resin   hexahydro-4,7-
                                                                                for reinforced         methano-1H-inden-
                                                                                composite parts        5(or 6)-yl ester
P-09-0184                            01/26/09                04/25/09                CBI                    (S) Resin for ultra    (G) Polyester
                                                                                violet or eletron      polyurethane
                                                                                beam radiation         acrylate oligomer
                                                                                curable coatings and
                                                                                inks
P-09-0185                            01/27/09                04/26/09                Cytec Industries Inc.  (G) Coatings resin     (G) Substituted
                                                                                carbomonocycles
                                                                                polymer with
                                                                                substituted
                                                                                hetermonocycle,
                                                                                alkane diol,
                                                                                substituted alkanoic
                                                                                acid, alkylene
                                                                                glycol compound with
                                                                                substituted amine
P-09-0186                            01/27/09                04/26/09                Cytec Industries Inc.  (G) coating resin      (S) Phenol, polymer
                                                                                with formaldehyde,
                                                                                bu ether
P-09-0187                            01/29/09                04/28/09                Lubrizol               (S) Corrosion          (S) N,N'-
                                                                                inhibitor in           methylenebismorpholi
                                                                                metalworking fluids    ne
P-09-0188                            01/29/09                04/28/09                CBI                    (G) Component of       (G) Carbon
                                                                                paints, coatings,      nanomaterial
                                                                                and industrial
                                                                                composites
P-09-0189                            01/29/09                04/28/09                Reichhold, Inc.        (S) Pigment gringing   (G) Polyester polymer
                                                                                vehicle
P-09-0190                            01/30/09                04/29/09                CBI                    (G) Curative for       (S) Fatty acids, C18-
                                                                                epoxy containing       unsaturated, dimers,
                                                                                adhesives              di-me esters,
                                                                                hydrogenated, bis[4-
                                                                                (acetyloxy)benzoates
                                                                                ]

P-09-0191                            01/30/09                04/29/09                CBI                    (G) Emulsifier         (G) Polyoxyalkylene
                                                                                phenyl ether,
                                                                                styrenated,
                                                                                sulfated, ammonium
                                                                                salts
P-09-0192                            01/30/09                04/29/09                Esstech, Inc.          (S) Adhesive           (S) 1,2,4,5-
                                                                                benzenetetracarboxyl
                                                                                ic acid, 1,4-bis[2-
                                                                                [(2-methyl-1-oxo-
                                                                                propen-1-yl)oxy]-1-
                                                                                [[(2-methyl-1-oxo-2-
                                                                                propen-1-
                                                                                yl)oxy]methyl]ethyl]
                                                                                ester
P-09-0193                            02/03/09                05/03/09                CBI                    (S) Intermediate for   (S) Phosphonic acid,
                                                                                flame retardant        [2-[bis(2-
                                                                                polyurethane           hydroxyethyl)amino]e
                                                                                manufacture            thyl]-, bis(2-
                                                                                chloroethyl) ester
P-09-0194                            02/03/09                05/03/09                CBI                    (S) Binder for flame   (G) Polyurethane
                                                                                retardant textile      toluenediisocyante,
                                                                                coatings               aklyl glycol adipate
                                                                                polyester,
                                                                                brominated
                                                                                neopentylglycol and
                                                                                chloroethyl
                                                                                phosphonic acid
                                                                                diols.
P-09-0195                            02/03/09                05/03/09                CBI                    (S) Intermediate for   (S) Phosphonic acid,
                                                                                flame retardant        P-[2-[bis(2-
                                                                                polyurethane           hydroxyethyl)amino]e
                                                                                manufacture            thyl]-, 2-bis(2-
                                                                                chloroethoxy)phosphi
                                                                                nyl]ethyl 2-
                                                                                chloroethyl ester
P-09-0196                            02/03/09                05/03/09                CBI                    (G) Adhesive           (G) Acrylic
                                                                                isocyanate
                                                                                intermediate
P-09-0198                            02/04/09                05/04/09                CBI                    (G) Additive for       (G) Carbon derivative
                                                                                reinforcement
P-09-0199                            02/04/09                05/04/09                CBI                    (G) Additive for       (G) Carbon derivative
                                                                                reinforcement
P-09-0200                            02/05/09                05/05/09                DuPont Company         (G) Polymer additive   (G) Alkanoic acid,
                                                                                potassium salt
P-09-0201                            02/05/09                05/05/09                DuPont Company         (G) Polymer additive   (G) Alkanoic acid,
                                                                                sodium salt
P-09-0202                            02/05/09                05/05/09                CBI                    (G) Lubricant          (G) N-aklyl
                                                                                additive               pyrrolidinedione
                                                                                derivative
P-09-0203                            02/06/09                05/06/09                CBI                    (G) Fabrication of     (G) Unsaturated
                                                                                composite articles.    urethane
                                                                                methacrylate
P-09-0204                            02/06/09                05/06/09                Wacker Chemical        (S) Additive for       (G) Siloxanes and
                                                                                Corporation            antifoam agents        silicones, di-me,
                                                                                hydroxyalkyl me,
                                                                                alkoxylated,
                                                                                polymers with
                                                                                diisocyanatoalkane,
                                                                                polyalkylene-glycol
                                                                                monoallyl ether-
                                                                                blocked
P-09-0205                            02/06/09                05/06/09                CBI                    (G) Inhibitor for oil  (G) Quaternary
                                                                                field applications     ammonium compound
P-09-0206                            02/06/09                05/06/09                CBI                    (G) Raw material for   (G) Alkymethacrylate
                                                                                reaction to form a
                                                                                polymer.
P-09-0207                            02/09/09                05/09/09                CBI                    (S) Site limited,      (G) Alcohol
                                                                                isolated, chemical     ethoxylate
                                                                                intermediate
P-09-0208                            02/10/09                05/10/09                CBI                    (S) Curing agent for   (G) Mixture on N-
                                                                                epoxy coating          methylated
                                                                                systems                polyalkylenepolyamin
                                                                                e
P-09-0209                            02/10/09                05/10/09                Cognis Corporation     (G) Low foaming        (S) Poly(oxy-1,2-
                                                                                wetting agent          ethanediyl), .alpha.-
                                                                                undecyl-.omega.-
                                                                                hydroxy-, branched
                                                                                and linear, ethers
                                                                                with 1,2-decanediol
                                                                                (1:1)
P-09-0210                            02/11/09                05/11/09                CBI                    (G) Pour point         (G) Furandione
                                                                                depressant             polymer with
                                                                                ethenylbenzene,
                                                                                alkyl ester
P-09-0211                            02/11/09                05/11/09                CBI                    (G) Inhibitor for      (G) Quaternary
                                                                                oilfield               ammonium compound
                                                                                applications
P-09-0212                            02/12/09                05/12/09                CBI                    (S) Intermediate for   (G) Polyol, polyester
                                                                                industry foam;         polyol
                                                                                intermediate for
                                                                                insulating foam
P-09-0213                            02/11/09                05/11/09                CBI                    (G) Polymeric binder   (G) Styrene-
                                                                                methacrylate
                                                                                copolymer
P-09-0214                            02/11/09                05/11/09                CBI                    (G) Polymeric binder   (G) Styrene-
                                                                                methacrylate
                                                                                copolymer
P-09-0215                            02/11/09                05/11/09                CBI                    (G) Polymeric binder   (G) Styrene-
                                                                                methacrylate
                                                                                copolymer
P-09-0216                            02/12/09                05/12/09                Solvay Fluorides LLC   (G) Specialty          (S) 1,3-dioxolan-2-
                                                                                additive               one, 4-fluoro-
P-09-0217                            02/12/09                05/12/09                CBI                    (G) Functional         (G) Fatty acid ester
                                                                                component in
                                                                                industrial fluid
P-09-0218                            02/12/09                05/12/09                CBI                    (G) Functional         (G) Fatty acid ester
                                                                                component in
                                                                                industrial fluid
P-09-0219                            02/12/09                05/12/09                CBI                    (G) Functional         (G) Fatty acid ester
                                                                                component in
                                                                                industrial fluid
P-09-0220                            02/12/09                05/12/09                CBI                    (G) Functional         (G) Fatty acid ester
                                                                                component in
                                                                                industrial fluid
P-09-0221                            02/12/09                05/12/09                CBI                    (G) Functional         (G) Fatty acid ester
                                                                                component in
                                                                                industrial fluid
--------------------------------------------------------------------------------------------------------------------------------------------------------

    In Table II of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the TMEs
received:

                                       II. 2 Test Marketing Exemption Notices Received From: 01/26/09 to 02/13/09
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              Projected Notice End
              Case No.                    Received Date               Date           Manufacturer/Importer           Use                  Chemical
--------------------------------------------------------------------------------------------------------------------------------------------------------
T-09-0002                            01/27/09                03/12/09                Cytec Industries Inc.  (G) Coatings resin     (G) Substituted
                                                                                carbomonocycles
                                                                                polymer with
                                                                                substituted
                                                                                hetermonocycle,
                                                                                alkane diol,
                                                                                substituted alkanoic
                                                                                acid, alkylene
                                                                                glycol compound with
                                                                                substituted amine
T-09-0003                            01/27/09                03/12/09                Cytec Industries Inc.  (G) Coatings resin     (S) Phenol, polymer
                                                                                with formaldehyde,
                                                                                bu ether
--------------------------------------------------------------------------------------------------------------------------------------------------------

    In Table III of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the
Notices of Commencement to manufacture received:

                           III. 14 Notices of Commencement From: 01/26/09 to 02/13/09
----------------------------------------------------------------------------------------------------------------
                                                                Commencement Notice
              Case No.                     Received Date             End Date                  Chemical
----------------------------------------------------------------------------------------------------------------
P-00-0849                             02/04/09                11/21/08                (S) Morpholine, 4-(1,1-
                                                                                dimethylethyl)-
P-06-0324                             02/03/09                01/07/09                (G) Polyphosphoric acids
                                                                                compounds with pyrolyzed
                                                                                melamine
P-06-0379                             01/27/09                01/06/09                (G) Alkyl substituted
                                                                                carbotricycle acid
                                                                                anhydride
P-06-0725                             02/09/09                01/25/09                (G) Propyl heptanol
                                                                                distillation residues
P-07-0445                             02/03/09                01/14/09                (G) Fluoroalkyl
                                                                                methacrylate copolymer
P-08-0472                             01/29/09                12/29/08                (S) Morpholine, 4-
                                                                                [(triethoxysilyl)methyl]-
                                                                                *
P-08-0554                             02/12/09                02/04/09                (G) Aqueous polyurethane
                                                                                dispersion
P-08-0681                             02/03/09                01/30/09                (G) Polyester resin
P-08-0689                             01/26/09                12/17/08                (G) Substituted aliphatic
                                                                                amine
P-08-0701                             02/04/09                01/20/09                (G) Benzoic acid, 4-chloro-
                                                                                2-[(substituted)azo]-,
                                                                                strontium salt (1:1)
P-08-0736                             01/28/09                01/06/09                (G) Alkanedioic acid,
                                                                                polymer with alkyl
                                                                                diisocyanate, substituted
                                                                                alkyldiol, substituted
                                                                                alkanoic acid, copolymer,
                                                                                substituted oxepanone
                                                                                homopolymer-blocked
P-08-0741                             01/30/09                01/07/09                (G) Cyclohexanedialdehyde
                                                                                tetra phenol
P-08-0750                             02/04/09                01/21/09                (G) Aqueous polyurethane
                                                                                resin dispersion
P-08-0756                             02/03/09                01/30/09                (G) Polyester resin
----------------------------------------------------------------------------------------------------------------

List of Subjects

    Environmental protection, Chemicals, Premanufacturer notices.

    Dated: March 6, 2009.
Chandler Sirmons,
Acting Director, Information Management Division, Office of Pollution
Prevention and Toxics.

[FR Doc. E9-8362 Filed 4-10-09; 8:45 am]

BILLING CODE 6560-50-S