[Federal Register: June 14, 2010 (Volume 75, Number 113)]
[Rules and Regulations]
[Page 33506-33509]
[DOCID:fr14jn10-8]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2010-0073]
RIN 1625-AA87

Safety and Security Zones; Tall Ships Challenge 2010, Great
Lakes, Cleveland, OH, Bay City, MI, Duluth, MN, Green Bay, WI, Sturgeon
Bay, WI, Chicago, IL, Erie, PA

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing temporary safety and security
zones around each tall ship visiting the Great Lakes during the Tall
Ships Challenge 2010 race series. These safety and security zones will
restrict vessel traffic in the vicinity of each tall ship in the
navigable waters of the United States. The Coast Guard is taking this
action to safeguard participants and spectators from the hazards
associated with the limited maneuverability of these tall ships and to
ensure public safety during tall ships events.

DATES: This rule is effective from 12:01 a.m. on June 23, 2010 until
12:01 a.m. on September 13, 2010.

ADDRESSES: Documents indicated in this preamble as being available in
the docket are part of docket USCG-2010-0073 and are available online
by going to http://www.regulations.gov, inserting USCG-2010-0073 in the
``Keyword'' box, and then clicking ``Search.'' This material is also
available for inspection or copying at the Docket Management Facility
(M-30), U.S. Department of Transportation, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590,
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this
temporary rule, call or e-mail LT Yamaris Barril, Inspections,
Prevention Department, Ninth Coast Guard District, Cleveland, OH,
telephone<PHONE_NUMBER>, e-mail<EMAIL_ADDRESS>If you have
questions on viewing the docket, call Renee V. Wright, Program Manager,
Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Regulatory Information

    On April 12, 2010, the Coast Guard published a notice of proposed
rule making (NPRM) entitled Safety and Security Zones; Tall Ships
Challenge

2010, Great Lakes, Cleveland, OH, Bay City, MI, Duluth, MN, Green Bay,
WI, Sturgeon Bay, WI, Chicago, IL, Erie, PA in the Federal Register (75
FR 18451). The Coast Guard received 0 public submissions commenting on
the proposed rule. No public meeting was requested, and none was held.
    Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause
exists for making this rule effective less than 30 days after
publication in the Federal Register. Delaying this rule would be
contrary to the public interest of ensuring the safety of spectators
and vessels during this operation and immediate action is necessary to
prevent possible loss of life or property from the dangers that are
associated with Tall Ship operations.

Basis and Purpose

    During the Tall Ships Challenge 2010, tall ships will be
participating in parades and then mooring in the harbors of Cleveland,
OH; Bay City, MI; Duluth, MN; Green Bay, WI; Sturgeon Bay, WI; Chicago,
IL; and Erie, PA. At 12:01 a.m. on June 23, 2010, a safety and security
zone will be established around each tall ship participating in these
events. These safety and security zones will move with the tall ships
as they travel throughout the Great Lakes. The safety and security
zones will terminate at 12:01 a.m. on September 13, 2010.
    These temporary safety and security zones are necessary to protect
the tall ships from potential harm and to protect the public from the
hazards associated with the limited maneuverability of these sailing
ships. Due to the high profile nature and extensive publicity
associated with this event, each Captain of the Port (COTP) expects a
large number of spectators in confined areas adjacent to and on Lake
Erie, Saginaw Bay, Lake Huron, Duluth Harbor, Lake Superior, Green Bay,
Sturgeon Bay, and Lake Michigan. The combination of large numbers of
recreational boaters, congested waterways, boaters crossing
commercially transited waterways and limited maneuverability of the
tall ships could easily result in serious injuries or fatalities.
Therefore, the Coast Guard will enforce a safety and security zone
around each ship to ensure the safety of both participants and
spectators in these areas.

Discussion of Comments and Changes

    The Coast Guard received 0 public submissions commenting on this
rule.

Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that Order. The Office of Management and Budget has not
reviewed it under that Order. We conclude that this proposed rule is
not a significant regulatory action because we anticipate that it will
have minimal impact on the economy, will not interfere with other
agencies, will not adversely alter the budget of any grant or loan
recipients, and will not raise any novel legal or policy issues. This
determination is based on the following: The safety and security zone
around each tall ship will be relatively small. Because the safety and
security zones will move with the tall ships course through the Great
Lakes, the zones will exist for only a minimal time in any one
particular geographical area. Thus, the restrictions on vessel movement
within any particular geographical area of the Great Lakes is expected
to be minimal. Under certain conditions, moreover, vessels may still
transit through a safety and security zone when permitted by the
Captain of the Port.
    The Coast Guard received 0 public submissions commenting on the
proposed rule. There have been no changes made to the rule as proposed.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this proposed rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses and not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed
rule would not have a significant economic impact on a substantial
number of small entities. This rule would affect the following
entities, some of which might be small entities: The owners or
operators of vessels intending to transit or anchor in an area of water
in which a participating tall ship is transiting, anchored, or moored
between 12:01 a.m. on June 23, 2010 and 12:01 a.m. on September 13,
2010. Each zone will be relatively small, and vessels may still transit
through a zone with permission from the official on-scene patrol.
    The Coast Guard received 0 public submissions commenting on the
impact to small entities by this rule. There have been no changes made
to the rule as proposed.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), in the NPRM we offered to
assist small entities in understanding the rule so that they could
better evaluate its effects on them and participate in the rulemaking
process.

Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this rule under
that Order and have determined that it does not have implications for
federalism. The Coast Guard received 0 public submissions commenting on
the proposed rule.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 or more in any
one year. Though this rule will not result in such an expenditure, we
do discuss the effects of this rule elsewhere in this preamble. The
Coast Guard received 0 public submissions commenting on the proposed
rule. There have been no changes made to the rule as proposed.

Taking of Private Property

    This rule will not effect a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights. The Coast Guard received 0 public submissions commenting on the
proposed rule. There have been no changes made to the rule as proposed.

Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden. The Coast Guard received 0
public submissions commenting on the proposed rule. There have been no
changes made to the rule as proposed.

Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children. The Coast Guard received 0 public
submissions commenting on the proposed rule. There have been no changes
made to the rule as proposed.

Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes. The Coast Guard
received 0 public submissions commenting on the proposed rule. There
have been no changes made to the rule as proposed.

Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211. The Coast Guard received 0 public
submissions commenting on the proposed rule. There have been no changes
made to the rule as proposed.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards. The Coast Guard
received 0 public submissions commenting on the proposed rule. There
have been no changes made to the rule as proposed.

Environment

    We have analyzed this proposed rule under Commandant Instruction
M16475.lD and Department of Homeland Security Management Directive 023-
01, which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and
have concluded this action is one of a category of actions which do not
individually or cumulatively have a significant effect on the human
environment. This rule is categorically excluded, under figure 2-1,
paragraph (34)(g) of the Instruction. An environmental analysis
checklist and a categorical exclusion determination are available in
the docket where indicated under ADDRESSES.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

0
For the reasons discussed in the preamble, the Coast Guard amends 33
CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701, 3306,
3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5;
Pub. L. 107-295, 116 Stat. 2064; Department of Homeland Security
Delegation No. 0170.1.

0
2. Add Sec.  165.T09-0073 to read as follows:

Sec.  165.T09-0073  Safety and Security Zones; Tall Ships Challenge
2010; Great Lakes; Cleveland, OH; Bay City, MI; Duluth, MN; Green Bay,
WI; Sturgeon Bay, WI; Chicago, IL; Erie, PA.

    (a) Definitions. The following definitions apply to this section:
Navigation Rules means the Navigation Rules, International and Inland
(See, 1972 COLREGS and 33 U.S.C. 2001 et seq.).
    Official Patrol means those persons designated by Captain of the
Port Buffalo, Detroit, Sault Ste. Marie, Duluth and Lake Michigan to
monitor a Tall Ship safety and security zone, permit entry into the
zone, give legally enforceable orders to persons or vessels within the
zone, and take other actions authorized by the cognizant Captain of the
Port.
    Public Vessel means vessels owned, chartered, or operated by the
United States or by a State or political subdivision thereof.
    Tall Ship means any sailing vessel participating in the Tall Ships
Challenge 2010 in the Great Lakes. This includes, but is not limited
to, the following: Sailing Vessel (S/V) AMISTAD, S/V APPLEDORE IV, S/V
APPLEDORE V, HMS BOUNTY, S/V DENIS SULLIVAN, S/V EUROPA, S/V FAZISI, S/
V FRIENDS OF GOOD WILL, S/V INLAND SEAS, S/V LAREVENANTE, S/V LYNX, S/V
MADELINE, S/V FLAGSHIP NIAGARA, S/V PATHFINDER, S/V PLAYFAIR, S/V PRIDE
OF BALTIMORE II, S/V ROALD AMUNDSEN, S/V RED WITCH, S/V ROTALISTE, S/V
ROSEWAY, S/V UNICORN, S/V WELCOME, and S/V WINDY.
    (b) Location. The following area is a safety and security zone: all
navigable waters of the United States located in the Ninth Coast Guard
District within a 100 yard radius of any Tall Ship.
    (c) Regulations. (1) Entry into a safety and security zone
described in paragraph (b) of this section is prohibited unless
authorized by the cognizant Coast Guard Captain of the Port or the
Official Patrol.
    (2) Vessels may request permission to enter into a safety and
security zone described in paragraph (b) of this section by contacting
the Official Patrol on VHF channel 16.
    (3) Any vessel operating within a safety and security zone
established by this section must operate at the minimum speed necessary
to maintain a safe course and must proceed as directed by the Captain
of the Port or the on-scene Official Patrol. Any vessel or person
allowed to enter a safety and security zone established by this section
must still remain at least 25 yards from any Tall Ship, unless
authorized to

come within such a distance pursuant to paragraph (c)(4) of this
section or permitted to come within such a distance by the cognizant
Captain of the Port, his or her designated representative, or the on-
scene Official Patrol.
    (4) Vessels are permitted to transit through the safety and
security zone in waterways that do not provide adequate navigable
waters greater than 100 yards from the Tall Ships. Vessels transiting
such areas must operate at the minimum speed necessary to maintain a
safe course while also maintaining the greatest possible distance away
from the Tall Ships.
    (d) Effective period. This rule is effective from 12:01 a.m. on
Wednesday, June 23, 2010 through 12:01 a.m. on Monday September 13,
2010.
    (e) Navigation Rules. The Navigation Rules must apply at all times
within a Tall Ships safety and security zone.
    (f) When a Tall Ship approaches within 25 yards of any vessel that
is moored or anchored, the stationary vessel must stay moored or
anchored while it remains within the tall ship's safety and security
zone unless ordered by or given permission from the cognizant Captain
of the Port, his or her designated representative, or the on-scene
official patrol to do otherwise.

    Dated: May 21, 2010.
M.N. Parks,
Rear Admiral, U.S. Coast Guard, Commander, Ninth Coast Guard District.
[FR Doc. 2010-14146 Filed 6-11-10; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 84, Number 170 (Tuesday, September 3, 2019)]
[Notices]
[Pages 46075-46079]
[FR Doc No: 2019-18871]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-86774; File No. SR-NASDAQ-2019-065]

Self-Regulatory Organizations; The Nasdaq Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Correct and Clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d)

August 27, 2019.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 15, 2019, The Nasdaq Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to correct and clarify Rules 4702(b)(3)(B),
4702(b)(5)(B), and 4703(d).
    The text of the proposed rule change is available on the Exchange's
website at http://nasdaq.cchwallstreet.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 aspects of such
statements.

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

1. Purpose
    The Exchange proposes to amend Rules 4702 and 4703 to correct and
clarify its various descriptions of the circumstances in which the
Exchange will cancel certain types of midpoint pegged Orders \3\ after
they post to the Nasdaq Book \4\ and the National Best Bid and National
Best Offer (``NBBO'') or the Inside Bid and Inside Offer subsequently
shifts.\5\ The Exchange intended for these descriptions to be
consistent and comprehensive, but upon review, they are somewhat
discordant and confusing.
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    \3\ Pursuant to Rule 4701(e), the term ``Order'' means an
instruction to trade a specified number of shares in a specified
System Security submitted to the Nasdaq Market Center by a
Participant. An ``Order Type'' is a standardized set of instructions
associated with an Order that define how it will behave with respect
to pricing, execution, and/or posting to the Nasdaq Book when
submitted to Nasdaq. An ``Order Attribute'' is a further set of
variable instructions that may be associated with an Order to
further define how it will behave with respect to pricing,
execution, and/or posting to the Nasdaq Book when submitted to
Nasdaq.
    \4\ Pursuant to Rule 4701(a)(1), the ``Nasdaq Book'' refers to a
montage for Quotes and Orders that collects and ranks all Quotes and
Orders submitted by Participants. The term ``Quote'' means a single
bid or offer quotation submitted to the System by a Market Maker or
Nasdaq ECN and designated for display (price and size) next to the
Participant's MPID in the Nasdaq Book. See Rule 4701(d).
    \5\ Pursuant to Rule 4703(d), the terms ``Inside Bid'' and
``Inside Offer'' mean the price to which an Order is pegged for
purposes of Rule 4703. The term ``Midpoint'' means the midpoint of
the NBBO or the Inside Bid and Inside Offer.
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    In 2015, the Exchange restated its Rules that describe its Order
Types (Rule 4702) and Attributes (Rule 4703).\6\ Among the topics that
the restated Rules described were the circumstances in which the
Exchange cancels orders priced at the Midpoint of the NBBO (the Inside
Bid and the Inside Offer) or priced at their limit price when the NBBO
(the Inside bid and the Inside Offer) changes after the order posts to
the Nasdaq Book. The Exchange described these circumstances in three
different provisions of its Rules pertaining to Orders with Midpoint
pegging (``Midpoint-Pegged Orders'').
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    \6\ See Securities Exchange Act Release No. 34-74558 (Mar. 20,
2015), 80 FR 16050 (Mar. 26, 2015) (SR-NASDAQ-2015-024).
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    First, in Rule 4702(b)(3)(B), the Exchange states as follows in
describing the cancellation of a Non-Displayed Order with a Midpoint
Pegging Order Attribute assigned to it:

    If a Non-Displayed Order entered through OUCH or FLITE is
assigned a Midpoint Pegging Order Attribute, and if, after being
posted to the Nasdaq Book, the NBBO changes so that the Non-
Displayed Order is no longer at the Midpoint between the NBBO, the
Non-Displayed Order will be cancelled back to the Participant. In
addition, if a Non-Displayed Order entered through OUCH or FLITE is
assigned a Midpoint Pegging Attribute and also has a limit price
that is lower than the midpoint between the NBBO for an Order to buy
(higher than the

midpoint between the NBBO for an Order to sell), the Order will
nevertheless be accepted at its limit price and will be cancelled if
the midpoint between the NBBO moves lower than (higher than) the
price of an Order to buy (sell).

Second, in Rule 4702(b)(5)(B), which describes the Midpoint Peg Post-
Only Order, the Exchange states when it will cancel such an Order due
to a shift in the NBBO after initial entry and posting of the Order to
the Nasdaq Book:

    The price at which the Midpoint Peg Post-Only Order is ranked on
the Nasdaq Book is the midpoint between the NBBO, unless the Order
has a limit price that is lower than the midpoint between the NBBO
for an Order to buy (higher than the midpoint between the NBBO for
an Order to sell), in which case the Order will be ranked on the
Nasdaq Book at its limit price. The price of the Order will not
thereafter be adjusted based on changes to the NBBO. If, after being
posted to the Nasdaq Book, the NBBO changes so that midpoint between
the NBBO is lower than (higher than) the price of a Midpoint Peg
Post-Only Order to buy (sell), or the NBBO is crossed, or there is
no NBBO, the Midpoint Peg Post-Only Order will be cancelled back to
the Participant. For example, if the Best Bid is $11 and the Best
Offer is $11.06, a Midpoint Peg Post- Only Order to buy would post
at $11.03. If, thereafter, the Best Offer is reduced to $11.05, the
Midpoint Peg Post-Only Order will be cancelled back to the
Participant.

Third and finally, in describing the Midpoint Pegging Attribute, Rule
4703(d) explains when the Exchange will cancel an Order with this
Attribute enabled:

    An Order entered through OUCH or FLITE with Midpoint Pegging
will have its price set upon initial entry to the Midpoint, unless
the Order has a limit price that is lower than the Midpoint for an
Order to buy (higher than the Midpoint for an Order to sell), in
which case the Order will be ranked on the Nasdaq Book at its limit
price. Thereafter, if the Inside Bid and Inside Offer changes so
that: the Midpoint is lower than (higher than) the price of an Order
to buy (sell), the Inside Bid and Inside Offer are crossed or if
there is no Inside Bid and/or Inside Offer, the Pegged Order will be
cancelled back to the Participant.

The Exchange intended for these three Rules to be substantively
identical. That is, the Rules should have provided for the Exchange to
cancel Midpoint-Pegged Orders in the same circumstances when entered
through OUCH or FLITE. Upon review, however, the Exchange has
determined that the Rules are inadvertently inconsistent in one
respect. In particular, Rule 4702(b)(3)(B) does not state, as do the
other two Rules, that a Non-Displayed Order with Midpoint Pegging will
be cancelled back to the Participant if there is no NBBO or where the
NBBO is crossed.\7\
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    \7\ In practice, the Exchange presently cancels Non-Displayed
Orders with Midpoint Pegging in these two circumstances, consistent
with Rule 4703(d).
---------------------------------------------------------------------------

    Additionally, the three Rules provide somewhat opaque descriptions
of the circumstances in which a change in the NBBO/Inside Bid and
Inside Offer will and will not result in the cancellation of a
Midpoint-Pegged Order. Each Rule states that the Exchange will cancel
an Order to buy (sell) if, after entry, the NBBO/Inside Bid and Inside
Offer shifts so that the Midpoint is lower (higher) than the price of
the buy (sell) Order. However, these descriptions in the Rules do not
clearly distinguish between Midpoint-Pegged Orders that post to the
Nasdaq Book at the Midpoint of the NBBO/Inside Bid and Inside Offer
(i.e., orders with limit prices more aggressive than the Midpoint) from
those Orders that post to the Book at their limit prices (i.e., orders
with limit prices at or less aggressive than the Midpoint). In the
former case, any post-entry shift in the Midpoint of the NBBO/Inside
Bid and Inside Offer will result in cancellation of the Order. In the
latter case, however, a post-entry shift in the Midpoint of the NBBO/
Inside Bid and Inside Offer will result in cancellation only if the
Midpoint shifts lower than (higher than) the limit price of an Order to
buy (sell). If the Midpoint is higher than (lower than) the limit price
of an Order to buy (sell) upon Order entry, and it remains so after
shifting, then the Order will remain on the Book at its limit price.
The Exchange believes that this result is implicit in the notion that
these Order Types may post to the Nasdaq Book at their limit prices
when the Midpoints are higher (lower) than the limit prices of Orders
to buy (sell). Nevertheless, the Rules do not describe this scenario
expressly.
    Similarly, the Rules do not distinguish the particular
circumstances in which a crossed NBBO/Inside Bid and Inside Offer will
and will not result in a cancellation of an Order. The Midpoint Pegged
Post-Only Order rule and the Midpoint Pegging Attribute rule simply
state that the Exchange will cancel Orders when the NBBO/Inside Bid and
Inside Offer becomes crossed after these Orders are posted to the
Nasdaq Book. However, the Exchange will only cancel a Midpoint-Pegged
Order that is ranked at its limit price where the Inside Bid and Inside
Offer become crossed, such that the Midpoint of the crossed quotation
remains equal to or higher (lower) than the limit price of the Order to
buy (sell), and a new sell (buy) Order is received at a price that
locks or crosses the limit price of the resting Midpoint-Pegged Order.
If an Order to buy (sell) posts to the Nasdaq Book at its limit price,
and the NBBO/Inside Bid and Inside Offer subsequently become crossed
but the Midpoint remains equal to or higher than (lower than) the limit
price of the Order (and there are no contra-side orders that lock or
cross the Order), then the Exchange will not cancel the Order.
Likewise, if a Midpoint-Pegged Order is ranked at the Midpoint of the
NBBO/Inside Bid and Inside Offer and the NBBO becomes crossed but the
Midpoint does not change, then the Exchange will not cancel the order
unless a new Order is received at a price that locks or crosses the
Midpoint of the NBBO/Inside Bid and Inside Offer.
    To address the foregoing issues and to increase clarity, the
Exchange proposes to amend and restate Rules 4702(b)(3)(B),
4702(b)(5)(B), and 4703(d), as follows.
    First, the Exchange proposes to delete entirely the excerpted
language of Rule 4702(b)(3)(B). This language, which again describes
the behavior of a Non-Displayed Order with a Midpoint Pegging Attribute
enabled, is duplicative of the general description of the behavior of a
Midpoint Pegging Attribute in Rule 4703(d). The Exchange believes that
the concept described in these two Rules is best stated only once to
avoid unintended discrepancies. In this instance, the Exchange believes
that the language is most appropriate for inclusion in Rule 4703(d).
    Second, the Exchange proposes to restate Rule 4702(b)(5)(B), which
again describes Midpoint Peg Post-Only Orders, by eliminating the
existing language concerning cancellation of such Orders and replacing
it with the following:

    The price at which the Midpoint Peg Post-Only Order is ranked on
the Nasdaq Book is the midpoint between the NBBO, unless the Order
has a limit price, and that limit price is lower than the midpoint
between the NBBO for an Order to buy (higher than the midpoint
between the NBBO for an Order to sell), in which case the Order will
be ranked on the Nasdaq Book at its limit price. The price of the
Order will not thereafter be adjusted based on changes to the NBBO.
However, a Midpoint Peg Post-Only Order entered through OUCH or
FLITE will be cancelled back to the Participant after initial entry
and posting to the Nasdaq Book if any of the following conditions
are met:
     There is no National Best Bid and/or National Best
Offer;
     The Order to buy (sell) is entered with a limit price
above (below) the Midpoint of the NBBO and is ranked at the Midpoint
of the NBBO; thereafter, the NBBO changes so

that the Midpoint changes and the Order is no longer at the NBBO
Midpoint;
     The Order to buy (sell) is entered at a limit price
that is equal to or less than (greater than) the midpoint of the
NBBO and is ranked at its limit price and thereafter, the NBBO
changes so that the Midpoint of the NBBO is lower (higher) than the
limit price of the Order;
     The Order to buy (sell) is entered at a limit price
that is equal to or less than (greater than) the Midpoint of the
NBBO and is ranked at its limit price, then the NBBO becomes
crossed, such that the Midpoint of the crossed NBBO remains equal to
or higher (lower) than the limit price of the Order, and then a new
sell (buy) Order is received at a price that locks or crosses the
limit price of the resting Midpoint Peg Post-Only Order; or
     The Order to buy (sell) is entered at a limit price
that is greater than (less than) the Midpoint of the NBBO and is
therefore ranked at the Midpoint of the NBBO, then the NBBO becomes
crossed but the Midpoint does not change, and then a new sell (buy)
Order is received at a price that locks or crosses the Midpoint of
the NBBO.

The Exchange believes that the restated language is more precise than
the existing language because it specifies that the Exchange will
cancel a Midpoint Peg Post-Only Order that posts to the Nasdaq Book at
its limit price, when the NBBO later shifts, only when the NBBO shifts
so that the Midpoint of the NBBO becomes lower (higher) than the limit
price of an Order to buy (sell). Again, where the NBBO shifts after the
Order posts such that the Midpoint of the NBBO remains or becomes
higher (lower) than the limit price of an Order to buy (sell),
cancellation of the Order is unnecessary because the Order can simply
remain on the Nasdaq Book at its limit price. The restated language is
also more precise because it specifies that for a Midpoint Peg Post-
Only Order with a limit price that is more aggressive than the NBBO
Midpoint, any change to the NBBO Midpoint will result in cancellation
of the Order.
    Likewise, the restated language is more precise than the existing
language in that the restated language specifies that the Exchange will
cancel a Midpoint Peg Post-Only Order to buy (sell) that posts at its
limit price, when the NBBO subsequently becomes crossed and the
Midpoint of the crossed NBBO remains equal to or higher (lower) than
the limit price of the Order to buy (sell), only when a new sell (buy)
Order is received at a price that locks or crosses the limit price of
the resting Order. The restated language also specifies that the
Exchange will cancel a Midpoint Peg Post-Only Order to buy (sell) that
posts at the Midpoint of the NBBO, when the NBBO subsequently becomes
crossed and the Midpoint of the crossed NBBO remains the same, only
when the Exchange receives a new sell (buy) Order at a price that locks
or crosses the Midpoint of the NBBO. Other than in these two
circumstances, cancellation of an Order simply because the NBBO crosses
is unnecessary because the Order need not be re-priced. When an Order
to buy (sell) is ranked at its limit price, and the NBBO becomes
crossed while the Midpoint remains at or above (below) the limit price,
the crossed market does not impact the Order, which can still rest on
the Nasdaq Book at its limit price because the NBBO could uncross prior
to the Order executing. Likewise, when an Order to buy (sell) is ranked
at the Midpoint of the NBBO, and the NBBO becomes crossed but the
Midpoint does not change, the crossed market also does not impact the
Order, which can continue to rest on the Nasdaq book at the Midpoint
because the NBBO could uncross (with the Midpoint still remaining
unchanged) prior to the Order executing.
    Third, the Exchange proposes to restate the relevant language of
Rule 4703(d) so that it is substantively identical to the language that
the Exchange proposes for Rule 4702(b)(5)(B) (other than that Rule
4703(d) refers to the ``Inside Bid and the Inside Offer'' rather than
the ``NBBO''). The proposed language is as follows:

    An Order entered through OUCH or FLITE with Midpoint Pegging
will have its price set upon initial entry to the Midpoint, unless
the Order has a limit price, and that limit price is lower than the
Midpoint for an Order to buy (higher than the Midpoint for an Order
to sell), in which case the Order will be ranked on the Nasdaq Book
at its limit price. The price of the Order will not thereafter be
adjusted based on changes to the Inside Bid or Offer. However, an
Order with Midpoint Pegging entered through OUCH or FLITE will be
cancelled back to the Participant after initial entry and posting to
the Nasdaq Book if any of the following conditions are met:
     There is no Inside Bid and/or Inside Offer;
     The Order to buy (sell) is entered with a limit price
above (below) the Midpoint and is ranked at the Midpoint; thereafter
the Inside Bid and/or Inside Offer change so that the Midpoint
changes and the Order is no longer at the Midpoint;
     The Order to buy (sell) is entered at a limit price
that is equal to or less than (greater than) the Midpoint and is
ranked at its limit price; thereafter, the Inside Bid and/or Inside
Offer change so that the Midpoint is lower (higher) than the limit
price of the Order;
     The Order to buy (sell) is entered at a limit price
that is equal to or less than (greater than) the Midpoint and is
ranked at its limit price; thereafter, the Inside Bid and Inside
Offer become crossed, such that the Midpoint of the crossed
Quotation remains equal to or higher (lower) than the limit price of
the Order, and then a new sell (buy) Order is received at a price
that locks or crosses the limit price of the resting Order marked
for Midpoint Pegging; or
     The Order to buy (sell) is entered at a limit price
that is greater than (less than) the Midpoint and is therefore
ranked at the Midpoint; thereafter, the Inside Bid and Inside Offer
become crossed but the Midpoint does not change, and then a new sell
(buy) Order is received at a price that locks or crosses the
Midpoint of the Inside Bid and Inside Offer.

Again, the Exchange intends for this proposed restatement to ensure
consistency in the language of these two Rules as well as additional
specificity, as described above.
Examples
    Below are examples of the operation of the proposed rule changes.
    1. There is no National Best Bid and/or National Best Offer.
    The National Best Bid (``NBB'') is $11.00 and the National Best
Offer (``NBO'') is $11.06. A Midpoint Peg Post-Only Order to buy is
posted at the Midpoint between the NBBO, at $11.03. At this point, all
displayed liquidity on the sell side is reported to be removed by all
Market Centers, such that an NBO no longer exists. In this
circumstance, the Midpoint Peg Post-Only Order will be cancelled back
to the Participant.
    2. The Order to buy (sell) is entered with a limit price above
(below) the Midpoint of the NBBO and is ranked at the Midpoint of the
NBBO; thereafter, the NBBO changes so that the Order is no longer at
the NBBO Midpoint.
    The NBB is $11.00 and the NBO is $11.06. A Midpoint Peg Post-Only
Order to buy is entered with a limit price of $11.04 and it posts at
the Midpoint between the NBBO, at $11.03. If the NBO later shifts to
$11.08, such that the Midpoint between the NBBO becomes $11.04, then
the Midpoint Peg Post Only Order will be cancelled back to the
Participant.
    3. The Order to buy (sell) is entered at a limit price that is
equal to or less than (greater than) the Midpoint of the NBBO and is
ranked at its limit price; thereafter, the NBBO changes so that the
Midpoint of the NBBO is lower (higher) than the limit price of the
Order.
    The NBB is $11.00 and the NBO is $11.06. A Midpoint Peg Post-Only
Order to buy is entered with a limit price of $11.03 and it posts at
the Midpoint between the NBBO, at $11.03. If the NBO shifts thereafter
to $11.08, such that the Midpoint between the NBBO becomes $11.04, then
the Midpoint Peg Post Only Order will remain on the Nasdaq Book
unchanged. If, however, the NBO later shifts to $11.04, such that

the Midpoint between the NBBO becomes $11.02, then the Midpoint Peg
Post Only Order will be cancelled back to the Participant.
    4. The Order to buy (sell) is ranked at its limit price and the
NBBO becomes crossed, such that the Midpoint of the crossed NBBO
remains equal to or higher (lower) than the limit price of the Order,
and a new sell (buy) Order is received at a price that locks or crosses
the limit price of the resting Midpoint Peg Post-Only Order.
    The NBB is $11.00 and the NBO is $11.06. A Midpoint Peg Post-Only
Order to buy is entered with a limit price of $11.03 and it posts at
the Midpoint between the NBBO, at $11.03. Subsequently, if the NBB
shifts to $11.04, such that the Midpoint between the NBBO becomes
$11.05, then the Midpoint Peg Post-Only Order will remain on the Nasdaq
Book at its limit price of $11.03. If the NBO later shifts to cross the
market at $11.02, then the Midpoint between the crossed NBBO will
become $11.03 and the Midpoint Peg Post Only Order will remain on the
Nasdaq Book unchanged. If, however, a new sell Order is received at
$11.03 while the market is still crossed, then the Midpoint Peg Post
Only Order will be cancelled back to the Participant without execution.
    5. The Order to buy (sell) is ranked at the Midpoint of the NBBO
because the limit price of the Order is greater (less than) the
Midpoint and the NBBO becomes crossed but the Midpoint does not change,
then a new sell (buy) Order is received at a price that locks or
crosses the Midpoint of the NBBO.
    The NBB is $11.00 and the NBO is $11.06. A Midpoint Peg Post-Only
Order to buy is entered with a limit price of $11.04 and it posts at
the Midpoint between the NBBO, at $11.03. Subsequently, if the NBB
shifts to $11.04 and the NBO simultaneously shifts to $11.02, thus
instantaneously crossing the market, then the Midpoint between the
crossed NBBO will remain at $11.03 and the Midpoint Peg Post Only Order
will remain on the Nasdaq Book unchanged. If, however, a new sell Order
is received at $11.03 while the market is still crossed, then the
Midpoint Peg Post Only Order will be cancelled back to the Participant
without execution.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\8\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\9\ in particular, in that it is designed to promote
just and equitable principles of trade, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general to protect investors and the public interest.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The proposal will protect investors by eliminating an unintended
discrepancy among what should be three substantively identical Rules
that describe the circumstances in which the Exchange will cancel
Midpoint-Pegged Orders.
    The proposal will also protect investors by amending these Rules so
that they will describe more clearly what the Rules currently imply
with respect to the circumstances in which the Exchange will not cancel
Midpoint-Pegged Orders. That is, the Exchange believes that concept of
a limit price fairly implies that the Exchange has no need to and thus,
it does not presently, cancel a Midpoint-Pegged Order to buy (sell)
when such an Order is posted at its limit price and the NBBO (or Inside
Bid and Inside Offer) shifts thereafter but the Midpoint remains above
(below) the limit price; however, Rule 4702(a)(3)(B) merely states that
any post-entry shift in the Midpoint will result in the cancellation of
a Midpoint-Pegged Order. To avoid confusion, the proposal clarifies
that the Exchange will cancel a Midpoint-Pegged Order posted at its
limit price if the NBBO (or Inside Bid and Inside Offer) shifts after
entry such that the Midpoint becomes lower (higher) than the limit
price. In this circumstance, cancellation is warranted because the
Order would need to be re-priced, and a Midpoint-Pegged Order entered
using OUCH or FLITE cannot be re-priced. Similarly, if a Midpoint
Pegged Order posts to the Nasdaq Book at the NBBO Midpoint and then the
Midpoint shifts in either direction, the Order will be cancelled
because it would need to be re-priced, and again, OUCH or FLITE do not
allow for re-pricing to occur.
    Similarly, the Exchange believes that it is helpful to investors to
clarify the circumstances in which the Exchange does and does not
cancel Midpoint-Pegged Orders in a crossed market. The existing Rules
(other than Rule 4702(b)(3)(B), which mistakenly omitted discussion of
crossed markets) state generally that the Exchange will cancel
Midpoint-Pegged Orders if the NBBO (Inside Bid or Inside Offer) become
crossed. However, as discussed above, the Exchange does not need to,
and thus it does not presently, cancel Midpoint-Pegged Orders in all
such instances. Although cancellation is warranted to prevent Orders
from actually executing in a crossed market,\10\ the Exchange does not
believe that cancellation is warranted simply because the markets cross
if there remains a possibility that the markets will uncross prior to
an execution occurring. Thus, the Exchange proposes that it will not
cancel a Midpoint-Pegged Order to buy (sell) when the Order is ranked
at its limit price and the NBBO (or Inside Bid and Inside Offer) become
crossed thereafter (and the Midpoint remains equal to or more
aggressive than its limit price), but no new sell (buy) Order is
received that locks or crosses the limit price of the resting Midpoint-
Pegged Order. Unless or until the Exchange receives a new Order that
locks or crosses the limit price of the resting Midpoint-Pegged Order
while the market remains crossed, cancellation is unnecessary because
the Midpoint-Pegged Order can continue to rest at its limit price and
the market may uncross before the Midpoint-Pegged Order executes.
Likewise, as was also discussed above, the Exchange proposes that it
will not cancel a Midpoint-Pegged Order that is ranked at the Midpoint
of the NBBO (Inside Bid and Inside Offer) where the market becomes
crossed, provided that while the market is crossed, the Midpoint of the
crossed NBBO (Inside Bid and Inside Offer) does not change, and the
Exchange does not receive a new Order that would lock or cross the
Midpoint. Again, cancellation is unnecessary in this scenario because
the Midpoint-Pegged Order can continue to rest at the Midpoint while
the market is crossed and because the market may uncross (with the
Midpoint remaining unchanged) prior to execution of the Order.\11\
---------------------------------------------------------------------------

    \10\ See Securities Exchange Act Release No. 34-79290 (Nov. 10,
2016), 81 FR 81184, 81186 (Nov. 17, 2016) (stating that the
``midpoint of a crossed market is not a clear and accurate
indication of a valid price'' and that cancellation in a crossed
market ``would avoid mispriced executions'').
    \11\ If at any point after the Midpoint-Pegged Order posts to
the Nasdaq Book at the Midpoint, the NBBO (Inside Bid and Inside
Offer) changes so that the price of the Order is no longer at the
Midpoint, then the order must be cancelled because orders entered
through OUCH or FLITE cannot be re-priced.
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange intends for the
proposal to merely eliminate an unintended discrepancy between three
related Rules and to improve the precision with which the Rules
describe the

circumstances in which it will cancel Midpoint-Pegged Orders after
entry, as described above. The Exchange does not expect that these
changes will have any impact whatsoever on competition.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \12\ and Rule 19b-
4(f)(6) thereunder.\13\
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend 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. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.

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 email to<EMAIL_ADDRESS>Please include
File Number SR-NASDAQ-2019-065 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NASDAQ-2019-065. This
file number should be included on the subject line if email 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 website (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 website 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 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NASDAQ-2019-065 and should be submitted
on or before September 24, 2019.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
---------------------------------------------------------------------------

    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-18871 Filed 8-30-19; 8:45 am]
 BILLING CODE 8011-01-P


DIMETHOATE 035001

Screening Level Usage Analysis (SLUA)

Date: August 8, 2008

What is a Screening Level Usage Analysis (SLUA)?

Available estimates of pesticide usage data for a particular active
ingredient that is used on agricultural crops in the United States.

Pesticide usage data obtained from various sources.  The data are then
merged, averaged, and rounded so that the presented information is not
proprietary, business confidential, or trade secret.

What does it contain?

Pesticide usage data for a single active ingredient only.

Agricultural use sites (crops) that the pesticide is reported to be used
on.

Available pesticide usage information from U.S. states that produce 80%
or more of a crop, in most cases, or less than 80%, in rare cases,
depending on the scope of the survey and available resources.

Annual percent of crop treated (average & maximum) for each agricultural
crop.

Average annual pounds of the pesticide applied for each agricultural
crop (i.e., for the states surveyed, not for the entire United States).

What assumptions can I make about the reported data?

Average pounds of active ingredient applied - Values are calculated by
merging pesticide usage data sources together; averaging across all
observations, then rounding.  Note:  If the estimated value is less than
500, then that value is labeled <500.  Estimated values between 500 &
<1,000,000 are rounded to 1 significant digit.  Estimated values of
1,000,000 or greater are rounded to 2 significant digits.)

Average percent of crop treated - Values are calculated by merging data
sources together; averaging by year, averaging across all years, &
rounding to the nearest multiple of 5.  Note:  If the estimated value is
less than 1, then the value is labeled <1.

Maximum percent of crop treated - Value is the single maximum value
reported across all data sources, across all years, & rounded up to the
nearest multiple of 5.  Note:  If the estimated value is less than 2.5,
then the value is labeled <2.5.

What are the data sources used?

USDA-NASS (United States Department of Agriculture’s National
Agricultural Statistics Service) – pesticide usage data from 2001 to
2006.

Private pesticide market research – pesticide usage data from 2001 to
2006.

NPUD 2002 (National Pesticide Use Database) pesticide usage data from
NPUD 02 of the CropLife Foundation are used only if data are not
available from the other sources.

California Department of Pesticide Regulation (DPR) Pesticide Use
Reporting (PUR) data for 2000 to 2005 when 95% or more of a crop is
grown California.

What are the limitations to the data?

Additional registered uses may exist but are not included because the
available surveys do not report usage (e.g., small acreage crops).

Lack of reported usage data for the pesticide on a crop does not imply
zero usage.

Usage data on a particular site may be noted in data sources, but not
quantified.  In these instances, the site would not be reported in the
SLUA.

Non-agricultural use sites (e.g., turf, post-harvest, mosquito control,
etc.) are not reported in the SLUA.  A separate request must be made to
receive these estimates.

Some sites show some use, even though they are not on the label.  This
usage could be due to various factors, including, but not limited to
Section 18 requests, existing stocks of the chemical, data collection
errors, and experimental use permits (EUPs).

August 8, 2008

Screening Level Estimates of Agricultural Uses of DIMETHOATE 035001

Sorted Alphabetically

	    	        Crop				Lbs. A.I.			Percent Crop Ttd.	  	 											Avg.
       Max.

          1         Alfalfa				100,000		   	  <1              <2.5

	2 	Apples	10,000	<1                   5

	3 	Asparagus	1,000	5                   5

	4 	Beans, Green	20,000	10                 15

	5 	Broccoli	30,000	40                 50

	6 	Brussels Sprouts *	2,000	N/C              N/C

	7 	Cabbage	20,000	20                 35

	8 	Cantaloupes +	1,000	<1                   5

	9 	Carrots +	<500	<1              <2.5

	10	Cauliflower	9,000	35                 45

	11	Celery	5,000	20                 35

	12	Cherries	10,000	10                 15

	13	Corn	70,000	<1              <2.5

	14	Cotton	70,000	<1              <2.5

	15	Cucumbers +	1,000	<1              <2.5

	16	Dry Beans/Peas	70,000	10                 10

	17	Grapefruit	3,000	<1              <2.5

	18	Grapes	20,000	<1                   5

	19	Lemons	30,000	15                 25

	20	Lettuce	20,000	25                 30

	21	Onions +	2,000	<1              <2.5

	22	Oranges	40,000	5                 10

	23	Peanuts +	<500	<1              <2.5

	24	Pears	1,000	<1                   5

	25	Peas, Green	10,000	25                 40

	26	Pecans	10,000	5                 10

	27	Peppers	5,000	10                 15

	28	Potatoes	20,000	5                 10

	29	Prunes	<500	<1              <2.5

	30	Pumpkins	<500	<1              <2.5

	31	Safflower ( NPUD '02 )	3,000	N/C	5

	32	Seed Crops ( NPUD '02 ) +	1,000	 N/C		<1

	33	Sorghum	5,000	<1             <2.5

	34	Soybeans	40,000	<1             <2.5

	35	Spinach	1,000	5                 10

	36	Squash +	2,000	<1                  5

	37	Strawberries +	<500	<1             <2.5

	38	Sunflowers +	2,000	<1             <2.5

	39	Sweet Corn	1,000	<1             <2.5

	40	Tangerines	2,000	5                  5

	41	Tomatoes	50,000	25                30

	42	Walnuts +	<500	 <1             <2.5

	43	Watermelons	7,000	5                 10

	44	Wheat	60,000	<1             <2.5

All numbers rounded.

'<500' indicates less than 500 pounds of active ingredient.

'<2.5' indicates less than 2.5 percent of crop is treated.

'<1' indicates less than 1 percent of crop is treated.

* CA data only, but 95% or more of U.S. acres are in California

SLUA data sources include:

	USDA-NASS (United States Department of Agriculture's National
Agricultural Statistics Service);

            2001-2006

	Private Pesticide Market Research, 2001-2006

	NPUD 2002 (National Pesticide Use Database) of the CropLife America
Foundation and California

            DPR data.

	These results reflect amalgamated data developed by the Agency and are
releasable to the public.

N/C = Not Calculated

+ = These crops were not known to be listed on active end use product
registrations when this report was run.


[Federal Register: December 10, 2007 (Volume 72, Number 236)]
[Rules and Regulations]
[Page 69587-69589]
[DOCID:fr10de07-8]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-0302; Directorate Identifier 2007-NM-161-AD;
Amendment 39-15301; AD 2007-25-19]
RIN 2120-AA64

Airworthiness Directives; Boeing Model 747-400 Series Airplanes

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

ACTION: Final rule; request for comments.

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

SUMMARY: The FAA is adopting a new airworthiness directive (AD) for
certain Boeing Model 747-400 series airplanes. This AD requires
repetitive inspections to detect discrepancies of the forward and rear
heat exchanger shells of the air distribution system of the crew rest
area, and applicable corrective actions. This AD also requires an
inspection to identify the part number, shop code, and build date of
the forward and rear heat exchanger shells of the air distribution
system of the crew rest area, and applicable corrective actions, which
end the repetitive inspections. This AD results from a report of an
uncommanded up and down pitch movement of an airplane in flight and
resistance in the elevator controls on the ground during taxi. We are
issuing this AD to prevent cracking and buckling of the forward or rear
heat exchanger shell of the air distribution system of the crew rest
area, which could result in jamming of the rudder and/or elevator
control cables and consequent reduced controllability of the airplane.

DATES: This AD becomes effective December 26, 2007.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in the AD as of December 26,
2007.
    We must receive comments on this AD by February 8, 2008.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov.
 Follow the instructions for submitting comments.

     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590.
     Hand Delivery: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
    For service information identified in this AD, contact Boeing
Commercial Airplanes, P.O. Box 3707, Seattle, Washington 98124-2207.

Examining the AD Docket

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

between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The street address for
the Docket Office (telephone<PHONE_NUMBER>) is in the ADDRESSES section.
Comments will be available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Barbara Mudrovich, Aerospace Engineer,
Cabin Safety and Environmental Systems Branch, ANM-150S, FAA, Seattle
Aircraft Certification Office, 1601 Lind Avenue, SW., Renton,
Washington 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Background

    We previously issued AD 2001-18-04, amendment 39-12430 (66 FR
46512, September 6, 2001), applicable to certain Boeing Model 747-400
series airplanes. That AD requires repetitive inspections to detect
damage or deflection of the crew rest heat exchanger (forward heat
exchanger only), and follow-on actions if necessary. That AD also
requires a one-time inspection to determine the part number and shop
code of the shell of the crew rest area heat exchanger (forward heat
exchanger only), and follow-on actions if necessary, which terminate
the repetitive inspections.

Discussion

    Since issuance of AD 2001-18-04, we have received a report of
uncommanded up and down pitch movement of an airplane in flight and
resistance in the elevator controls on the ground during taxi on a
Boeing Model 747-400 series airplane. An inspection revealed that the
rear heat exchanger shell of the air distribution system of the crew
rest area had expanded and deformed inboard and downwards, contacting
the elevator control cables, which restricted their movements. Another
inspection revealed that the thickness of certain forward heat
exchanger shells of the air distribution system of the crew rest area,
including forward heater exchanger shell subject to the requirements of
AD 2001-18-04, was incorrect. The incorrect shells were manufactured
from two-ply laminate instead of three-ply laminate.
    Cracking and buckling of the forward or rear heat exchanger shell
of the air distribution system of the crew rest area, if not corrected,
could result in jamming of the rudder and/or elevator control cables
and consequent reduced controllability of the airplane.

Relevant Service Information

    Boeing has issued Service Bulletin 747-21A2439, Revision 2, dated
May 24, 2007. The service bulletin describes the following procedures:
     Repetitive general visual inspections of the forward and
rear heat exchanger shells of the air distribution system of the crew
rest area for discrepancies (i.e., cracks, creases, deformation,
deflection, and interference with the rudder and/or

elevator cables), and applicable corrective actions (Work Package 1).
     An inspection to identify the part number, shop code, and
build date of the forward and rear heat exchanger shells of the air
distribution system of the crew rest area, and applicable corrective
actions (Work Package 2). Accomplishing these actions eliminates the
need for the repetitive inspections.
    The corrective actions include replacing any discrepant forward or
rear heat exchanger shell of the air distribution system of the crew
rest area with a certain new heat exchanger shell, measuring the shell
material thickness, repairing holes, re-marking the part number of the
forward heat exchanger shell, and making sure the ten common fasteners
are fully installed; as applicable.
    The compliance time specified in the service bulletin for
accomplishing Work Package 1 is 1,200 flight hours or 90 days,
whichever occurs first, and thereafter at intervals not to exceed 2,500
flight hours. The compliance time specified in the service bulletin for
accomplishing Work Package 2 is 24 months.
    Accomplishing the actions specified in the service information is
intended to adequately address the unsafe condition.

FAA's Determination and Requirements of This AD

    The unsafe condition described previously is likely to exist or
develop on other airplanes of the same type design that may be
registered in the U.S. at some time in the future. Therefore, we are
issuing this AD to prevent cracking and buckling of the forward or rear
heat exchanger shell of the air distribution system of the crew rest
area, which could result in jamming of the rudder and/or elevator
control cables and consequent reduced controllability of the airplane.
This AD requires accomplishing the actions specified in the service
information described previously.

Differences Between This AD and Service Information

    For Work Package 1, Table 1 of paragraph 1.E. of Boeing Service
Bulletin 747-21A2439, Revision 2, specifies a compliance time of 1,200
flight hours or 90 days for accomplishing both the general visual
inspections and replacement of the heat exchanger shells if necessary.
We have determined that, because of the safety implications and
consequences associated with cracking, any cracked heat exchanger shell
must be replaced before further flight. Therefore, for Work Package 1,
this AD requires that the applicable corrective actions for that work
package, which include replacement of any discrepant forward or rear
heat exchanger shell, be done before further flight. This difference
has been coordinated with Boeing.

Costs of Compliance

    None of the airplanes affected by this action are on the U.S.
Register. All airplanes affected by this AD are currently operated by
non-U.S. operators under foreign registry; therefore, they are not
directly affected by this AD action. However, we consider this AD
necessary to ensure that the unsafe condition is addressed if any
affected airplane is imported and placed on the U.S. Register in the
future.
    The following table provides the estimated costs for U.S. operators
to comply with this AD for any affected airplane that might be imported
and placed on the U.S. Register in the future.

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                          Average
                  Action                            Work hours           labor rate       Cost per airplane
                                                                          per hour
----------------------------------------------------------------------------------------------------------------
Inspection (Work Package 1)..............  Between 1 and 3 \1\........          $80  Between $80 and $240, per
                                                                                inspection cycle.
Inspection (Work Package 2)..............  Between 1 and 3 \1\........           80  Between $80 and $240.
----------------------------------------------------------------------------------------------------------------
\1\ Depending on the airplane configuration.

FAA's Determination of the Effective Date

    No airplane affected by this AD is currently on the U.S. Register.
Therefore, providing notice and opportunity for public comment is
unnecessary before this AD is issued, and this AD may be made effective
in less than 30 days after it is published in the Federal Register.

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety, and we did not provide you with notice and an opportunity to
provide your comments before it becomes effective. However, we invite
you to send any written data, views, or arguments about this AD. Send
your comments to an address listed under the ADDRESSES section. Include
``Docket No. FAA-2007-0302; Directorate Identifier 2007-NM-161-AD'' at
the beginning of your comments. We specifically invite comments on the
overall regulatory, economic, environmental, and energy aspects of this
AD. We will consider all comments received by the closing date and may
amend this AD because of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov
, including any personal information you provide. We

will also post a report summarizing each substantive verbal contact we
receive about this AD.

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 have 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 that the regulation:

    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. See the ADDRESSES
section for a location to examine the regulatory evaluation.

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 Federal Aviation Administration (FAA) amends Sec.  39.13 by
adding the following new airworthiness directive (AD):

2007-25-19 Boeing: Amendment 39-15301. Docket No. FAA-2007-0302;
Directorate Identifier 2007-NM-161-AD.

Effective Date

    (a) This AD becomes effective December 26, 2007.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Boeing Model 747-400 series airplanes,
certificated in any category; as identified in Boeing Service
Bulletin 747-21A2439, Revision 2, dated May 24, 2007.

Unsafe Condition

    (d) This AD results from a report of an uncommanded up and down
pitch movement of an airplane in flight and resistance in the
elevator controls on the ground during taxi. We are issuing this AD
to prevent cracking and buckling of the forward or rear heat
exchanger shell of the air distribution system of the crew rest
area, which could result in jamming of the rudder and/or elevator
control cables and consequent reduced controllability of the
airplane.

Compliance

    (e) You are responsible for having the actions required by this
AD performed within the compliance times specified, unless the
actions have already been done.

Inspections and Corrective Actions

    (f) At the applicable times specified in the Table 1 of
paragraph 1.E. of Boeing Service Bulletin 747-21A2439, Revision 2,
dated May 24, 2007, except as provided by paragraph (g) of this AD,
do the actions specified in paragraphs (f)(1) and (f)(2) of this AD
by accomplishing all the actions specified in the Accomplishment
Instructions of the service bulletin.
    (1) Do repetitive general visual inspections to detect
discrepancies (i.e., cracks, creases, deformation, deflection, and
interference with the rudder and/or elevator cables) of the forward
and rear heat exchanger shells of the air distribution system of the
crew rest area, and do the applicable corrective actions, until the
actions required by paragraph (f)(2) of this AD are done. The
applicable corrective actions must be done before further flight.
    (2) Do an inspection to identify the part number, shop code, and
build date of the forward and rear heat exchanger shells of the air
distribution system of the crew rest area, and before further
flight, do the applicable corrective actions. Accomplishing these
actions ends the repetitive inspections required by paragraph (f)(1)
of this AD.
    (g) Where Boeing Service Bulletin 747-21A2439, Revision 2, dated
May 24, 2007, specifies a compliance time ``after the release date
of the service bulletin'' or ``after the date of Revision 02 of the
service bulletin,'' this AD requires compliance within the specified
compliance time after the effective date of this AD.

Actions According to Previous Issues of Service Bulletin or Previously
Accomplished Inspections

    (h) Actions done before the effective date of this AD in
accordance with Boeing Alert Service Bulletin 747-21A2439, dated
November 3, 2005; or Boeing Service Bulletin 74721A2439, Revision 1,
dated July 24, 2006; are acceptable for compliance with the
corresponding actions specified in this AD.
    (i) If a forward heat exchanger shell, part number 65B41601-52,
is found installed during the replacement required by paragraph (c)
of AD 2001-18-04, amendment 39-12430, or was installed during the
inspection required by paragraph (d)(2) of that AD (AD 2001-18-04
refers to Boeing Alert Service Bulletin 747-21A2412, dated January
20, 2000; or Revision 2, dated November 30, 2000; as the appropriate
sources of service information for accomplishing the required
actions): Actions required by paragraphs (f)(1) and (f)(2) of this
AD are not required for that forward heat exchanger shell only.

 Parts Installation

    (j) As of the effective date of this AD, no person may install a
heat exchanger shell having a part number identified in the
``Existing Part Number'' column of the table specified in paragraph
2.C. of Boeing Service Bulletin 747-21A2439, Revision 2, dated May
24, 2007, on any airplane.

Special Flight Permits

    (k) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be done, except as provided by
paragraphs (k)(1) and (k)(2) of this AD.
    (1) If any forward or rear heat exchanger shell of the air
distribution system of the crew rest area is found deflecting or
interfering with the rudder and/or elevator control cables (e.g.,
chafing, rubbing, or contacting) during any inspection required by
paragraph (f)(1) of this AD, special flight permits are not allowed.
    (2) If any crack or crease is found on the forward or rear heat
exchanger shell of the air distribution system of the crew rest area
during any inspection required by paragraph (f)(1) of this AD, the
air distribution system in the crew rest area must be inoperative
during flight.

Alternative Methods of Compliance (AMOCs)

    (l)(1) The Manager, Seattle Aircraft Certification Office, FAA,
has the authority to approve AMOCs for this AD, if requested in
accordance with the procedures found in 14 CFR 39.19.
    (2) To request a different method of compliance or a different
compliance time for this AD, follow the procedures in 14 CFR 39.19.
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.

Material Incorporated by Reference

    (m) You must use Boeing Service Bulletin 747-21A2439, Revision
2, dated May 24, 2007, to perform the actions that are required by
this AD, unless the AD specifies otherwise. The Director of the
Federal Register approved the incorporation by reference of this
document in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
Contact Boeing Commercial Airplanes, P.O. Box 3707, Seattle,
Washington 98124-2207, for a copy of this service information. 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 30, 2007.
Stephen P. Boyd,
Assistant Manager, Transport Airplane Directorate, Aircraft
Certification Service.
 [FR Doc. E7-23850 Filed 12-7-07; 8:45 am]

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