[Federal Register Volume 81, Number 13 (Thursday, January 21, 2016)]
[Rules and Regulations]
[Pages 3301-3304]
[FR Doc No: 2016-00376]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2014-1045; Directorate Identifier 2014-NM-031-AD;
Amendment 39-18372; AD 2016-01-13]
RIN 2120-AA64

Airworthiness Directives; Airbus Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: We are adopting a new airworthiness directive (AD) for all
Airbus Model A310 and Airbus Model A300 B4-600, B4-600R, and F4-600R
series airplanes; and Model A300 C4-605R Variant F airplanes
(collectively called Model A300-600 series airplanes). This AD was
prompted by a report of skin disbonding and damage found on the
composite side panel of the rudder, located between the rudder core and
skin of a previously repaired area. This AD requires an inspection for
disbonding or damage of certain rudders, and related investigative
actions and corrective actions if necessary. We are issuing this AD to
detect and correct disbonding and damage of the rudder, which could
result in reduced structural integrity of the rudder and consequent
reduced controllability of the airplane.

DATES: This AD is effective February 25, 2016.
    The Director of the Federal Register approved the incorporation by
reference of certain publications listed in this AD as of February 25,
2016.

ADDRESSES: You may examine the AD docket on the Internet at http://www.regulations.gov/#!docketDetail;D=FAA-2014-1045; or in person at the
Docket Management Facility, U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC.
    For service information identified in this final rule, contact
Airbus SAS, Airworthiness Office--EAW, 1 Rond Point Maurice Bellonte,
31707 Blagnac Cedex, France; telephone +33 5 61 93 36 96; fax +33 5 61
93 44 51; email<EMAIL_ADDRESS>Internet http://www.airbus.com. You may view this referenced service information at the
FAA, Transport Airplane Directorate, 1601 Lind Avenue SW., Renton, WA.
For information on the availability of this material at the FAA, call
425-227-1221. It is also available on the Internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2014-
1045.

FOR FURTHER INFORMATION CONTACT: Dan Rodina, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue SW., Renton, WA 98057-3356; telephone<PHONE_NUMBER>;
fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 by adding an AD that would apply to all Airbus Model A310 and
Airbus Model A300 B4-600, B4-600R, and F4-600R series airplanes, and
Model A300 C4-605R Variant F airplanes (collectively called Model A300-
600 series airplanes) series airplanes. The NPRM published in the
Federal Register on January 23, 2015 (80 FR 3525).
    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Union, has issued EASA
Airworthiness Directive 2014-0026, dated January 28, 2014 (referred to
after this as the Mandatory Continuing Airworthiness Information, or
``the MCAI''), to correct an unsafe condition for all Airbus Model A310
and Airbus Model A300 B4-600, B4-600R, and F4-600R series airplanes;
and Model A300 C4-605R Variant F airplanes (collectively called Model
A300-600 series airplanes). The MCAI states:

    A case of skin disbonding was reported on a composite side of a
rudder installed on an A310 aeroplane.
    The investigation results revealed that this disbonding started
from a skin panel area previously repaired in-service in accordance
with the Structural Repair Manual (SRM).
    The initial damage has been identified as a disbonding between
the core and the repaired area. This damage may not be visually
detectable and likely propagates during normal operation due to the
variation of pressure during ground-air-ground cycles.
    This condition, if not detected and corrected, could affect the
structural integrity of the rudder, possibly resulting in reduced
control of the aeroplane.
    For the reasons described above, this [EASA] AD requires a one-
time thermography inspection of each repaired rudder or rudder whose
maintenance records are incomplete and, depending on findings,
accomplishment of applicable corrective and follow-up actions.

Related investigative actions include doing a pulse thermography
inspection for disbonding or damage of the left- and right-hand rudder
side shells; a core ventilation through the inner skin, an elasticity
laminate checker or ultrasonic inspection around the identified repairs
in the booster area, and around identified fluid ingress; and a Tap
test inspection of the glass fiber reinforced plastic area to identify
skin-to-core disbonding and on identified repairs. Corrective actions
include repairing or replacing any disbonded or damaged rudder.
    Depending on configuration and inspection results, the repetitive
inspection intervals are 750 or 1,000 flight cycles, or 500 flight
hours or 4 months, whichever occurs later.
    You may examine the MCAI in the AD docket on the Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2014-1045-0002.

Comments

    We gave the public the opportunity to participate in developing
this AD. The following presents the comments received on the NPRM (80
FR 3525, January 23, 2015) and the FAA's response to each comment.

No Justification for Issuing NPRM (80 FR 3525, January 23, 2015)

    FedEx stated that Airbus has not provided any data or analysis
showing the de-validated SRM procedures in the proposed AD (80 FR 3525,
January 23, 2015) as inadequate. FedEx noted that one finding on a
Model A310 airplane with skin disbonding and damage found on the
composite side panel of the

rudder caused the de-validation of all Model A300 and A310 airplanes
with rudder side shell repairs, and mandatory inspections of all
rudders repaired using the structural repair manual (SRM). FedEx added
that a heavy burden is being placed on operators with very little
justification from the manufacturer. FedEx stated that Airbus has not
provided new validated SRM procedures, yet FedEx is being required to
inspect all rudders without having any available, developed repairs;
instead repairs would need to be done using a method approved by the
Manager, International Branch, ANM-116, Transport Airplane Directorate,
FAA; or the European Aviation Safety Agency (EASA); or Airbus's EASA
Design Organization Approval (DOA). FedEx does not agree with the de-
validation of the SRM procedures and mandating inspections of the
entire fleet of airplanes, based on one finding.
    We infer that the commenter is asking for justification to support
issuing this final rule. We acknowledge the commenter's concerns.
However, the safety risk of undetected rudder skin disbonding that may
not be detectable visually and could propagate during normal operation
due to the variation of aerodynamic pressure during ground-air-ground
cycles is sufficient to require the proposed actions. We also
acknowledge that Airbus does not have new SRM procedures available,
partially due to the unknown size and location of previously
accomplished SRM repairs and the type of skin disbonding that may be
identified that will result in each repair needing to be evaluated
individually. Therefore, we have determined that inspections are
necessary if an applicable SRM repair has been done, or if maintenance
records are not available or are incomplete. The service information
provides procedures for the detailed inspections; therefore, using a
method approved by the FAA, EASA, or Airbus's EASA DOA is necessary
only for repairs. We have determined it is necessary to proceed with
issuing this final rule as proposed.

Request To Allow Using Future Revisions of the SRM for Rudder Repairs

    FedEx asked that paragraph (i) of the proposed AD (80 FR 3525,
January 23, 2015) be revised to allow a composite side shell panel
repair on any rudder using future revisions of the SRM procedure
identified in Figure A-GBBAA (Sheet 01 and 02) or Figure A-GBCAA (Sheet
02) of Airbus Service Bulletin A310-55-2051; or Figure A-GBBAA (Sheet
01, 02, or 03) or Figure A-GBCAA (Sheet 02 or 04) of Airbus Service
Bulletin A300-55-6050. FedEx stated that when Airbus revalidates the
SRM procedures, FedEx won't be able to use those procedures for the
repair because it is not allowed per paragraph (i) of the proposed AD.
    We do not agree with the request. Although we understand the FedEx
concerns, allowing the use of later revisions of service documents in
an AD is not allowed by the Office of the Federal Register's
regulations. However, after the manufacturer validates a later revision
of the SRM procedures that provides an acceptable level of safety we
can evaluate the later revision of the SRM as an alternative method of
compliance, in accordance with the procedures specified in paragraph
(m)(1) of this AD. Paragraph (i) of this AD only prohibits the use of
specific SRM procedures identified in that paragraph. We have not
changed this AD in this regard.

Conclusion

    We reviewed the relevant data, considered the comments received,
and determined that air safety and the public interest require adopting
this AD as proposed except for minor editorial changes. We have
determined that these minor changes:
     Are consistent with the intent that was proposed in the
NPRM (80 FR 3525, January 23, 2015) for correcting the unsafe
condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM (80 FR 3525, January 23, 2015).

Related Service Information Under 1 CFR Part 51

    Airbus has issued Service Bulletins A300-55-2051 and A310-55-6050,
both Revision 01, both dated August 20, 2014. The service information
describes procedures for inspecting the left- and right-hand rudder
side shells for disbonding or damage, and related investigative actions
and corrective actions if necessary. The actions described in this
service information are intended to correct the unsafe condition
identified in the MCAI. This service information is reasonably
available because the interested parties have access to it through
their normal course of business or by the means identified in the
ADDRESSES section.

Costs of Compliance

    We estimate that this AD affects 199 airplanes of U.S. registry.
    We also estimate that it will take about 4 work-hours per product
to comply with the basic requirements of this AD. The average labor
rate is $85 per work-hour. Required parts will cost about $0 per
product. Based on these figures, we estimate the cost of this AD on
U.S. operators to be $67,660, or $340 per product.
    We have received no definitive data that would enable us to provide
a cost estimate for the on-condition actions specified in 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

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska, and
    (4) 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.

Examining the AD Docket

    You may examine the AD docket on the Internet at: http://www.regulations.gov/#!docketDetail;D=FAA-2014-1045; 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 Operations office (telephone<PHONE_NUMBER>) is in the
ADDRESSES section.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

2016-01-13 Airbus: Amendment 39-18372; Docket No. FAA-2014-1045;
Directorate Identifier 2014-NM-031-AD.

(a) Effective Date

    This AD is effective February 25, 2016.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all Airbus Model A310-203, -204, -221, -222,
-304, -322, -324, and -325 airplanes; Model A300 B4-601, B4-603, B4-
620, and B4-622 airplanes; Model A300 B4-605R and B4-622R airplanes;
and Model A300 F4-605R, F4-622R, and A300 C4-605R Variant F
airplanes; certificated in any category.

(d) Subject

    Air Transport Association (ATA) of America Code 55, Stabilizers.

(e) Reason

    This AD was prompted by a report of skin disbonding and damage
found on the composite side panel of the rudder, located between the
rudder core and skin of a previously repaired area. We are issuing
this AD to detect and correct disbonding and damage of the rudder,
which could result in reduced structural integrity of the rudder,
and consequent reduced controllability of the airplane.

(f) Compliance

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

(g) Rudder Assembly Identification

    Within 4 months after the effective date of this AD: Check the
applicable rudder maintenance records to determine if any composite
side shell panel repair has been done since first installation of
the rudder, and do the applicable actions specified in paragraph
(g)(1) or (g)(2) of this AD at the time specified in paragraph 1.E.,
``Compliance,'' of Airbus Service Bulletin A300-55-6050, or A310-55-
2051, both Revision 01, both dated August 20, 2014; as applicable,
except as provided by paragraph (j)(3) of this AD.
    (1) If a repair is identified based on the maintenance records:
Perform a rudder thermography inspection of the repaired area only
for disbonding or damage, in accordance with the Accomplishment
Instructions of Airbus Service Bulletin A300-55-6050, or A310-55-
2051, both Revision 01, both dated August 20, 2014; as applicable.
    (2) If the rudder maintenance records are unavailable or
incomplete: Perform a rudder thermography inspection of the complete
side shell panels to identify and mark the repair locations for
disbonding or damage, in accordance with the Accomplishment
Instructions of Airbus Service Bulletin A300-55-6050, or A310-55-
2051, both Revision 01, both dated August 20, 2014; as applicable.

(h) Related Investigative Actions/Repair or Replace

    If any disbonding or damage is found during any inspection
required by paragraph (g)(1) or (g)(2) of this AD: Do the actions
required by paragraphs (h)(1) and (h)(2) of this AD, as applicable.
    (1) At the time specified in paragraph 1.E., ``Compliance,'' of
Airbus Service Bulletin A300-55-6050, or A310-55-2051, both Revision
01, both dated August 20, 2014; as applicable, except as required by
paragraph (j)(1) of this AD; do the applicable related investigative
actions identified in Tables 3, 4A, 4B, 4C, 4D, and 5 of paragraph
1.E., ``Compliance,'' of Airbus Service Bulletin A300-55-6050, or
A310-55-2051, both Revision 01, both dated August 20, 2014; as
applicable, to determine the type and extent of the disbonding or
damage, in accordance with the Accomplishment Instructions of Airbus
Service Bulletin A300-55-6050, or A310-55-2051, both Revision 01,
both dated August 20, 2014; as applicable. Repeat the applicable
inspection at the time specified in paragraph 1.E., ``Compliance''
of Airbus Service Bulletin A300-55-6050, or A310-55-2051, both
Revision 01, both dated August 20, 2014; as applicable.
    (2) Before further flight: Repair any disbonding or damage found
during any inspection required by paragraph (h)(1) of this AD, or
replace any affected rudder, as applicable, in accordance with the
Accomplishment Instructions of Airbus Service Bulletin A300-55-6050,
or A310-55-2051, both Revision 01, both dated August 20, 2014; as
applicable, except as required by paragraph (j)(4) of this AD.

(i) Repair Using Structural Repair Manual (SRM) Procedure Not Allowed

    As of the effective date of this AD, do not accomplish a
composite side shell panel repair on any rudder using an SRM
procedure identified in Figure A-GBBAA (Sheet 01 and 02) or Figure
A-GBCAA (Sheet 02) of Airbus Service Bulletin A310-55-2051; or
Figure A-GBBAA (Sheet 01, 02, or 03) or Figure A-GBCAA (Sheet 02 or
04) of Airbus Service Bulletin A300-55-6050; as applicable.

(j) Exceptions to Service Information

    (1) Where Airbus Service Bulletins A300-55-6050; and A310-55-
2051; both Revision 01, both dated August 20, 2014; specify a
compliance time ``from original service bulletin issue date,'' this
AD requires compliance within the specified compliance time after
the effective date of this AD.
    (2) Where Airbus Service Bulletins A300-55-6050; and A310-55-
2051 both Revision 01, both dated August 20, 2014; specify to
contact Airbus for appropriate action: Before further flight, repair
using a method approved by the Manager, International Branch, ANM-
116, Transport Airplane Directorate, FAA; or the European Aviation
Safety Agency (EASA); or Airbus's EASA Design Organization Approval
(DOA).
    (3) Airplanes on which a rudder is installed having a serial
number that is not in the range HF-1005 through HF-1323, inclusive;
HF-1325, HF-1327, HF-1329, HF-1331, HF-1332, HF-1340, TS-1324, TS-
1326, TS-1328, TS-1330, TS-1333 through TS-1339, inclusive; TS-1341
through TS-1420, inclusive; or TS-2001 through TS-2197, inclusive;
are not affected by the requirements of paragraphs (g) and (h) of
this AD, provided that no repairs have been done in accordance with
the applicable SRM specified in paragraph (i) of this AD on the
composite side shell panel of that rudder since installation.
    (4) The compliance time for the initial detailed inspection of
the restored area for loose or lost tape identified in Tables 3 and
4 of paragraph 1.E., ``Compliance,'' of Airbus Service Bulletins
A300-55-6050 and A310-55-2051, both Revision 01, both dated August
20, 2014; specifies ``within 500 FH or 4 months after closing
holes.'' This AD requires this action within 500 flight hours or 4
months, whichever occurs later, after the holes are closed.

(k) Credit for Previous Actions

    This paragraph provides credit for actions required by
paragraphs (g) and (h) of this AD, if those actions were performed
before the effective date of this AD using Airbus Service Bulletin
A300-55-6050, or A310-55-2051, both dated September 11, 2012; as
applicable; which are not incorporated by reference in this AD.

(l) Parts Installation Limitations

    As of the effective date of this AD, no person may install any
affected rudder on any airplane, unless the actions required by
paragraphs (g) and (h) of this AD have been accomplished.

(m) Other FAA AD Provisions

    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. In accordance with 14
CFR 39.19, send your request to your principal inspector or local
Flight Standards District Office, as appropriate. If sending
information directly to the International Branch, send it to ATTN:
Dan Rodina, Aerospace Engineer, International Branch, ANM-116,
Transport Airplane Directorate, FAA 1601 Lind Avenue SW., Renton, WA
98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>. Information
may be emailed to<EMAIL_ADDRESS>Before using any
approved AMOC, notify your appropriate principal inspector, or
lacking a principal inspector, the manager of the local flight
standards district office/certificate holding district office.
    (2) Contacting the Manufacturer: For any requirement in this AD
to obtain corrective actions from a manufacturer, the action must be
accomplished using a method approved by the Manager, International
Branch, ANM-116, Transport Airplane Directorate, FAA; or EASA; or
Airbus's EASA DOA. If approved by the DOA, the approval must include
the DOA-authorized signature.

(n) Related Information

    (1) Refer to Mandatory Continuing Airworthiness Information
(MCAI) EASA Airworthiness Directive 2014-0026, dated January 28,
2014, for related information. This MCAI may be found in the AD
docket on the Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2014-1045-0002.
    (2) Service information identified in this AD that is not
incorporated by reference is available at the addresses specified in
paragraphs (o)(3) and (o)(4) of this AD.

(o) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (i) Airbus Service Bulletin A300-55-6050, Revision 01, dated
August 20, 2014.
    (ii) Airbus Service Bulletin A310-55-2051, Revision 01, dated
August 20, 2014.
    (3) For service information identified in this AD, contact
Airbus SAS, Airworthiness Office--EAW, 1 Rond Point Maurice
Bellonte, 31707 Blagnac Cedex, France; telephone +33 5 61 93 36 96;
fax +33 5 61 93 44 51; email<EMAIL_ADDRESS>
Internet http://www.airbus.com.
    (4) You may view this service information at the FAA, Transport
Airplane Directorate, 1601 Lind Avenue SW., Renton, WA. For
information on the availability of this material at the FAA, call
425-227-1221.
    (5) You may view this service information that is incorporated
by reference 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 December 31, 2015.
Phil Forde,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2016-00376 Filed 1-20-16; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register: February 11, 2008 (Volume 73, Number 28)]
[Notices]
[Page 7736-7739]
[DOCID:fr11fe08-55]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

February 1, 2008.
    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER91-569-038.
    Applicants: Entergy Services, Inc.
    Description: Entergy Arkansas, Inc and Entergy Gulf States
Louisiana, LLC

et al. reports a non-material change in status pursuant to the
requirements of Order 652.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0090.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER01-138-005.
    Applicants: Delta Person Limited Partnership.
    Description: Delta Person Limited Partnership submits a notice of
non-material change in status in compliance with the reporting
requirements of FERC's Order 652.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0091.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER01-316-027.
    Applicants: ISO New England Inc.
    Description: ISO New England Inc. submits its Index of Customers
for the fourth quarter of 2007.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0057.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER04-805-007.
    Applicants: Wabash Valley Power Association, Inc.
    Description: Wabash Valley Power Association, Inc submits a Notice
of Change in Status in compliance with FERC's Order 652.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0092.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER06-275-003.
    Applicants: Northeast Utilities Service Company.
    Description: The Connecticut Light & Power Co et al. submits a
report updating the Commission on the status of four major transmission
projects in Southwest Connecticut and providing accounting information
etc.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0060.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER06-739-009; ER06-738-009; ER02-537-012; ER03-983-
008; ER07-501-005; ER07-758-004.
    Applicants: East Coast Power Linden Holding, LLC; Cogen
Technologies Linden Ventures, L.P.; Fox Energy Company LLC; Birchwood
Power Partners, L.P.; Shady Hills Power Company, L.L.C.
    Description: The GE Companies submits Notice of Change in Status
resulting from the completion of the transaction authorized by the
Commission pursuant to Order 652.
    Filed Date: 01/29/2008.
    Accession Number: 20080131-0146.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 19, 2008.

    Docket Numbers: ER07-407-003; ER07-342-002; ER07-522-002.
    Applicants: High Prairie Wind Farm II, LLC; Telocaset Wind Power
Partners, LLC; Old Trail Wind Farm, LLC.
    Description: High Prairie Wind Farm II, LLC et al. submits a notice
of non-material change in status in compliance with FERC's Order 652.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0093.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER07-1105-003.
    Applicants: Cedar Creek Wind Energy, LLC.
    Description: Cedar Creek Wind Energy, LLC submits an amendment to
its Rate Schedule FERC 1.
    Filed Date: 01/25/2008.
    Accession Number: 20080130-0181.
    Comment Date: 5 p.m. Eastern Time on Friday, February 15, 2008.

    Docket Numbers: ER07-1399-001.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection LLC notifies FERC of the effective
dates of two executed interconnection service agreements with
Connective Delmarva Generation, Inc et al.
    Filed Date: 01/31/2008
    Accession Number: 20080201-0124.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: ER08-15-001.
    Applicants: Midwest ISO Transmission Owners.
    Description: Midwest ISO Transmission Owners responds to FERC 11/
30/07 Deficiency Letter requesting additional information.
    Filed Date: 01/31/2008.
    Accession Number: 20080201-0129.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: ER08-185-001; ER08-186-001.
    Applicants: Ameren Energy Marketing Company.
    Description: Ameren Services Company Submits Letter in Support of
Compliance Filings Submitted by Ameren Energy Marketing Company and
Union Electric Company.
    Filed Date: 01/30/2008; 01/30/2008.
    Accession Number: 20080131-0088; 20080130-5081; 20080139-5078.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-354-001.
    Applicants: Wells Fargo Energy Markets, LLC.
    Description: Wells Fargo Energy Markets, LLC submits amendments to
its application for market-based rate authority.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0094.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-411-001.
    Applicants: Tiger Natural Gas, Inc.
    Description: Tiger Natural Gas Inc's amended petition for
acceptance of initial tariff, waivers and blanket authority.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0059.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-490-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, LLC submits an executed Interim
Interconnection Service Agreement with High Trail Wind Farm et al.
    Filed Date: 01/29/2008.
    Accession Number: 20080130-0081.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 19, 2008.

    Docket Numbers: ER08-491-000.
    Applicants: The Empire District Electric Company.
    Description: The Empire District Electric Co. submits its Original
Sheet 1 et al. to FERC Electric Tariff, First Revised Volume 2,
effective 1/29/08.
    Filed Date: 01/28/2008.
    Accession Number: 20080130-0085.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 19, 2008.

    Docket Numbers: ER08-492-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, LLC submits an executed Interim
Interconnection Service Agreement.
    Filed Date: 01/29/2008.
    Accession Number: 20080130-0082.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 19, 2008.

    Docket Numbers: ER08-493-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, LLC submits an executed Interim
Interconnection Service Agreement with Zion Energy, LLC et al.
    Filed Date: 01/29/2008.
    Accession Number: 20080130-0083.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 19, 2008.

    Docket Numbers: ER08-494-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection LLC submits an executed
interconnection service agreement and an executed interconnection
service agreement with Lookout Windpower LLC et al.

    Filed Date: 01/28/2008.
    Accession Number: 20080130-0084.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 19, 2008.

    Docket Numbers: ER08-495-000.
    Applicants: Kimberly-Clark Corporation.
    Description: Kimberly-Clark Corporation submits a Petition for
Acceptance of FERC Electric Rate Schedule 1, with an effective dated 1/
30/07.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0058.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-496-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool Inc submits an executed
Interconnection Agreement designated as Service Agreement 1602 to the
Open Access Transmission Tariff.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0061.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-497-000.
    Applicants: El Paso Electric Company.
    Description: El Paso Electric Co. submits its notice of
cancellation of its Rate Schedule 18 and all supplements.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0095.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-498-000.
    Applicants: New York Independent System Operator, Inc.
    Description: New York Independent System Operator, Inc submits
proposed revisions to its Open Access Transmission Tariff and Market
Administration and Control Area Services Tariff.
    Filed Date: 01/30/2008.
    Accession Number: 20080131-0096.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ER08-502-000.
    Applicants: Linde Energy Services, Inc.
    Description: Linde Energy Services, Inc submits notification of
succession.
    Filed Date: 01/31/2008.
    Accession Number: 20080201-0128.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: ER08-503-000.
    Applicants: MidAmerican Energy Company.
    Description: MidAmerican Energy Co submits an amended Network
Operating Agreement with City of Geneseo, IL.
    Filed Date: 01/31/2008.
    Accession Number: 20080201-0127.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: ER08-504-000.
    Applicants: Florida Power & Light Company.
    Description: Florida Power & Light Co submits Rate Schedule 306,
the Midway-Hartman 2 138kV Interconnection Agreement with
Florida Municipal Power Agency et al.
    Filed Date: 01/31/2008.
    Accession Number: 20080201-0126.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: ER08-505-000.
    Applicants: Xcel Energy Services Inc.
    Description: Northern States Power Co submits a Notice of
Termination of the Transmission Capacity and Planning Agreement between
Northern States Power Co and the City of Windom, MN.
    Filed Date: 01/31/2008.
    Accession Number: 20080201-0125.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Take notice that the Commission received the following electric
securities filings:

    Docket Numbers: ES08-21-001; ES08-22-001; ES08-23-001.
    Applicants: Kansas Gas and Electric Company, Westar Energy, Inc.
    Description: Form 523--Request for Permission to Issue Securities
of Kansas Gas and Electric Company, and Westar Energy, Inc.
    Filed Date: 01/30/2008.
    Accession Number: 20080129-5085.
    Comment Date: 5 p.m. Eastern Time on Monday, February 11, 2008.

    Docket Numbers: ES08-28-000.
    Applicants: International Transmission Company.
    Description: Form 523--Request for Permission to Issue Securities
of International Transmission Company.
    Filed Date: 01/30/2008.
    Accession Number: 20080130-5076.
    Comment Date: 5 p.m. Eastern Time on Wednesday, February 20, 2008.

    Docket Numbers: ES08-29-000.
    Applicants: ENTERGY SERVICES INC.
    Description: Form 523--Entergy Services, Inc. et al.--Joint
Application for Authorization to Issue Securities.
    Filed Date: 01/31/2008.
    Accession Number: 20080131-5088.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: ES08-30-000.
    Applicants: Entergy Louisiana, LLC.
    Description: Form 523--Application of Entergy Louisiana, LLC for
Authorization to Issue Securities.
    Filed Date: 01/31/2008.
    Accession Number: 20080131-5091.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Take notice that the Commission received the following open access
transmission tariff filings:

    Docket Numbers: OA07-11-002; OA07-33-001.
    Applicants: Deseret Generation & Transmission Co-op.
    Description: Order No. 890 OATT Compliance Filing of Deseret
Generation & Transmission Co-operative, Inc.
    Filed Date: 01/31/2008.
    Accession Number: 20080131-5108.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: OA07-31-002.
    Applicants: Aquila, Inc.
    Description: Aquila, Inc. errata filing in Docket No. OA07-31.
    Filed Date: 01/31/2008.
    Accession Number: 20080131-5010.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Docket Numbers: OA07-90-002.
    Applicants: MidAmerican Energy Company.
    Description: MidAmerican Energy submits substitute tariff sheet and
process flow diagram to Attachment C in OA07-90.
    Filed Date: 01/31/2008.
    Accession Number: 20080131-5041.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 21, 2008.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov.
 To facilitate electronic service, persons with Internet

access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the

eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive email notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary. .
 [FR Doc. E8-2449 Filed 2-8-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 20 (Tuesday, January 31, 2023)]
[Notices]
[Pages 6346-6349]
[FR Doc No: 2023-01878]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-96746; File No. SR-FINRA-2023-001]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Extend the Expiration Date of the Temporary
Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments
to FINRA Rule 9341(d) in SR-FINRA-2020-015

January 25, 2023.
    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 January 18, 2023, the Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by FINRA. FINRA has designated
the proposed rule change as constituting a ``non-controversial'' rule
change under paragraph (f)(6) of Rule 19b-4 under the Act,\3\ which
renders the proposal effective upon receipt of this filing by the
Commission. 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.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to extend the expiration date of the temporary
amendments set forth in SR-FINRA-2020-027 and the temporary amendments
to FINRA Rule 9341(d) in SR-FINRA-2020-015 from January 31, 2023, to
April 30, 2023.\4\
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    \4\ If FINRA seeks to provide additional temporary relief from
the rule requirements identified in this proposed rule change beyond
April 30, 2023, FINRA will submit a separate rule filing to further
extend the temporary extension of time. The amended FINRA rules will
revert to their original form at the conclusion of the temporary
relief period and any extension thereof.
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    The proposed rule change would not make any changes to the text of
FINRA rules.

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

    In its filing with the Commission, FINRA 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. FINRA 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
    In response to the COVID-19 global health crisis and the
corresponding need to restrict in-person activities, FINRA filed
proposed rule changes, SR-FINRA-2020-015 and SR-FINRA-2020-027, which
respectively provide temporary relief from some timing, method of
service and other procedural requirements in FINRA rules and allow
FINRA's Office of Hearing Officers (``OHO'') and the National
Adjudicatory Council (``NAC'') to conduct hearings, on a temporary
basis, by video conference, if warranted by the current COVID-19-
related public health risks posed by an in-person hearing. In October
2022, FINRA filed a proposed rule change, SR-FINRA-2022-029, to extend
the expiration date of the temporary amendments in both SR-FINRA-2020-
015 and SR-FINRA-2020-027 from October 31, 2022, to January 31,
2023.\5\ Due to the continued presence and uncertainty of COVID-19,
FINRA proposes to extend the expiration date of the temporary
amendments in SR-FINRA-2020-027 and the temporary amendments to FINRA
Rule 9341(d) in SR-FINRA-

2020-015 from January 31, 2023, to April 30, 2023.\6\
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    \5\ See Securities Exchange Act Release No. 96107 (October 19,
2022), 87 FR 64526 (October 25, 2022) (Notice of Filing and
Immediate Effectiveness of File No. SR-FINRA-2022-029).
    \6\ In June 2022, the Commission approved FINRA's rule proposal
to make permanent the temporary amendments to the electronic service
and filing rules originally set forth in SR-FINRA-2020-015, with
some modifications, as described in the approval order. See
Securities Exchange Act Release No. 95147 (June 23, 2022), 87 FR
38803 (June 29, 2022) (Order Approving File No. SR-FINRA-2022-009).
Those amendments became effective on August 22, 2022. See Regulatory
Notice 22-16 (July 2022). In addition to the electronic service and
filing rules, SR-FINRA-2020-015 also included other temporary
amendments pertaining to certain adjudicatory and review processes.
All of these other temporary amendments expired on the effective
date of SR-FINRA-2022-009, except for the provisions to allow NAC
oral arguments by video conference (FINRA Rule 9341(d)).
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    Due to the public health concerns and restrictions resulting from
the outbreak of COVID-19, along with a corresponding backlog of
disciplinary cases,\7\ FINRA filed, and subsequently extended to
January 31, 2023, SR-FINRA-2020-027 \8\ to temporarily amend FINRA
Rules 1015, 9261, 9524, and 9830 to grant OHO and the NAC authority \9\
to conduct hearings in connection with appeals of Membership
Application Program decisions, disciplinary actions, eligibility
proceedings and temporary and permanent cease and desist orders by
video conference, if warranted by the COVID-19-related public health
risks posed by an in-person hearing.\10\
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    \7\ For example, FINRA began temporarily postponing in-person
hearings as a result of the COVID-19 impacts on March 16, 2020.
    \8\ The same COVID-19 public health concerns and restrictions
led FINRA to file SR-FINRA-2020-015, which included the temporary
amendments to allow NAC oral arguments by videoconference. See
Securities Exchange Act Release No. 88917 (May 20, 2020), 85 FR
31832 (May 27, 2020) (Notice of Filing and Immediate Effectiveness
of File No. SR-FINRA-2020-015).
    \9\ For OHO hearings under FINRA Rules 9261 and 9830, the
proposed rule change temporarily grants authority to the Chief or
Deputy Chief Hearing Officer to order that a hearing be conducted by
video conference. For NAC hearings under FINRA Rules 1015 and 9524,
this temporary authority is granted to the NAC or the relevant
Subcommittee. With respect to both OHO and NAC hearings, the
temporary authority of the adjudicator is discretionary, so in-
person hearings may continue to take place where safe and
appropriate.
    \10\ See Securities Exchange Act Release No. 89737 (September 2,
2020), 85 FR 55712 (September 9, 2020) (Notice of Filing and
Immediate Effectiveness of File No. SR-FINRA-2020-027); Securities
Exchange Act Release No. 90619 (December 9, 2020), 85 FR 81250
(December 15, 2020) (Notice of Filing and Immediate Effectiveness of
File No. SR-FINRA-2020-042); Securities Exchange Act Release No.
91495 (April 7, 2021), 86 FR 19306 (April 13, 2021) (Notice of
Filing and Immediate Effectiveness of File No. SR-FINRA-2021-006);
Securities Exchange Act Release No. 92685 (August 17, 2021), 86 FR
47169 (August 23, 2021) (Notice of Filing and Immediate
Effectiveness of File No. SR-FINRA-2021-019); Securities Exchange
Act Release No. 93758 (December 13, 2021), 86 FR 71695 (December 17,
2021) (Notice of Filing and Immediate Effectiveness of File No. SR-
FINRA-2021-031); Securities Exchange Act Release No. 94430 (March
16, 2022), 87 FR 16262 (March 22, 2022) (Notice of Filing and
Immediate Effectiveness of File No. SR-FINRA-2022-004); Securities
Exchange Act Release No. 95281 (July 14, 2022), 87 FR 43335 (July
20, 2022) (Notice of Filing and Immediate Effectiveness of File No.
SR-FINRA-2022-018); and File No. SR-FINRA-2022-029, supra note 5.
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    Due to the upward trend in the number of COVID-19 cases since FINRA
filed SR-FINRA-2022-029 in October 2022, FINRA believes there is a
continued need for temporary relief beyond January 31, 2023. In this
regard, FINRA notes that COVID-19 remains a public health concern. For
example, according to the Centers for Disease Control and Prevention
(``CDC''), approximately 61.73 percent of counties in the United States
have a medium or high COVID-19 Community Level based on the CDC's most
recent calculations.\11\ The daily average number of hospital
admissions is also on the rise.\12\ Much uncertainty also remains given
the emergence of new Omicron variants that the CDC currently is
tracking \13\ and the dissimilar vaccination rates (completed primary
series and updated booster dose) throughout the United States.\14\
---------------------------------------------------------------------------

    \11\ See CDC, COVID Data Tracker--COVID-19 Integrated County
View, https://covid.cdc.gov/covid-data-tracker/#county-view?list_select_state=all_states&list_select_county=all_counties&data-type=CommunityLevels&null=CommunityLevels (last visited Jan. 9,
2023).
    \12\ See CDC, COVID Data Tracker Weekly Review--Daily Trend in
Number of New COVID-19 Hospital Admissions in the United States,
https://www.cdc.gov/coronavirus/2019-ncov/covid-data/covidview/index.html (last visited Jan. 9, 2023) (``The current 7-day daily
average for December 28, 2022-January 3, 2023, was 6,519. This is a
16.1% increase from the prior 7-day average (5,613) from December
21-27, 2022.'').
    \13\ These new Omicron variants include BQ.1.1, XBB.1.5 and
BQ.1. See CDC, COVID Data Tracker--Variant Proportions, https://covid.cdc.gov/covid-data-tracker/#variant-proportions (last visited
Jan. 9, 2023).
    \14\ A state-by-state comparison of vaccination rates is
available at https://covid.cdc.gov/covid-data-tracker/#vaccinations_vacc-people-additional-dose-totalpop (last visited
Jan. 9, 2023).
---------------------------------------------------------------------------

    In addition, as set forth in the previous filings, FINRA relies on
the guidance of its health and safety consultant, in conjunction with
COVID-19 data and guidance issued by public health authorities, to
determine whether the current public health risks presented by an in-
person hearing may warrant a hearing by video conference.\15\ FINRA
strives to hold in-person hearings when it is safe to do so, but
because FINRA conducts hearings at locations throughout the United
States, FINRA believes that it may be difficult to conduct in-person
hearings at certain locations based on that data and guidance.
---------------------------------------------------------------------------

    \15\ As noted in SR-FINRA-2020-027, the temporary proposed rule
change grants discretion to OHO and the NAC to order a video
conference hearing. In deciding whether to schedule a hearing by
video conference, OHO and the NAC may consider a variety of other
factors in addition to COVID-19 trends. In SR-FINRA-2020-027, FINRA
provided a non-exhaustive list of other factors OHO and the NAC may
take into consideration, including a hearing participant's
individual health concerns and access to the connectivity and
technology necessary to participate in a video conference hearing.
---------------------------------------------------------------------------

    As a result, FINRA believes there will be a continued need for
temporary relief beyond January 31, 2023. Accordingly, FINRA proposes
to extend the expiration date of the temporary amendments originally
set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA
Rule 9341(d) in SR-FINRA-2020-015 from January 31, 2023, to April 30,
2023.\16\ As previously noted, FINRA strives to hold in-person hearings
when it is safe to do so and the extension of temporary relief
therefore does not mean a video conference hearing will be ordered in
every case.\17\ Given the uncertainty regarding COVID-19, however, the
extension of these temporary amendments allowing for specified OHO and
NAC hearings to proceed by video conference will ensure that FINRA's
critical adjudicatory functions continue to operate effectively in
these circumstances--enabling FINRA to fulfill its statutory
obligations to protect investors and maintain fair and orderly
markets--while also protecting the health and safety of hearing
participants.\18\
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    \16\ See supra note 5. As a further basis for extending the
expiration date to April 30, 2023, FINRA notes that its Board has
approved the submission of a rule proposal to the Commission to make
permanent, with some modifications, the temporary rules to allow
hearings to be conducted by video conference originally set forth in
SR-FINRA-2020-027 and SR-FINRA-2020-015. See https://www.finra.org/about/governance/finra-board-governors/meetings/update-finra-board-governors-meeting-december-2022. FINRA contemplates filing the rule
proposal with the Commission in the near future and the extension of
the temporary rule amendments would help avoid the rules reverting
to their original form before the permanent rules, if approved by
the Commission, become effective.
    \17\ In fact, FINRA began to hold in-person hearings at a single
location in 2021. In July 2021, FINRA held its first in-person
hearing since the temporary amendments were implemented. A
subsequent surge in case numbers for the Delta variant of the COVID-
19 virus caused FINRA's outside health and safety consultant to
recommend in early August 2021 against in-person hearings.
Accordingly, the Chief Hearing Officer converted hearings scheduled
after mid-September 2021 from in-person to video conference on a
case-by-case basis. In July 2022, FINRA scheduled another in-person
hearing but shortly before it began the parties jointly requested
that the hearing be conducted via video conference instead, and the
Chief Hearing Officer used her discretion to order that the hearing
be conducted by video conference.
    \18\ Since the temporary amendments were implemented, OHO and
the NAC have conducted several hearings by video conference. As of
January 9, 2023, OHO has conducted 17 disciplinary hearings by video
conference (decisions have been issued in all but one of these
cases). In six of these disciplinary hearings, all of the parties
agreed to proceed by video conference; the other 11 were ordered to
proceed by video conference by the Chief Hearing Officer. OHO
currently has hearings scheduled in eight additional disciplinary
matters. No determination has yet been made regarding whether these
eight hearings will be in-person or by video conference. Also, as of
January 9, 2023, the NAC, through the relevant Subcommittee, has
conducted 19 oral arguments by video conference in connection with
appeals of FINRA disciplinary proceedings pursuant to FINRA Rule
9341(d), as temporarily amended. Furthermore, the NAC has conducted
via video conference a one-day evidentiary hearing in a membership
application proceeding pursuant to FINRA Rule 1015, as temporarily
amended. The NAC also has conducted via video conference three
evidentiary hearings in eligibility matters pursuant to FINRA Rule
9524, as temporarily amended.

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    FINRA has filed the proposed rule change for immediate
effectiveness and has requested that the SEC waive the requirement that
the proposed rule change not become operative for 30 days after the
date of the filing, so FINRA can implement the proposed rule change
immediately.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\19\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change is also
consistent with Section 15A(b)(8) of the Act,\20\ which requires, among
other things, that FINRA rules provide a fair procedure for the
disciplining of members and persons associated with members.
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78o-3(b)(6).
    \20\ 15 U.S.C. 78o-3(b)(8).
---------------------------------------------------------------------------

    The proposed rule change, which extends the expiration date of the
temporary amendments to FINRA rules set forth in SR-FINRA-2020-027 and
the temporary amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015,
will continue to aid FINRA's efforts to timely conduct hearings in
connection with its core adjudicatory functions. Given that COVID-19
remains a public health concern and the spike in cases of the disease,
without this relief allowing OHO and NAC hearings to proceed by video
conference, FINRA might be required to postpone some or almost all
hearings for a significant period of time. FINRA must be able to
perform its critical adjudicatory functions to fulfill its statutory
obligations to protect investors and maintain fair and orderly markets.
As such, this relief is essential to FINRA's ability to fulfill its
statutory obligations and allows hearing participants to avoid the
COVID-19-related health and safety risks associated with in-person
hearings.
    Among other things, this relief will allow OHO to conduct temporary
cease and desist proceedings by video conference so that FINRA can take
immediate action to stop ongoing customer harm and will allow the NAC
to timely provide members, disqualified individuals and other
applicants an approval or denial of their applications. As set forth in
detail in the original filings, this temporary relief allowing OHO and
NAC hearings to proceed by video conference accounts for fair process
considerations and will continue to provide fair process while avoiding
the COVID-19-related public health risks for hearing participants.
Accordingly, the proposed rule change extending this temporary relief
is in the public interest and consistent with the Act's purpose.

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

    FINRA does not believe that the temporary proposed rule change will
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act. As set forth in
SR-FINRA-2020-027 and, with respect to FINRA Rule 9341(d), in SR-FINRA-
2020-015, the proposed rule change is intended solely to extend
temporary relief necessitated by the continued presence of COVID-19 and
the related health and safety risks of conducting in-person activities.
FINRA believes that the proposed rule change will prevent unnecessary
impediments to FINRA's critical adjudicatory processes and its ability
to fulfill its statutory obligations to protect investors and maintain
fair and orderly markets that would otherwise result if the temporary
amendments were to expire on January 31, 2023.

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

    Written comments were neither solicited nor 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 \21\ and Rule 19b-
4(f)(6) thereunder.\22\
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    \21\ 15 U.S.C. 78s(b)(3)(A).
    \22\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days after the date of filing. However,
pursuant to Rule 19b-4(f)(6)(iii), the Commission may designate a
shorter time if such action is consistent with the protection of
investors and the public interest. As FINRA requested in connection
with SR-FINRA-2020-015 and related extensions,\23\ FINRA has also asked
the Commission to waive the 30-day operative delay so that this
proposed rule change may become operative immediately upon filing.
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    \23\ See SR-FINRA-2020-015, 85 FR at 31836. Although FINRA did
not request that the Commission waive the 30-day operative delay for
SR-FINRA-2020-027, FINRA did request that the Commission waive the
30-day operative delay for SR-FINRA-2020-042, SR-FINRA-2021-006, SR-
FINRA-2021-019, SR-FINRA-2021-031, SR-FINRA-2022-004, and SR-FINRA-
2022-018 which extended the expiration date of the temporary
amendments originally set forth in SR-FINRA-2020-027.
---------------------------------------------------------------------------

    FINRA has indicated that extending the relief provided originally
in SR-FINRA-2020-015 and SR-FINRA-2020-027 will continue to provide
FINRA the ability to safely conduct hearings in connection with its
core functions during the COVID-19 outbreak. Importantly, extending the
relief provided in these prior rule changes immediately upon filing and
without a 30-day operative delay will allow FINRA to continue critical
adjudicatory and review processes in a reasonable and fair manner and
meet its critical investor protection goals, while also following best
practices with respect to the health and safety of its employees.\24\
The Commission also notes that this proposal, like SR-FINRA-2020-015
and SR-FINRA-2020-027, provides only temporary relief during the period
in which FINRA's operations are impacted by COVID-19. As proposed, the
changes would be in place through April 30, 2023.\25\ FINRA also noted
in both SR-FINRA-2020-015 and SR-FINRA-2020-027 that the amended rules
will revert back to their original state at the conclusion of the
temporary relief period and, if applicable, any extension

thereof.\26\ For these reasons, the Commission believes that waiver of
the 30-day operative delay for this proposal is consistent with the
protection of investors and the public interest. Accordingly, the
Commission hereby waives the 30-day operative delay and designates the
proposal operative upon filing.\27\
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    \24\ See supra Item II.A.1; see also SR-FINRA-2020-015, 85 FR at
31833.
    \25\ As noted above, see supra note 4, FINRA stated that if it
requires temporary relief from the rule requirements identified in
this proposal beyond April 30, 2023, it may submit a separate rule
filing to extend the effectiveness of the temporary relief under
these rules.
    \26\ See SR-FINRA-2020-015, 85 FR at 31833; see also SR-FINRA-
2020-027, 85 FR at 55712.
    \27\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    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 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 protected]. Please include
File Number SR-FINRA-2023-001 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-FINRA-2023-001. 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 such filing also will be available for inspection
and copying at the principal office of FINRA. 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-FINRA-2023-001 and should be submitted
on or before February 21, 2023.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\28\
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    \28\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2023-01878 Filed 1-30-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 119 (Thursday, June 20, 2019)]
[Notices]
[Page 28884]
[FR Doc No: 2019-13067]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket Number FRA-2019-0044]

Notice of Application for Approval of Discontinuance or
Modification of a Railroad Signal System

    Under part 235 of Title 49 of the Code of Federal Regulations (CFR)
and 49 U.S.C. 20502(a), this document provides the public notice that
by a document dated May 30, 2019, the Belt Railway Company of Chicago
(BRC) petitioned the Federal Railroad Administration (FRA) seeking
approval to discontinue or modify a signal system. FRA assigned the
petition Docket Number FRA-2019-0044.
    Applicant: The Belt Railway Company of Chicago, Mr. Harold T.
Kirman, Director Strategic Planning & Compliance, 6900 South Central
Avenue, Bedford Park, IL 60638-6397.
    Specifically, BRC requests permission to permanently remove signals
8R and 24RC within the interlocking at Lemoyne, Chicago, IL, located on
BRC's Kenton Line at milepost 6.7. Signals 8R and 24RC share a common
mast and are a legacy configuration from the Canadian National Railway
adopting centralized traffic control on the Joliet Subdivision.
    BRC states the removal of these signals will eliminate superfluous
signals with a commensurate reduction in the cost of maintaining the
signals. The balance of the interlocking functionality will remain the
same.
    A copy of the petition, as well as any written communications
concerning the petition, is available for review online at http://www.regulations.gov and in person at the U.S. Department of
Transportation's (DOT) Docket Operations Facility, 1200 New Jersey
Avenue SE, W12-140, Washington, DC 20590. The Docket Operations
Facility is open from 9 a.m. to 5 p.m., Monday through Friday, except
Federal Holidays.
    Interested parties are invited to participate in these proceedings
by submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in connection with these proceedings since
the facts do not appear to warrant a hearing. If any interested parties
desire an opportunity for oral comment and a public hearing, they
should notify FRA, in writing, before the end of the comment period and
specify the basis for their request.
    All communications concerning these proceedings should identify the
appropriate docket number and may be submitted by any of the following
methods:
     Website: http://www.regulations.gov. Follow the online
instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Operations Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, W12-140, Washington, DC
20590.
     Hand Delivery: 1200 New Jersey Avenue SE, Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal Holidays.
    Communications received by August 5, 2019 will be considered by FRA
before final action is taken. Comments received after that date will be
considered if practicable.
    Anyone can search the electronic form of any written communications
and comments received into any of our dockets by the name of the
individual submitting the comment (or signing the document, if
submitted on behalf of an association, business, labor union, etc.).
Under 5 U.S.C. 553(c), DOT solicits comments from the public to better
inform its processes. DOT posts these comments, without edit, including
any personal information the commenter provides, to
www.regulations.gov, as described in the system of records notice (DOT/
ALL-14 FDMS), which can be reviewed at http://www.dot.gov/privacy. See
also http://www.regulations.gov/#!privacyNotice for the privacy notice
of regulations.gov.

    Issued in Washington, DC.
John Karl Alexy,
Acting Associate Administrator, Office of Railroad Safety.
[FR Doc. 2019-13067 Filed 6-19-19; 8:45 am]
 BILLING CODE 4910-06-P