[Federal Register Volume 78, Number 30 (Wednesday, February 13, 2013)]
[Notices]
[Pages 10222-10226]
[FR Doc No: 2013-03276]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68863; File No. SR-NYSEArca-2012-142]

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting
Approval of Proposed Rule Change, as Modified by Amendment No. 1
Thereto, To List and Trade the Guggenheim Enhanced Total Return ETF
Under NYSE Arca Equities Rule 8.600

February 7, 2013.

I. Introduction

    On December 13, 2012, NYSE Arca, Inc. (``Exchange'' or ``NYSE
Arca'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'' or ``Exchange Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to list and trade shares
(``Shares'') of the Guggenheim Enhanced Total Return ETF (``Fund'')
under NYSE Arca Equities Rule 8.600. The proposed rule change was
published for comment in the Federal Register on December 27, 2012.\3\
On February 4, 2013, the Exchange filed Amendment No. 1 to the proposed
rule change.\4\ The Commission received no comments on the proposed

rule change. This order grants approval of the proposed rule change, as
modified by Amendment No. 1 thereto.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 68488 (December 20,
2012), 77 FR 76326 (``Notice''). See also Securities Exchange Act
Release No. 68488 (December 20, 2012), 78 FR 1892 (January 9, 2013)
(SR-NYSEArca-2012-142) (correcting a typographical error by the
Federal Register to the File No. reference).
    \4\ Amendment No. 1 amended the following sentence: ``The Fund
may invest in mortgage- or asset-backed securities and is limited to
10% of its total assets in any combination of mortgage-related or
other asset-backed interest-only, principal-only or inverse floater
securities.'' As amended, the sentence reads: ``The Fund may invest
in mortgage- or asset-backed securities and is limited to 10% of its
total assets in any combination of mortgage-related or other asset-
backed interest-only or principal-only securities.'' This amendment
was intended to clarify that the Fund will not invest in inverse
floaters. See Notice, supra note 3, at 76328. Because the changes
made by Amendment No. 1 do not materially alter the substance of the
proposed rule change or raise any novel regulatory issues, Amendment
No. 1 is not subject to notice and comment.
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II. Description of the Proposed Rule Change

    The Exchange proposes to list and trade Shares of the Fund under
NYSE Arca Equities Rule 8.600, which governs the listing and trading of
Managed Fund Shares. The Shares will be offered by the Claymore
Exchange-Traded Fund Trust 2 (``Trust''),\5\ a statutory trust
organized under the laws of the State of Delaware and registered with
the Commission as an open-end management investment company. The
investment adviser for the Fund is Guggenheim Funds Investment
Advisors, LLC (``Adviser''). The Bank of New York Mellon is the
custodian and transfer agent for the Fund. Guggenheim Funds
Distributors, LLC is the distributor for the Fund. The Exchange states
that the Adviser is affiliated with a broker-dealer and that the
Adviser has represented that it has implemented a fire wall with
respect to its broker-dealer affiliate regarding access to information
concerning the composition and/or changes to the Fund's portfolio.\6\
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    \5\ The Trust is registered under the Investment Company Act of
1940 (``1940 Act''). On June 9, 2011, the Trust filed with the
Commission an amendment to its registration statement on Form N-1A
under the Securities Act of 1933 (``Securities Act'') and the 1940
Act relating to the Fund (File Nos. 333-135105 and 811-21910)
(``Registration Statement''). In addition, the Commission has issued
an order granting certain exemptive relief to the Trust under the
1940 Act. See Investment Company Act Release No. 29271 (May 18,
2010) (File No. 812-13534) (``Exemptive Order'').
    \6\ See NYSE Arca Equities Rule 8.600, Commentary .06. In the
event (a) the Adviser or any sub-adviser becomes newly affiliated
with a broker-dealer, or (b) any new adviser or sub-adviser becomes
affiliated with a broker-dealer, it will implement a fire wall with
respect to such broker-dealer regarding access to information
concerning the composition and/or changes to the portfolio, and will
be subject to procedures designed to prevent the use and
dissemination of material non-public information regarding such
portfolio.
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Guggenheim Enhanced Total Return ETF

    The Fund's investment objective will be to seek maximum total
return, composed of income and capital appreciation. The Fund will
normally \7\ invest in a portfolio of fixed-income instruments of
varying maturities and equity securities.
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    \7\ The term ``normally'' includes, but is not limited to, the
absence of extreme volatility or trading halts in the securities
markets or the financial markets generally; circumstances under
which the Fund's investments are made for temporary defensive
purposes; operational issues causing dissemination of inaccurate
market information; or force majeure type events such as systems
failure, natural or man-made disaster, act of God, armed conflict,
act of terrorism, riot or labor disruption, or any similar
intervening circumstance.
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Fixed-Income Instruments Investments

    The fixed-income instruments in which the Fund will invest include
bonds, debt securities, and other similar instruments--such as Treasury
securities, collateralized mortgage obligations, collateralized loan
obligations, and mortgage- and asset-backed securities--issued by
various U.S. and non-U.S. public- or private-sector entities. The Fund
will normally invest at least 65% of its assets in fixed-income
instruments. In addition, the Fund may invest in U.S. and non-U.S.
dollar-denominated debt securities of U.S. and foreign corporations,
governments, agencies, and supra-national agencies.\8\
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    \8\ Generally, a corporate bond must have $100 million or more
par amount outstanding to be considered as an eligible investment.
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    While the Fund generally will invest more than 50% of its assets in
investment-grade fixed-income instruments, the Fund also expects to
invest to a maximum of 35% of its total assets in high-yield debt
securities (``junk bonds''), which are debt securities that are rated
below investment-grade by nationally recognized statistical rating
organizations, or are unrated securities that the Adviser believes are
of comparable quality. The Fund may invest up to 30% of its total
assets in debt securities denominated in foreign currencies and may
invest without limitation in U.S. dollar-denominated debt securities of
foreign issuers. The Fund may invest up to 20% of its total assets in
debt securities and instruments that are economically tied to emerging
market countries.\9\
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    \9\ Emerging market countries are countries that major
international financial institutions, such as the World Bank,
generally consider to be less economically mature than developed
nations. Emerging market countries can include every nation in the
world except the United States, Canada, Japan, Australia, New
Zealand, and most countries located in Western Europe. Generally, a
corporate bond of an issuer in an emerging market must have $200
million or more par amount outstanding to be considered as an
eligible investment.
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    The Fund may invest in mortgage- or asset-backed securities and is
limited to 10% of its total assets in any combination of mortgage-
related or other asset-backed interest-only or principal-only
securities.\10\ This limitation does not apply to securities issued or
guaranteed by federal agencies or U.S. government sponsored
instrumentalities, such as the Government National Mortgage
Administration, the Federal Housing Administration, the Federal
National Mortgage Association, and the Federal Home Loan Mortgage
Corporation. The Fund may purchase or sell securities on a when-issued,
delayed-delivery, or forward-commitment basis and may engage in short
sales.
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    \10\ See supra note 4.
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    The Fund may invest in short-term instruments such as commercial
paper,\11\ repurchase agreements,\12\ and reverse repurchase
agreements.\13\ The Fund may invest in money market instruments
(including other funds that invest exclusively in money market
instruments). These investments in money market instruments may be as
part of a temporary defensive strategy to protect against temporary
market declines.
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    \11\ The commercial paper in which the Fund may invest includes
variable-amount master demand notes and asset-backed commercial
paper. Commercial paper normally represents short-term unsecured
promissory notes issued in bearer form by banks or bank holding
companies, corporations, finance companies, and other issuers.
    \12\ Repurchase agreements are fixed-income securities in the
form of agreements backed by collateral. These agreements, which may
be viewed as a type of secured lending by the Fund, typically
involve the acquisition by the Fund of securities from the selling
institution (such as a bank or a broker dealer), coupled with the
agreement that the selling institution will repurchase the
underlying securities at a specified price and at a fixed time in
the future (or on demand). These agreements may be made with respect
to any of the portfolio securities in which the Fund is authorized
to invest. The Fund may enter into repurchase agreements with (i)
member banks of the Federal Reserve System having total assets in
excess of $500 million and (ii) securities dealers (``Qualified
Institutions''). The Adviser will monitor the continued
creditworthiness of Qualified Institutions. The Fund may accept a
wide variety of underlying securities as collateral for the
repurchase agreements entered into by the Fund. Such collateral may
include U.S. government securities, corporate obligations, equity
securities, municipal debt securities, mortgage-backed securities,
and convertible securities. Any such securities serving as
collateral are marked to market daily in order to maintain full
collateralization (typically purchase price plus accrued interest).
    \13\ Reverse repurchase agreements involve the sale of
securities with an agreement to repurchase the securities at an
agreed-upon price, date, and interest payment and have the
characteristics of borrowing. The securities purchased with the
funds obtained from the agreement and securities collateralizing the
agreement will have maturity dates no later than the repayment date.
Generally the effect of such transactions is that the Fund can
recover all or most of the cash invested in the portfolio securities
involved during the term of the reverse repurchase agreement, while
in many cases the Fund is able to keep some of the interest income
associated with those securities.
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    The Fund may invest in debt securities that have variable or
floating interest rates that are readjusted on set dates (such as the
last day of the month or calendar quarter) in the case of variable
rates, or whenever a specified interest rate change occurs in the case
of a floating rate instrument. The Fund will not, however, invest in
inverse

floaters. Variable or floating interest rates generally reduce changes
in the market price of securities from their original purchase price
because, upon readjustment, such rates approximate market rates.
Accordingly, as interest rates decrease or increase, the potential for
capital appreciation or depreciation is less for variable or floating
rate securities than for fixed rate obligations. Many securities with
variable or floating interest rates purchased by the Fund will be
subject to payment of principal and accrued interest (usually within
seven days) on the Fund's demand. The terms of such demand instruments
require payment of principal and accrued interest by the issuer, a
guarantor, or a liquidity provider. The Adviser will monitor the
pricing, quality, and liquidity of the variable or floating rate
securities held by the Fund.
    With respect to fixed-income instrument investments, the Fund may,
without limitation, seek to obtain market exposure to the securities in
which it primarily invests by entering into a series of purchase and
sale contracts or by using other investment techniques (such as buy
backs or dollar rolls).

Equity Securities Investments

    The Fund may invest up to 35% of its total assets in U.S. exchange-
listed equity securities and foreign equity securities.\14\ The Fund
may invest up to 30% of its total assets in U.S. exchange-listed
preferred stock, convertible securities,\15\ and other equity-related
securities. The Fund may gain exposure to commodities through
investment of up to 30% of its total assets, which may include
investments in exchange-traded products (``Underlying ETPs'') \16\ and
exchange-traded notes (``ETNs'').\17\ The Fund may invest in the
securities of exchange-listed real estate investment trusts
(``REITs''), which pool investors' funds for investments primarily in
commercial real estate properties, to the extent allowed by law.
Investment in REITs may be the most practical available means for the
Fund to invest in the real estate industry.
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    \14\ The foreign equity securities in which the Fund may invest
will be limited to securities that trade in markets that are members
of the Intermarket Surveillance Group (``ISG''), which includes all
U.S. national securities exchanges and certain foreign exchanges, or
markets that are parties to a comprehensive surveillance sharing
agreement with the Exchange.
    \15\ Convertible securities include bonds, debentures, notes,
preferred stocks, and other securities that entitle the holder to
acquire common stock or other equity securities of the same or a
different issuer.
    \16\ Underlying ETPs include Trust Issued Receipts (as described
in NYSE Arca Equities Rule 8.200); Commodity-Based Trust Shares (as
described in NYSE Arca Equities Rule 8.201); Currency Trust Shares
(as described in NYSE Arca Equities Rule 8.202); Commodity Index
Trust Shares (as described in NYSE Arca Equities Rule 8.203); and
Trust Units (as described in NYSE Arca Equities Rule 8.500).
    \17\ ETNs include Index-Linked Securities (as described in NYSE
Arca Equities Rule 5.2(j)(6)).
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Other Investments

    As a non-principal investment strategy, the Fund may invest in
insurance-linked securities and structured notes (notes on which the
amount of principal repayment and interest payments are based on the
movement of one or more specified factors, such as the movement of a
particular security or security index) other than ETNs. The Fund may
invest in certificates of deposit (``CDs''), time deposits, and
bankers' acceptances from U.S. banks. A bankers' acceptance is a bill
of exchange or time draft drawn on and accepted by a commercial bank. A
CD is a negotiable interest-bearing instrument with a specific
maturity. CDs are issued by banks and savings and loan institutions in
exchange for the deposit of funds and normally can be traded in the
secondary market prior to maturity. A time deposit is a non-negotiable
receipt issued by a bank in exchange for the deposit of funds. Like a
CD, it earns a specified rate of interest over a definite period of
time; however, it cannot be traded in the secondary market.
    The Fund may invest in zero-coupon or pay-in-kind securities. These
securities are debt securities that do not make regular cash interest
payments. Zero-coupon securities are sold at a deep discount to their
face value. Pay-in-kind securities pay interest through the issuance of
additional securities. Because zero-coupon and pay-in-kind securities
do not pay current cash income, the price of these securities can be
volatile when interest rates fluctuate.
    The Fund may use delayed-delivery transactions as an investment
technique. Delayed-delivery transactions, also referred to as forward-
commitments, involve commitments by the Fund to dealers or issuers to
acquire or sell securities at a specified future date beyond the
customary settlement for such securities. These commitments may fix the
payment price and interest rate to be received or paid on the
investment. The Fund may purchase securities on a delayed-delivery
basis to the extent that it can anticipate having available cash on the
settlement date. Delayed-delivery agreements will not be used as a
speculative or leverage technique.
    The Adviser may attempt to reduce foreign currency exchange rate
risk by entering into contracts with banks, brokers, or dealers to
purchase or sell foreign currencies at a future date (``forward
contracts'').
    The Fund may invest in the securities of other investment
companies. Under Section 12(d) of the 1940 Act, or as otherwise
permitted by the Commission, the Fund's investment in investment
companies is limited to, subject to certain exceptions, (i) 3% of the
total outstanding voting stock of any one investment company, (ii) 5%
of the Fund's total assets with respect to any one investment company,
and (iii) 10% of the Fund's total assets with respect to investment
companies in the aggregate.\18\
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    \18\ 15 U.S.C. 80a-12(d).
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    The Fund will be considered non-diversified and can invest a
greater portion of assets in securities of individual issuers than a
diversified fund.\19\
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    \19\ A ``non-diversified company,'' as defined in Section
5(b)(2) of the 1940 Act, means any management company other than a
diversified company (as defined in Section 5(b)(1) of the 1940 Act).
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    The Fund may not invest more than 25% of the value of its net
assets in securities of issuers in any one industry or group of
industries. This restriction does not apply to obligations issued or
guaranteed by the U.S. Government, its agencies, or its
instrumentalities.
    The Fund may hold up to an aggregate amount of 15% of its net
assets in illiquid securities \20\ (calculated at the

time of investment), including Rule 144A securities. The Fund will
monitor its portfolio liquidity on an ongoing basis to determine
whether, in light of current circumstances, an adequate level of
liquidity is being maintained, and will consider taking appropriate
steps in order to maintain adequate liquidity if, through a change in
values, net assets, or other circumstances, more than 15% of the Fund's
net assets are held in illiquid securities and other illiquid assets.
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    \20\ The Fund may invest in master demand notes, which are
demand notes that permit the investment of fluctuating amounts of
money at varying rates of interest pursuant to arrangements with
issuers who meet the quality criteria of the Fund. The interest rate
on a master demand note may fluctuate based upon changes in
specified interest rates, be reset periodically according to a
prescribed formula, or be a set rate. Although there is no secondary
market in master demand notes, if such notes have a demand feature,
the payee may demand payment of the principal amount of the note
upon relatively short notice. Master demand notes are generally
illiquid and therefore subject to the Fund's percentage limitations
for holdings in illiquid securities. In addition, the Fund may
purchase participations in corporate loans. Participation interests
generally will be acquired from a commercial bank or other financial
institution (``Lender'') or from other holders of a participation
interest (``Participant''). The purchase of a participation interest
either from a Lender or a Participant will not result in any direct
contractual relationship with the borrowing company (``Borrower'').
The Fund generally will have no right directly to enforce compliance
by the Borrower with the terms of the credit agreement. Instead, the
Fund will be required to rely on the Lender or the Participant that
sold the participation interest, both for the enforcement of the
Fund's rights against the Borrower and for the receipt and
processing of payments due to the Fund under the loans. Under the
terms of a participation interest, the Fund may be regarded as a
member of the Participant, and thus the Fund is subject to the
credit risk of both the Borrower and a Participant. Participation
interests are generally subject to restrictions on resale.
Generally, the Fund considers participation interests to be illiquid
and therefore subject to the Fund's percentage limitations for
holdings in illiquid securities.
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    The Fund intends to qualify for and to elect to be treated as a
separate regulated investment company under Subchapter M of the
Internal Revenue Code.\21\
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    \21\ 26 U.S.C. 851.
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    The Exchange represents that the Shares will conform to the initial
and continued listing criteria under NYSE Arca Equities Rule 8.600. The
Exchange further represents that, for initial and continued listing,
the Fund will be in compliance with Rule 10A-3 under the Exchange
Act,\22\ as provided by NYSE Arca Equities Rule 5.3. A minimum of
100,000 Shares of the Fund will be outstanding at the commencement of
trading on the Exchange. The Exchange will obtain a representation from
the issuer of the Shares that the net asset value (``NAV'') per Share
will be calculated daily and that the NAV and the Disclosed Portfolio
will be made available to all market participants at the same time.
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    \22\ 17 CFR 240.10A-3.
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    Consistent with the Exemptive Order, the Fund will not invest in
options contracts, futures contracts, or swap agreements.
    The Fund's investments will be consistent with the Fund's
investment objective and will not be used to enhance leverage. That is,
while the Fund will be permitted to borrow as permitted under the 1940
Act, the Fund's investments will not be used to seek performance that
is the multiple or inverse multiple (i.e., 2Xs and 3Xs) of the Fund's
primary broad-based securities benchmark index (as defined in Form N-
1A).\23\
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    \23\ The Exchange represents that the Fund's broad-based
securities benchmark index will be identified in an amendment to the
Registration Statement to be filed following the Fund's first full
calendar year of performance.
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    Additional information regarding the Trust, the Fund, and the
Shares, including investment strategies, risks, creation and redemption
procedures, fees, portfolio holdings disclosure policies,
distributions, and taxes, among other things, is included in the Notice
and Registration Statement, as applicable.\24\
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    \24\ See Notice and Registration Statement, supra notes 3 and 5,
respectively.
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III. Discussion and Commission's Findings

    After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of Section 6 of the Act \25\
and the rules and regulations thereunder applicable to a national
securities exchange.\26\ In particular, the Commission finds that the
proposed rule change is consistent with Section 6(b)(5) of the Act,\27\
which requires, among other things, that the Exchange's rules be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in facilitating transactions in
securities, 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. The Commission notes that
the Fund and the Shares must comply with the requirements of NYSE Arca
Equities Rule 8.600 to be listed and traded on the Exchange.
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    \25\ 15 U.S.C. 78f.
    \26\ In approving this proposed rule change, the Commission
notes that it has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
    \27\ 15 U.S.C. 78f(b)(5).
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    The Commission finds that the proposal to list and trade the Shares
on the Exchange is consistent with Section 11A(a)(1)(C)(iii) of the
Act,\28\ which sets forth Congress's finding that it is in the public
interest and appropriate for the protection of investors and the
maintenance of fair and orderly markets to assure the availability to
brokers, dealers, and investors of information with respect to
quotations for, and transactions in, securities. Quotation and last-
sale information for the Shares will be available via the Consolidated
Tape Association (``CTA'') high-speed line. In addition, the Portfolio
Indicative Value, as defined in NYSE Arca Equities Rule 8.600(c)(3),
will be widely disseminated by one or more major market data vendors at
least every 15 seconds during the Core Trading Session.\29\ On each
business day, before commencement of trading in Shares in the Core
Trading Session on the Exchange, the Fund will disclose on its Web site
the Disclosed Portfolio, as defined in NYSE Arca Equities Rule
8.600(c)(2), that will form the basis for the Fund's calculation of NAV
at the end of the business day.\30\ The NAV per Share of the Fund will
be determined as of the close of the New York Stock Exchange (usually
4:00 p.m. Eastern Time) each day the New York Stock Exchange is open
for trading, and a basket composition file, which will include the
security names and share quantities required to be delivered in
exchange for Fund Shares, together with estimates and actual cash
components, will be publicly disseminated daily prior to the opening of
the New York Stock Exchange via the National Securities Clearing
Corporation. Information regarding market price and trading volume for
the Shares will be continually available on a real-time basis
throughout the day on brokers' computer screens and other electronic
services. Information regarding the previous day's closing price and
trading volume information for the Shares will be published daily in
the financial section of newspapers. In addition, price information for
the debt and equity securities held by the Fund will be available
through major market data vendors and on the securities exchanges on
which such securities are listed and traded. The Fund's Web site will
include a form of the prospectus for the Fund and additional data
relating to NAV and other applicable quantitative information.
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    \28\ 15 U.S.C. 78k-1(a)(1)(C)(iii).
    \29\ According to the Exchange, several major market data
vendors display and/or make widely available Portfolio Indicative
Values taken from CTA or other data feeds.
    \30\ On a daily basis, the Adviser will disclose for each
portfolio security and other financial instrument of the Fund the
following information on the Fund's Web site: ticker symbol (if
applicable); name of security and financial instrument; number of
shares or dollar value of securities and financial instruments held
in the portfolio; and percentage weighting of the security and
financial instrument in the portfolio. The Web site information will
be publicly available at no charge.
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    The Commission further believes that the proposal to list and trade
the Shares is reasonably designed to promote fair disclosure of
information that may be necessary to price the Shares appropriately and
to prevent trading when a reasonable degree of transparency cannot be
assured. The Commission notes that the Exchange will obtain a
representation from the issuer of the Shares that the NAV per Share
will be calculated daily and that the NAV and the Disclosed Portfolio
will be made available to all market participants at the same time.\31\
In addition, trading in the Shares will be subject to NYSE Arca
Equities Rule 8.600(d)(2)(D), which sets forth circumstances under
which Shares of the Fund may be halted. The Exchange

may halt trading in the Shares if trading is not occurring in the
securities or the financial instruments constituting the Disclosed
Portfolio of the Fund, or if other unusual conditions or circumstances
detrimental to the maintenance of a fair and orderly market are
present.\32\ Further, the Commission notes that the Reporting Authority
that provides the Disclosed Portfolio must implement and maintain, or
be subject to, procedures designed to prevent the use and dissemination
of material non-public information regarding the actual components of
the portfolio.\33\ All of the equity investments to be held by the
Fund, including the non-U.S.-listed equity securities, will trade in
markets that are ISG members or markets that are parties to a
comprehensive surveillance sharing agreement with the Exchange.\34\ The
Exchange represents that it may obtain information via the ISG from
other exchanges that are members of ISG or with which the Exchange has
entered into a comprehensive surveillance sharing agreement. The
Exchange states that it has a general policy prohibiting the
distribution of material, non-public information by its employees. The
Exchange also states that the Adviser is affiliated with a broker-
dealer and that the Adviser has implemented a fire wall with respect to
its broker-dealer affiliate regarding access to information concerning
the composition and/or changes to the portfolio.\35\
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    \31\ See NYSE Arca Equities Rule 8.600(d)(1)(B).
    \32\ See NYSE Arca Equities Rule 8.600(d)(2)(C) (providing
additional considerations for the suspension of trading in or
removal from listing of Managed Fund Shares on the Exchange). With
respect to trading halts, the Exchange may consider other relevant
factors in exercising its discretion to halt or suspend trading in
the Shares of the Fund. Trading in Shares of the Fund will be halted
if the circuit breaker parameters in NYSE Arca Equities Rule 7.12
have been reached. Trading also may be halted because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable.
    \33\ See NYSE Arca Equities Rule 8.600(d)(2)(B)(ii).
    \34\ See supra note 14.
    \35\ See supra note 6. An investment adviser to an open-end fund
is required to be registered under the Investment Advisers Act of
1940 (``Advisers Act''). As a result, the Adviser and its related
personnel are subject to the provisions of Rule 204A-1 under the
Advisers Act relating to codes of ethics. This Rule requires
investment advisers to adopt a code of ethics that reflects the
fiduciary nature of the relationship to clients as well as
compliance with other applicable securities laws. Accordingly,
procedures designed to prevent the communication and misuse of non-
public information by an investment adviser must be consistent with
Rule 204A-1 under the Advisers Act. In addition, Rule 206(4)-7 under
the Advisers Act makes it unlawful for an investment adviser to
provide investment advice to clients unless such investment adviser
has (i) adopted and implemented written policies and procedures
reasonably designed to prevent violation, by the investment adviser
and its supervised persons, of the Advisers Act and the Commission
rules adopted thereunder; (ii) implemented, at a minimum, an annual
review regarding the adequacy of the policies and procedures
established pursuant to subparagraph (i) above and the effectiveness
of their implementation; and (iii) designated an individual (who is
a supervised person) responsible for administering the policies and
procedures adopted under subparagraph (i) above.
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    The Exchange represents that the Shares are deemed to be equity
securities, thus rendering trading in the Shares subject to the
Exchange's existing rules governing the trading of equity securities.
In support of this proposal, the Exchange has made representations,
including:
    (1) The Shares will conform to the initial and continued listing
criteria under NYSE Arca Equities Rule 8.600.
    (2) The Exchange has appropriate rules to facilitate transactions
in the Shares during all trading sessions.
    (3) The Exchange's surveillance procedures applicable to derivative
products, which include Managed Fund Shares, are adequate to properly
monitor Exchange trading of the Shares in all trading sessions and to
deter and detect violations of Exchange rules and applicable federal
securities laws.\36\
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    \36\ See supra note 14.
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    (4) Prior to the commencement of trading, the Exchange will inform
its Equity Trading Permit (``ETP'') Holders in an Information Bulletin
of the special characteristics and risks associated with trading the
Shares. Specifically, the Information Bulletin will discuss the
following: (a) The procedures for purchases and redemptions of Shares
in Creation Units (and that Shares are not individually redeemable);
(b) NYSE Arca Equities Rule 9.2(a), which imposes a duty of due
diligence on its ETP Holders to learn the essential facts relating to
every customer prior to trading the Shares; (c) the risks involved in
trading the Shares during the Opening and Late Trading Sessions, when
an updated Portfolio Indicative Value will not be calculated or
publicly disseminated; (d) how information regarding the Portfolio
Indicative Value is disseminated; (e) the requirement that ETP Holders
deliver a prospectus to investors purchasing newly issued Shares prior
to or concurrently with the confirmation of a transaction; and (f)
trading information.
    (5) For initial and continued listing, the Fund will be in
compliance with Rule 10A-3 under the Exchange Act,\37\ as provided by
NYSE Arca Equities Rule 5.3.
---------------------------------------------------------------------------

    \37\ 17 CFR 240.10A-3.
---------------------------------------------------------------------------

    (6) While the Fund generally will invest more than 50% of its
assets in investment-grade fixed-income instruments, the Fund may
invest up to 35% of its total assets in high-yield debt securities.
    (7) Consistent with the Exemptive Order, the Fund will not invest
in options contracts, futures contracts, or swap agreements. The Fund's
investments will be consistent with its investment objective and will
not be used to enhance leverage.
    (8) The Fund may hold up to an aggregate amount of 15% of its net
assets in illiquid securities (calculated at the time of investment),
including Rule 144A securities, master demand notes, and loan
participation interests.\38\
---------------------------------------------------------------------------

    \38\ See supra note 20.
---------------------------------------------------------------------------

    (9) A minimum of 100,000 Shares of the Fund will be outstanding at
the commencement of trading on the Exchange.

This approval order is based on all of the Exchange's representations
and description of the Fund, including those set forth above and in the
Notice.

    For the foregoing reasons, the Commission finds that the proposed
rule change is consistent with Section 6(b)(5) of the Act\39\ and the
rules and regulations thereunder applicable to a national securities
exchange.
---------------------------------------------------------------------------

    \39\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\40\ that the proposed rule change (SR-NYSEArca-2012-142), as
modified by Amendment No. 1 thereto be, and it hereby is, approved.
---------------------------------------------------------------------------

    \40\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\41\
---------------------------------------------------------------------------

    \41\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-03276 Filed 2-12-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 28 (Thursday, February 10, 2011)]
[Notices]
[Pages 7575-7576]
[FR Doc No: 2011-3028]

=======================================================================
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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID: FEMA-2010-0058]

Agency Information Collection Activities: Submission for OMB
Review; Comment Request, OMB No. 1660-0013; Exemption of State-Owned
Properties Under Self-Insurance Plan

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice; 30-day notice and request for comments; extension,
without change, of a currently approved

information collection; OMB No. 1660-0013; No Form.

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

SUMMARY: The Federal Emergency Management Agency (FEMA) will submit the
abstracted information collection to the Office of Management and
Budget for review and clearance in accordance with the requirements of
the Paperwork Reduction Act of 1995. The submission will describe the
nature of the information collection, the categories of respondents,
the estimated burden (i.e., the time, effort and resources used by
respondents to respond) and cost, and the actual data collection
instruments FEMA will use.

DATES: Comments must be submitted on or before March 14, 2011.

ADDRESSES: Submit written comments on the proposed information
collection to the Office of Information and Regulatory Affairs, Office
of Management and Budget. Comments should be addressed to the Desk
Officer for the Department of Homeland Security, Federal Emergency
Management Agency, and sent via electronic mail to
<EMAIL_ADDRESS>or faxed to<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Requests for additional information or
copies of the information collection should be made to Director,
Records Management Division, 1800 South Bell Street, Arlington, VA
20598-3005, facsimile number<PHONE_NUMBER>, or e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Collection of Information

    Title: Exemption of State-Owned Properties Under Self-Insurance
Plan.
    Type of Information Collection: Extension, without change, of a
currently approved information collection.
    OMB Number: 1660-0013.
    Form Titles and Numbers: No Forms.
    Abstract: States can request an exemption to the requirement of
purchasing flood insurance on State-owned properties through the
submission of sufficient supporting documentation certifying that the
plan of self-insurance upon which the application for exemption is
based meets or exceed the standards of coverage required for flood and
flood-related hazards.
    Affected Public: State, local, or Tribal Government.
    Estimated Number of Respondents: 20.
    Frequency of Response: Once.
    Estimated Average Hour Burden per Respondent: 5 hours.
    Estimated Total Annual Burden Hours: 100 hours.
    Estimated Cost: There is no capital, start-up, operation or
maintenance cost associated with this collection.

    Dated: February 4, 2011.
Lesia M. Banks,
Director, Records Management Division, Mission Support Bureau, Federal
Emergency Management Agency, Department of Homeland Security.
[FR Doc. 2011-3028 Filed 2-9-11; 8:45 am]
BILLING CODE 9110-11-P


[Federal Register: August 5, 2009 (Volume 74, Number 149)]
[Proposed Rules]
[Page 38988-38991]
[DOCID:fr05au09-27]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-29087; Directorate Identifier 2007-NM-094-AD]
RIN 2120-AA64

Airworthiness Directives; Boeing Model 737-600, -700, -700C, -800
and -900 Series Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Supplemental notice of proposed rulemaking (NPRM); reopening of
comment period.

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

SUMMARY: We are revising an earlier proposed airworthiness directive
(AD) for certain Boeing Model 737-600, -700, -700C, -800 and -900
series airplanes. The original NPRM would have required repetitive
lubrication of the left and right main landing gear (MLG) forward
trunnion pins; and an inspection for discrepancies of the transition
radius, lead-in chamfer, and cross bolt bore of the MLG forward
trunnion pins, and repair or replacement if necessary. Doing the
applicable inspections and repairs/replacements, or overhauling the
trunnion pins as proposed in the original NPRM, would end the
repetitive lubrication requirements of this proposed AD. The original
NPRM resulted from a report that the protective finishes on the forward
trunnion pins for the left and right MLG might have been damaged during
final assembly. This action revises the original NPRM by changing the
inspection of the trunnion pins to allow inspection in-situ. If a
certain repair is done, this action would require repetitive
inspections for discrepancies of the transition radius. We are
proposing this supplemental NPRM to prevent cracking of the forward
trunnion pin, which could result in fracture of the pin and consequent
collapse of the MLG.

DATES: We must receive comments on this supplemental NPRM by August 31,
2009.

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 proposed AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, Washington 98124-2207; telephone 206-
544-5000, extension 1, fax<PHONE_NUMBER>; e-mail<EMAIL_ADDRESS>
Internet https:[sol][sol]www.myboeingfleet.com. You may review copies
of the referenced service information at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue, SW., Renton, Washington. For information
on the availability of this material at the FAA, call<PHONE_NUMBER> or
425-227-1152.

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 proposed 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: Nancy Marsh, Aerospace Engineer,
Airframe Branch, ANM-120S, FAA, Seattle Aircraft Certification Office,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425)
917-6440; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposed AD. Send your comments to an address
listed under the ADDRESSES section. Include ``Docket No. FAA-2007-
29087; Directorate Identifier 2007-NM-094-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed 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 proposed AD.

Discussion

    We issued a notice of proposed rulemaking (NPRM) (the ``original
NPRM'') to amend 14 CFR part 39 to include an airworthiness directive
(AD) that would apply to certain Boeing Model 737-600, -700, -700C, -
800 and -900 series airplanes. That original NPRM was published in the
Federal Register on August 31, 2007 (72 FR 50292). That original NPRM
proposed to require repetitive lubrication of the left and right main
landing gear (MLG) forward trunnion pins; and an inspection for
discrepancies of the transition radius, lead-in chamfer, and cross bolt
bore of the MLG forward trunnion pins, and repair or replacement if
necessary. The NPRM specified that the applicable inspections

and repairs/replacements, or overhauling the trunnion pins, ends the
repetitive lubrication requirements of this AD.

Actions Since Original NPRM Was Issued

    We referred to Boeing Service Bulletin 737-32-1376, Revision 1,
dated March 19, 2007, as the appropriate source of service information
for accomplishing the actions proposed in the original NPRM. Since we
issued the original NPRM, Boeing issued Service Bulletin 737-32-1376,
Revision 2, dated August 6, 2008, to provide procedures for an in-situ
detailed inspection for discrepancies of transition radius of the MLG
forward trunnion pins, and for in-situ repair of the protective finish
of the forward trunnion pin transition radius. Revision 2 of the
service bulletin also provides procedures for inspecting the lead-in
chamfer and the cross bolt bore with the MLG removed. Revision 2 of the
service bulletin also includes new cost information. For airplanes on
which the repair specified in Part 4 of Revision 2 of the service
bulletin is done, the service bulletin provides procedures for
repetitive inspections of the transition radius until the trunnion pin
is overhauled or replaced.
    Boeing Service Bulletin 737-32-1376, Revision 2, dated August 6,
2008, specifies that no more work is necessary on airplanes changed in
accordance with Boeing Service Bulletin 737-32-1376, Revision 1, dated
March 19, 2007.
    In Boeing Service Bulletin 737-32-1376, Revision 2, dated August 6,
2008, the threshold has been changed to 120 months for doing the in-
situ detailed inspection of the lead-in chamfer and cross-bolt bore for
any airplane on which a trunnion pin is not replaced.

Clarification of Service Bulletin

    In paragraph 1.E., ``Compliance'' of Boeing Service Bulletin 737-
32-1376, Revision 2, dated August 6, 2008, note (d) of Table 1 and note
(a) of Table 2 state that repair of the trunnion pin in accordance with
the Boeing 737 Component Maintenance Manual (CMM) 57-15-01 meets ``all
compliance requirements of this service bulletin for that pin only.''
However, operators should note that an overhaul of the entire pin
rather than a local repair is necessary to comply with the requirements
of this proposed AD.

Explanation of Additional Paragraph in the Supplemental NPRM

    We have added a new paragraph (d) to this supplemental NPRM to
provide the Air Transport Association (ATA) of America code. This code
is added to make this supplemental NPRM parallel with other new AD
actions. We have reidentified subsequent paragraphs accordingly.

Comments

    We gave the public the opportunity to participate in developing
this AD. We considered the comments received.

Agreement with Lubrication Task

    Air Transport Association (ATA), on behalf of its member American
Airlines (AA), agrees with the lubrication task required every 30 days.

Requests to Reduce Burden on Operators

    We received several comments regarding the burden on operators
imposed by the actions proposed in the original NPRM. These commenters
note the difficulty and expense of accomplishing certain inspections,
and request we reduce that burden as follows:
     Southwest Airlines and Continental Airlines request that
we clarify the original NPRM to note that the inspections of the
transition radius do not require removing the MLG. Southwest also
requests that we revise the compliance time from 96 months to 120
months for some inspections of the trunnion pin, and that we postpone
the issuance of the final rule pending development of a new inspection
procedure. Continental states that the complexity of the inspections
will affect the operation of the airline by removing multiple airplanes
from service.
     ATA, on behalf of AA, states that the cost impact is
grossly underestimated, and that the costs to AA alone will be over
$1.7 million, including out-of-service revenue costs.
    We agree that requiring operators to remove the MLG in order to do
the actions proposed in the original NPRM could impose an undue burden.
The proposed requirement to remove the MLG could severely affect the
airlines by forcing multiple airplanes to be out of service at the same
time. As a result of the comments we received, we held a multi-operator
meeting. Boeing, the FAA, and several operators attended the meeting.
Operators provided Boeing with new inspection data from airplanes that
had already been inspected. Boeing evaluated the data and, in
cooperation with the airlines, developed an alternative inspection
procedure that does not require removal of the MLG. That alternative
procedure is specified in Boeing Service Bulletin 737-32-1376, Revision
2, dated August 6, 2008, described above. We have included that
alternative procedure in this supplemental NPRM. In addition, we have
revised paragraph (h) of the original NPRM (paragraph (i) of this
supplemental NPRM) from 96 months to 120 months in this supplemental
NPRM, as recommended in Boeing Service Bulletin 737-32-1376, Revision
1, dated March 19, 2007.

Request to Remove Certain Inspections

    Continental Airlines requests that we delete paragraph (h) of the
original NPRM (paragraph (i) of this supplemental NPRM). Paragraph (h)
of the original NPRM specifies doing a detailed inspection for
discrepancies of the lead-in chamfer and cross-bolt bore, and repairing
or replacing the trunnion pin if any discrepancy is found. The
commenter believes there is no propensity for stress corrosion to exist
in certain areas of the trunnion pin.
    We partially agree with the commenter. We agree that the
inspections specified in Boeing Service Bulletin 737-32-1376, Revision
1, dated March 19, 2007, can be modified. However, we do not agree that
the inspections can be deleted entirely. Additional information
provided to Boeing during the multi-operator meeting discussed
previously resulted in revised inspections that are included in Boeing
Service Bulletin 737-32-1376, Revision 2, dated August 6, 2008. The
revised inspections are included in paragraph (i) of this supplemental
NPRM.

Request to Revise Compliance Time for Certain Airplanes

    Boeing requests that the AD specify a separate compliance time for
Boeing Model 737-BBJ, C40A, and C40B airplanes. Boeing notes that these
airplanes might not enter service immediately upon delivery and,
therefore, their exposure to the effects of the environment is reduced.
    We disagree with the request to specify a separate compliance time
for these airplanes. The circumstances surrounding when these airplanes
enter service are variable; therefore, defining a consistent compliance
time for all of these airplanes is not possible. However, under the
provisions of paragraph (l) of this supplemental NPRM, we will consider
requests for adjustments to the compliance time if data are submitted
to substantiate that such an adjustment would provide an acceptable
level of safety. We have not changed the AD in this regard.

FAA's Determination and Proposed Requirements of the Supplemental NPRM

    We are proposing this supplemental NPRM because we evaluated all
pertinent information and determined an unsafe condition exists and is
likely to exist or develop on other products of the same type design.
The changed inspections described above expand the scope of the
original NPRM. As a result, we have determined that it is necessary to
reopen the comment period to provide additional opportunity for the
public to comment on this supplemental NPRM.

Costs of Compliance

    There are about 890 airplanes of the affected design in the
worldwide fleet. The following table provides the estimated costs for
U.S. operators to comply with this proposed AD. The average labor rate
is $80 per work hour.

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                           Number of U.S.-
              Action                  Work hours      Cost per airplane      registered          Fleet cost
                                                                              airplanes
----------------------------------------------------------------------------------------------------------------
Repetitive lubrication............               2  $160 per lubrication              300  $48,000 per
                                                     cycle.                                 lubrication cycle.
Inspections (in situ).............               2  $160.................             300  $48,000.
----------------------------------------------------------------------------------------------------------------

Authority for this Rulemaking

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

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
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.
    You can find our regulatory evaluation and the estimated costs of
compliance in the AD Docket.

List of Subjects in 14 CFR Part 39

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

The Proposed Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

    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]

    2. The FAA amends Sec.  39.13 by adding the following new AD:

Boeing: Docket No. FAA-2007-29087; Directorate Identifier 2007-NM-
094-AD.

Comments Due Date

    (a) We must receive comments by August 31, 2009.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Boeing Model 737-600, -700, -700C, -800
and -900 series airplanes, certificated in any category, as
identified in Boeing Service Bulletin 737-32-1376, Revision 2, dated
August 6, 2008.

Subject

    (d) Air Transport Association (ATA) of America Code 32: Landing
Gear.

Unsafe Condition

    (e) This AD results from a report that the protective finishes
on the forward trunnion pins for the left and right main landing
gear (MLG) might have been damaged during final assembly. We are
issuing this AD to prevent cracking of the forward trunnion pin,
which could result in fracture of the pin and consequent collapse of
the MLG.

Compliance

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

Lubrication or Overhaul

    (g) Within 30 days after the effective date of this AD:
Lubricate the left and right MLG forward trunnion pins in accordance
with the Accomplishment Instructions of Boeing Service Bulletin 737-
32-1376, Revision 2, dated August 6, 2008. Repeat the lubrication at
intervals not to exceed 30 days until all applicable requirements of
paragraphs (h) and (i) of this AD have been accomplished.
Overhauling the trunnion pin in accordance with the Accomplishment
Instructions of Boeing Service Bulletin 737-32-1376, Revision 2,
dated August 6, 2008, ends the repetitive lubrication requirements
of this paragraph for that pin.

Inspection and Corrective Actions

    (h) Within 60 months after the date of issuance of the original
airworthiness certificate or date of issuance of the original export
certificate of airworthiness, or within 6 months after the effective
date of this AD, whichever occurs later: Do a detailed inspection
for discrepancies (corrosion, finish damage, surface deformation, or
scratches) of the transition radius of the left and right MLG
trunnion pins; and if any discrepancy is found, repair or replace
the trunnion pin before further flight. Do all actions in accordance
with the Accomplishment Instructions of Boeing Service Bulletin 737-
32-1376, Revision 2, dated August 6, 2008. If the repair specified
in Part 4 of the service bulletin is done, within 24 months after
doing the repair, do the detailed inspection of the transition
radius, and do the inspection thereafter at intervals not to exceed
24 months until the trunnion pin is overhauled or replaced in
accordance with the Accomplishment Instructions of Boeing Service
Bulletin 737-32-1376, Revision 2, dated August 6, 2008.
    (i) For airplanes on which the trunnion pin has not been
replaced or overhauled: Within 120 months after the date of issuance
of the original airworthiness certificate or date of

issuance of the original export certificate of airworthiness, or
within 6 months after the effective date of this AD, whichever
occurs later, do a detailed inspection for discrepancies of the
lead-in chamfer and cross-bolt bore; and if any discrepancy is
found, repair or replace the trunnion pin before further flight. Do
all actions in accordance with the Accomplishment Instructions of
Boeing Service Bulletin 737-32-1376, Revision 2, dated August 6,
2008.

No Report Required

    (j) Although Boeing Service Bulletin 737-32-1376, Revision 2,
dated August 6, 2008, specifies to send inspection reports to the
manufacturer, this AD does not include that requirement.

Credit for Actions Done Using Previous Issue of Service Information

    (k) Actions done before the effective date of this AD in
accordance with Boeing Service Bulletin 737-32-1376, dated May 12,
2005; or Revision 1, dated March 19, 2007; are acceptable for
compliance with the corresponding actions of this AD.

Alternative Methods of Compliance (AMOCs)

    (l)(1) The Manager, Seattle Aircraft Certification Office (ACO),
FAA, has the authority to approve AMOCs for this AD, if requested
using the procedures found in 14 CFR 39.19. Send information to
ATTN: Nancy Marsh, Aerospace Engineer, Airframe Branch, ANM-120S,
FAA, Seattle Aircraft Certification Office, 1601 Lind Avenue, SW.,
Renton, Washington 98057-3356; telephone<PHONE_NUMBER>; fax (425)
917-6590. Or, e-mail information to 9-ANM-Seattle-ACO-AMOC-
<EMAIL_ADDRESS>    (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 principal maintenance inspector (PMI) or
principal avionics inspector (PAI), as appropriate, or lacking a
principal inspector, your local Flight Standards District Office.
The AMOC approval letter must specifically reference this AD.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair required by this AD, if it is approved by an
Authorized Representative for the Boeing Commercial Airplanes
Delegation Option Authorization Organization who has been authorized
by the Manager, Seattle ACO, to make those findings. For a repair
method to be approved, the repair must meet the certification basis
of the airplane, and the approval must specifically refer to this
AD.

    Issued in Renton, Washington, on July 24, 2009.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. E9-18642 Filed 8-4-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 227 (Tuesday, November 24, 2020)]
[Notices]
[Pages 75010-75012]
[FR Doc No: 2020-25884]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2019-0500; FRL-10016-91]

Trichloroethylene (TCE); Final Toxic Substances Control Act
(TSCA) Risk Evaluation; Notice of Availability

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: The Environmental Protection Agency (EPA) is announcing the
availability of the final Toxic Substances Control Act (TSCA) risk
evaluation of Trichloroethylene (TCE). The purpose of conducting risk
evaluations under TSCA is to determine whether a chemical substance
presents an unreasonable risk of injury to health or the environment
under the conditions of use, including an unreasonable risk to a
relevant potentially exposed or susceptible subpopulation, without
consideration of costs or other nonrisk factors. EPA has determined
that specific conditions of use of TCE present an unreasonable risk of
injury to health or the environment. For those conditions of use for
which EPA has found an unreasonable risk, EPA must take regulatory
action to address that unreasonable risk through risk management
measures enumerated in TSCA. EPA has also determined that specific
conditions of use do not present unreasonable risk of injury to health
or the environment. For those conditions of use for which EPA has found
no unreasonable risk to health or the environment, the Agency's
determination is a final Agency action and is issued via order in the
risk evaluation.

ADDRESSES: The docket for this action, identified by docket
identification (ID) number EPA-HQ-OPPT-2019-0500, is available online
at http://www.regulations.gov or in-person at the Office of Pollution
Prevention and Toxics Docket (OPPT Docket), Environmental Protection
Agency Docket Center (EPA/DC), West William Jefferson Clinton Bldg.,
Rm. 3334, 1301 Constitution Ave. NW, Washington, DC. The Public Reading
Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday,
excluding legal holidays. The telephone number for the Public Reading
Room is<PHONE_NUMBER>, and the telephone number for the OPPT Docket is
(202) 566-0280.
    Due to the public health concerns related to COVID-19, the EPA
Docket Center (EPA/DC) and Public Reading Room are closed to visitors
with limited exceptions. The EPA/DC staff continue to provide remote
customer service via email, phone, and webform. For the latest status
information on EPA/DC services and docket access, visit https://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: For technical information contact:
Yvette Selby-Mohamadu, Office of Pollution Prevention and Toxics
(7403M), Environmental Protection Agency, 1200 Pennsylvania Ave. NW,
Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>; email
address<EMAIL_ADDRESS>    For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    This action is directed to the public in general. This action may
be of interest to persons who are or may be interested in risk
evaluations of chemical substances under TSCA, 15 U.S.C. 2601 et seq.
Since other entities may also be interested in this final risk
evaluation, the EPA has not attempted to describe all the specific
entities that may be affected by this action.

B. What is EPA's authority for taking this action?

    TSCA section 6, 15 U.S.C. 2605, requires EPA to conduct risk
evaluations to ``determine whether a chemical substance presents an
unreasonable risk of injury to health or the environment, without
consideration of costs or other nonrisk factors, including an
unreasonable risk to a potentially exposed or susceptible subpopulation
identified as relevant to the risk evaluation by the Administrator,
under the conditions of use.'' 15 U.S.C. 2605(b)(4)(A). TSCA sections
6(b)(4)(A) through (H) enumerate the deadlines and minimum requirements
applicable to this process, including provisions that provide
instruction on chemical substances that must undergo evaluation, the
minimum components of a TSCA risk evaluation, and the timelines for
public comment and completion of the risk evaluation. TSCA also
requires that EPA operate in a manner that is consistent with the best
available science, make decisions based on the weight of the scientific
evidence and consider reasonably available information. 15 U.S.C.
2625(h), (i), and (k). TSCA section 6(i) directs that a determination
of ``no unreasonable risk'' shall be issued by order and considered to
be a final Agency action, while a determination of ``unreasonable
risk'' is not considered to be a final Agency action. 15 U.S.C.
2605(i).
    The statute identifies the minimum components for all chemical
substance risk evaluations. For each risk evaluation, EPA must publish
a document that outlines the scope of the risk evaluation to be
conducted, which includes the hazards, exposures, conditions of use,
and the potentially exposed or susceptible subpopulations that EPA
expects to consider. 15 U.S.C. 2605(b)(4)(D). The statute further
provides that each risk evaluation must also: (1) Integrate and assess
available information on hazards and exposures

for the conditions of use of the chemical substance, including
information that is relevant to specific risks of injury to health or
the environment and information on relevant potentially exposed or
susceptible subpopulations; (2) describe whether aggregate or sentinel
exposures were considered and the basis for that consideration; (3)
take into account, where relevant, the likely duration, intensity,
frequency, and number of exposures under the conditions of use; and (4)
describe the weight of the scientific evidence for the identified
hazards and exposures. 15 U.S.C. 2605(b)(4)(F)(i) through (ii) and (iv)
through (v). Each risk evaluation must not consider costs or other
nonrisk factors. 15 U.S.C. 2605(b)(4)(F)(iii).
    The statute requires that the risk evaluation process be completed
within a specified timeframe and provide an opportunity for public
comment on a draft risk evaluation prior to publishing a final risk
evaluation. 15 U.S.C. 2605(b)(4).
    Subsection 5.3.1 of the final risk evaluation for TCE constitutes
the order required under TSCA section 6(i)(1), and the ``no
unreasonable risk'' determinations in that subsection are considered to
be a final Agency action effective on the date of issuance of the
order. In conducting risk evaluations, ``EPA will determine whether the
chemical substance presents an unreasonable risk of injury to health or
the environment under each condition of use within the scope of the
risk evaluation. . . .'' 40 CFR 702.47. Under EPA's implementing
regulations, ``[a] determination by EPA that the chemical substance,
under one or more of the conditions of use within the scope of the risk
evaluation, does not present an unreasonable risk of injury to health
or the environment will be issued by order and considered to be a final
Agency action, effective on the date of issuance of the order.'' 40 CFR
702.49(d). For purposes of TSCA section 19(a)(1)(A), the date of
issuance of the TSCA section 6(i)(1) order for TCE shall be at 1:00
p.m. Eastern time (standard or daylight, as appropriate) on the date
that is two weeks after the date when this notice is published in the
Federal Register, which is in accordance with 40 CFR 23.5.

C. What action is EPA taking?

    EPA is announcing the availability of the risk evaluation of the
chemical substance identified in Unit II. In this risk evaluation EPA
has made unreasonable risk determinations on some of the conditions of
use within the scope of the risk evaluation for this chemical. For
those conditions of use for which EPA has found an unreasonable risk of
injury to health or the environment, EPA must initiate regulatory
action to address those risks through risk management measures
enumerated in 15 U.S.C. 2605(a).
    EPA also is announcing the availability of the information required
to be provided publicly with each risk evaluation, which is available
online at http://www.regulations.gov in the dockets identified. 40 CFR
702.51. Specifically, EPA has provided:
     The scope document and problem formulation (in Docket ID
No. EPA-HQ-OPPT-2016-0737);
     Draft risk evaluation, and final risk evaluation (in
Docket ID No. EPA-HQ-OPPT-2019-0500);
     All notices, determinations, findings, consent agreements,
and orders (in Docket ID No. EPA-HQ-OPPT-2019-0500);
     Any information required to be provided to the Agency
under 15 U.S.C. 2603 (in Docket ID No. EPA-HQ-OPPT-2016-0737 and Docket
ID No. EPA-HQ-OPPT-2019-0500);
     A nontechnical summary of the risk evaluation (in Docket
ID No. EPA-HQ-OPPT-2019-0500);
     A list of the studies, with the results of the studies,
considered in carrying out each risk evaluation (Risk Evaluation for
Trichloroethylene (TCE)) in Docket ID No. EPA-HQ-OPPT-2019-0500);
     The final peer review report, including the response to
peer review and public comments received during peer review (in Docket
ID No. EPA-HQ-OPPT-2019-0500); and
     Response to public comments received on the draft scope
and the draft risk evaluation (in Docket ID No. EPA-HQ-OPPT-2019-0500).

II. TSCA Risk Evaluation

A. What is EPA's risk evaluation process for existing chemicals under
TSCA?

    The risk evaluation process is the second step in EPA's existing
chemical review process under TSCA, following prioritization and before
risk management. As this chemical is one of the first ten chemical
substances undergoing risk evaluation, the chemical substance was not
required to go through prioritization (81 FR 91927, December 19, 2016)
(FRL-9956-47). The purpose of conducting risk evaluations is to
determine whether a chemical substance presents an unreasonable risk of
injury to health or the environment under the conditions of use,
including an unreasonable risk to a relevant potentially exposed or
susceptible subpopulation. As part of this process, EPA must evaluate
both hazard and exposure, not consider costs or other nonrisk factors,
use reasonably available information and approaches in a manner that is
consistent with the requirements in TSCA for the use of the best
available science, and ensure decisions are based on the weight of the
scientific evidence.
    The specific risk evaluation process that EPA has established by
rule to implement the statutory process is set out in 40 CFR part 702
and summarized on EPA's website at http://www.epa.gov/assessing-and-managing-chemicals-under-tsca/risk-evaluations-existing-chemicals-under-tsca. As explained in the preamble to EPA's final rule on
procedures for risk evaluation (82 FR 33726, July 20, 2017) (FRL-9964-
38), the specific regulatory process set out in 40 CFR part 702,
subpart B is being followed for the first ten chemical substances
undergoing risk evaluation to the maximum extent practicable.
    Prior to the publication of this final risk evaluation, a draft
risk evaluation was subject to peer review and public comment. EPA
reviewed the report from the peer review committee and public comments
and has amended the risk evaluation in response to these comments as
appropriate. The public comments, peer review report, and EPA's
response to comments is in Docket ID No. EPA-HQ-OPPT-2019-0500. Prior
to the publication of the draft risk evaluation, EPA made available the
scope and problem formulation, and solicited public input on uses and
exposure. EPA's documents and the public comments are in Docket ID No.
EPA-HQ-OPPT-2016-0737. Additionally, information about the scope,
problem formulation, and draft risk evaluation phases of the TSCA risk
evaluation for this chemical is available at EPA's website at https://www.epa.gov/assessing-and-managing-chemicals-under-tsca/risk-evaluation-trichloroethylene-tce-0.

B. What is Trichloroethylene (TCE)?

    TCE is a volatile organic compound used in consumer and commercial
products and in industry. An estimated 83.6% of TCE's annual production
volume is used as an intermediate in the manufacture of the
hydrofluorocarbon HFC-134a. Another 14.7% of TCE production volume is
used as a degreasing solvent, leaving approximately 1.7% for other
uses. The total aggregate production volume decreased from 220.5 to
171.9 million pounds between 2012 and 2015.

    Authority: 15 U.S.C. 2601 et seq.

Andrew Wheeler,
Administrator.
[FR Doc. 2020-25884 Filed 11-23-20; 8:45 am]
BILLING CODE 6560-50-P


Scott Jenkins/RTP/USEPA/US

05/08/2008 04:32 PM

To

cc

Michael Stewart/RTP/USEPA/US@EPA, Karen Martin/RTP/USEPA/US@EPA, Harvey
Richmond/RTP/USEPA/US@EPA

Subject

Request for NO2 and/or SO2 air quality data

To:  Authors of U.S. and Canadian NO2 and SO2 epidemiology studies

From: Scott Jenkins and Michael Stewart, EPA, Office of Air Quality
Planning and Standards

You may be aware that the EPA is now in the process of reviewing the
primary (health-based) national ambient air quality standards (NAAQS)
for nitrogen dioxide (NO2) and sulfur dioxide (SO2).  An important part
of these reviews is the preparation of the Risk and Exposure Assessments
by the EPA's Office of Air Quality Planning and Standards.  We are
currently preparing the second draft of the NO2 risk and exposure
assessment document and the first draft of the SO2 document.  We plan to
release the NO2 document for review around the beginning of August, 2008
and the SO2 document around the end of June, 2008.

In preparing these draft documents, it is helpful to consider air
quality distributions from areas where epidemiological studies were
conducted.  Most studies provide some information on the distribution of
concentration data for NO2 and/or SO2, but the information is generally
limited in scope and the descriptive statistics provided vary from study
to study.

Therefore, we are contacting you now to ask you to provide information
on the distribution of the air quality data for NO2 and/or SO2 used in
your studies.  It is important to emphasize that we are not requesting
health data.  In addition, we are not requesting raw air quality data.
Rather, we are requesting information on distributional statistics of
that air quality data.  However, if you prefer to send the entire air
quality data set for us to compute the descriptive statistics, that
would also be acceptable.  Please be aware that your responses, together
with whatever data you provide, will be placed into our public docket.

Specifically, we are interested in the following descriptive statistics
for the air quality data from the time period of the study:  mean, 98th
percentile, and 99th percentile 1-hour and/or 24-hour levels from the
monitor recording the highest levels.  Please note that we are
requesting information from the monitor that recorded the highest
levels, rather than compiled across monitors, because it is most useful
to consider this highest monitor in deliberations related to
standard-setting.  In addition, we would ask that you identify the
relevant air quality monitor.  In light of our schedules, we would
appreciate receiving this information as soon as you are able to provide
it.  If you cannot provide us with the requested information, please
notify us by either email or phone (see below for contact information).

References for U.S. and Canadian studies that have used NO2 and/or SO2
data are listed below.  We are sending this note to authors listed as
the contact for correspondence.  We will follow this email message with
a telephone call to those individuals in the next day or so to try to
address any additional questions you might have about this request.
Thank you in advance for your time.

References:

U.S. Studies

Delfino, R. J.; Zeiger, R. S.; Seltzer, J. M.; Street, D. H.; McLaren,
C. E. (2002) Association of asthma symptoms with peak particulate air
pollution and effect modification by anti-inflammatory medication use.
Environ. Health Perspect. 110: A607-A617.

Ito, K. (2007) Characterization of PM2.5, gaseous pollutants, and
meteorological interactions in the context of time-series health effects
models. J. Expos. Sci. and Environ. Epid. 17: S45-S60.

Jaffe, D. H.; Singer, M. E.; Rimm, A. A. (2003) Air pollution and
emergency department visits for asthma among Ohio Medicaid recipients,
1991-1996. Environ. Res. 91: 21-28.

Linn, W. S.; Szlachcic, Y.; Gong, H., Jr.; Kinney, P. L.; Berhane, K. T.
(2000) Air pollution and daily hospital admissions in metropolitan Los
Angeles. Environ. Health Perspect. 108: 427-434.

Lin, S.; Hwang, S.-A.; Pantea, C.; Kielb, C.; Fitzgerald, E. (2004c)
Childhood asthma hospitalizations and ambient air sulfur dioxide
concentrations in Bronx County, New York. Arch. Environ. Health 59:
266-275.

Mortimer, K. M.; Neas, L. M.; Dockery, D. W.; Redline, S.; Tager, I. B.
(2002) The effect of air pollution on inner-city children with asthma.
Eur. Respir. J. 19: 699-705.

Neas, L. M.; Dockery, D. W.; Koutrakis, P.; Tollerud, D. J.; Speizer, F.
E. (1995) The association of ambient air pollution with twice daily peak
expiratory flow rate measurements in children. Am. J. Epidemiol. 141:
111-122.

Ostro, B.; Lipsett, M.; Mann, J.; Braxton-Owens, H.; White, M. (2001)
Air pollution and exacerbation of asthma in African-American children in
Los Angeles. Epidemiology 12: 200-208.

Peel, J. L.; Tolbert, P. E.; Klein, M.; Metzger, K. B.; Flanders, W. D.;
Knox, T.; Mulholland, J. A.; Ryan, P. B.; Frumkin, H. (2005) Ambient air
pollution and respiratory emergency department visits. Epidemiology 16:
164-174.

Schildcrout, J. S.; Sheppard, L.; Lumley, T.; Slaughter, J. C.; Koenig,
J. Q.; Shapiro, G. G. (2006) Ambient air pollution and asthma
exacerbations in children: an eight-city analysis. Am. J. Epidemiol.
164: 505-517.

Schwartz, J.; Dockery, D. W.; Neas, L. M.; Wypij, D.; Ware, J. H.;
Spengler, J. D.; Koutrakis, P.; Speizer, F. E.; Ferris, B. G., Jr.
(1994) Acute effects of summer air pollution on respiratory symptom
reporting in children. Am. J. Respir. Crit. Care Med. 150: 1234-1242.

Schwartz, J. (1995) Short term fluctuations in air pollution and
hospital admissions of the elderly for respiratory disease. Thorax 50:
531-538.

Schwartz J.  (1996) Air pollution and hospital admissions for
respiratory disease.  Epidemiology, 7: 20-28.

Sheppard 1999 reanalysis 2003.  Ambient air pollution and nonelderly
asthma hospital admissions in Seattle, Washington, 1987-1994. In:
Revised analyses of time-series studies of air pollution and health.
Special report. Boston, MA: Health Effects Institute; pp. 227-230.

Tolbert, P. E.; Klein, M.; Peel, J. L.; Sarnat, S. E.; Sarnat, J. A.
(2007) Multipollutant modeling issues in a study of ambient air quality
and emergency department visits in Atlanta. J. Exposure Sci. Environ.
Epidemiol. 17(Suppl. 2s): S29-S35.

Wilson, A. M.; Wake, C. P.; Kelly, T.; Salloway, J. C. (2005) Air
pollution, weather, and respiratory emergency room visits in two
northern New England cities: an ecological time-series study. Environ.
Res. 97: 312-321.

NY State Department of Health; Center for Environmental Health; A Study
of Ambient Air Contaminants and Asthma in New York City Final Report
Part B: Air Contaminants and Emergency Department Visits for Asthma in
the Bronx and Manhattan; July 17th 2006

Canadian Studies

Burnett, R. T.; Cakmak, S.; Brook, J. R.; Krewski, D. (1997) The role of
particulate size and chemistry in the association between summertime
ambient air pollution and hospitalization for cardiorespiratory
diseases. Environ. Health Perspect. 105: 614-620.

Burnett, R. T.; Smith-Doiron, M.; Stieb, D.; Cakmak, S.; Brook, J. R.
(1999) Effects of particulate and gaseous air pollution on
cardiorespiratory hospitalizations. Arch. Environ. Health 54: 130-139.

Burnett, R. T.; Smith-Doiron, M.; Stieb, D.; Cakmak, S.; Brook, J. R.
(1999) Effects of particulate and gaseous air pollution on
cardiorespiratory hospitalizations. Arch. Environ. Health 54: 130-139.

Burnett, R. T.; Smith-Doiron, M.; Stieb, D.; Raizenne, M. E.; Brook, J.
R.; Dales, R. E.; Leech, J. A.; Cakmak, S.; Krewski, D. (2001)
Association between ozone and hospitalization for acute respiratory
diseases in children less than 2 years of age. Am. J. Epidemiol. 153:
444-452.

Cakmak, S.; Dales, R. E.; Judek, S.  2006.  Respiratory health effects
of air pollution gases: modification by education and income. Arch.
Environ. Occup. Health 61: 5-10.

Fung, K. Y.; Khan, S.; Krewski, D.; Chen, Y. (2006) Association between
air pollution and multiple respiratory hospitalizations among the
elderly in Vancouver, Canada. Inhalation Toxicol. 18: 1005-1011.

Lin, M.; Chen, Y.; Burnett, R. T.; Villeneuve, P. J.; Krewski, D. (2003)
Effect of short-term exposure to gaseous pollution on asthma
hospitalisation in children: a bi-directional case-crossover analysis.
J. Epidemiol. Community Health 57: 50-55.

Lin, M.; Chen, Y.; Burnett, R. T.; Villeneuve, P. J.; Krewski, D. (2003)
Effect of short-term exposure to gaseous pollution on asthma
hospitalizations in children: a bi-directional case-crossover analysis.
J. Epidemiol. Community Health 57: 50-55.

Lin, M.; Chen, Y.; Villeneuve, P. J.; Burnett, R. T.; Lemyre, L.;
Hertzman, C.; McGrail, K. M.; Krewski, D. (2004a) Gaseous air pollutants
and asthma hospitalization of children with low household income in
Vancouver, British Columbia, Canada. Am. J. Epidemiol. 159: 294-303.

Luginaah, I. N.; Fung, K. Y.; Gorey, K. M.; Webster, G.; Wills, C.
(2005) Association of ambient air pollution with respiratory
hospitalization in a government designated "area of concern": the case
of Windsor, Ontario. Environ. Health Perspect. 113: 290-296.

Stieb, D. M.; Beveridge, R. C.; Brook, J. R.; Smith-Doiron, M.; Burnett,
R. T.; Dales, R. E.; Beaulieu, S.; Judek, S.; Mamedov, A. Air pollution,
aeroallergens and cardiorespiratory emergency department visits in Saint
John, Canada.  2000 . J Exposure Anal. Environ. Epidemiol. 10: 461-477.

Yang, Q.; Chen, Y.; Shi, Y.; Burnett, R. T.; McGrail, K. M.; Krewski, D.
(2003) Association between ozone and respiratory admissions among
children and the elderly in Vancouver, Canada. Inhalation Toxicol. 15:
1297-1308.

Scott Jenkins, Ph.D.

U.S. Environmental Protection Agency

Office of Air and Radiation

Health and Environmental Impacts Division

Research Triangle Park, NC 27711

919-541-1167 (v)

<EMAIL_ADDRESS>