[Federal Register Volume 88, Number 15 (Tuesday, January 24, 2023)]
[Rules and Regulations]
[Pages 4083-4085]
[FR Doc No: 2023-01200]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-11140; 34-96525; 39-2547; IC-34778]

Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (``Commission'') is
adopting amendments to Volumes I and II of the Electronic Data
Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual
(``Filer Manual'') and related rules and forms. EDGAR Releases 22.4 and
22.4.1 will be deployed in the EDGAR system on December 19, 2022, and
January 3, 2023, respectively.

DATES: Effective date: January 24, 2023. The incorporation by reference
of the revised Filer Manual volumes is approved by the Director of the
Federal Register as of January 24, 2023.

FOR FURTHER INFORMATION CONTACT: For questions regarding the amendments
to Volume I or II of the Filer Manual and related rules, please contact
Rosemary Filou, Deputy Director and Chief Counsel, or Dan Chang, Senior
Special Counsel, in the EDGAR Business Office at<PHONE_NUMBER>. For
questions regarding the changes related to Forms N-PX or 13F, please
contact Heather Fernandez, Financial Analyst, in the Division of
Investment Management at<PHONE_NUMBER>. For questions regarding the
electronic filing requirement of ``glossy'' annual reports to
shareholders or the electronic filing requirement of Form 144, please
contact Christian Windsor, Senior Special Counsel, in the Division of
Corporation Finance at<PHONE_NUMBER> and Heather Mackintosh, EDGAR
Liaison in the Division of Corporation Finance at<PHONE_NUMBER>. For
questions concerning taxonomies or schemas, please contact the Office
of Structured Disclosure in the Division of Economic and Risk Analysis
at<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: We are adopting an updated Filer Manual,
Volume I: ``General Information,'' Version 41 (December 2022) and
Volume II: ``EDGAR Filing,'' Version 64 (December 2022) and amendments
to 17 CFR 232.301 (``Rule 301''). The updated Filer Manual Volumes are
incorporated by reference into the Code of Federal Regulations.

I. Background

    The Filer Manual contains information needed for filers to make
submissions on EDGAR. Filers must comply with the applicable provisions
of the Filer Manual in order to assure the timely acceptance and
processing of filings made in electronic format.\1\ Filers should
consult the Filer Manual in conjunction with our rules governing
mandated electronic filings when preparing documents for electronic
submission.
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    \1\ See Rule 301 of Regulation S-T.
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II. Amendments to Volume I of the Filer Manual

    Volume I of the Filer Manual, which sets forth the requirements for
becoming an EDGAR filer, is amended to clarify several existing
requirements of Form ID, the application for access to EDGAR.\2\ First,
Volume I is amended to clarify that the ``authorized individual''
signing Form ID must be an individual with the authority to legally
bind the applicant or an individual with a power of attorney from an
individual with the authority to legally bind the applicant.
Previously, Volume I did not expressly define authorized individual,
but instead listed examples for company applicants, such as a Chief
Executive Officer, Chief Financial Officer, partner, corporate
secretary, officer, director, or treasurer.\3\ While these examples
were intended to be helpful, they may have been over- or under-
inclusive of who may have authority to act for the applicant with
respect to Form ID. Certain partners, officers, or directors of a
company may lack the authority to legally bind the company. Conversely,
individuals affiliated with the company may have the authority to
legally bind it, but do not have one of the titles listed, such as a
custodian acting pursuant to court order. We believe this amendment
makes clear to applicants that the person signing Form ID on behalf of
a company or an individual must be legally authorized to do so by the
company or individual.
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    \2\ Form ID, uniform application for access codes to file on
EDGAR (referenced in 17 CFR 239.63, 249.446, 269.7, and 274.402).
    \3\ Section 3(a) of Volume I of the Filer Manual previousy
provided that an authorized individual for purposes of the Form ID
authenticating document includes, for example: (1) for companies,
the Chief Executive Officer (CEO), Chief Financial Officer (CFO),
partner, corporate secretary, officer, director, or treasurer; and
(2) for individual filers, the individual filer or a person with a
power of attorney from the individual filer.
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    Volume I is also amended to clarify that the authorized individual
for a company must specify their precise title/position at the
applicant company in the ``title/position'' field on the Form ID
authenticating document. On occasion, signatories list their title as
``authorized individual.'' This term, which appears designed to
facially satisfy the requirement that an authorized individual sign
Form ID, does not indicate the signatory's role or position at the
applicant company, or whether the signatory is in fact an authorized
individual of the company. Amending Volume I to instruct signatories to
provide their precise title/position helps ensure that the form is
completed correctly and assists Commission staff in their review of
Form ID access requests and consequently enhances the reliability and
integrity of EDGAR. Further, to avoid confusion, the revised Filer
Manual instructs individuals applying to open an individual account in
their own name to list their title as ``applicant.'' Additionally, the
revised Filer Manual instructs signatories who are signing pursuant to
a power of attorney to state in the title/position field on Form ID:
``By POA from [(a)

name of the authorized individual signing the power of attorney (if
opening an account for a natural person); or (b) name and title/
position of the authorized individual signing the power of attorney (if
opening an account for a company)].'' \4\ For example, a filing agent
signing Form ID pursuant to a power of attorney from Roger Smith, the
Chief Executive Officer of the applicant, will provide in the title/
position field: ``By POA from Roger Smith, CEO.''
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    \4\ Abbreviation is necessary to fit within the character limit
of the field on Form ID in which the information will be entered.
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    In addition, Volume I is amended to clarify when filers requesting
a manual passphrase update of their EDGAR access codes must provide
Commission staff with a notarized power of attorney.\5\ Previously,
company filers requesting a manual passphrase update were required to
provide a notarized power of attorney if (i) the signatory is not an
officer or director of the requesting entity, or (ii) the person
requesting the manual passphrase update is not employed by the
requesting entity. The changes to Volume I substitute ``the person to
whom the EDGAR access codes will be sent'' for the phrase ``the person
requesting the manual passphrase,'' because we believe the substituted
language is easier for filers to understand, since it more clearly
identifies the person whose email address is provided on Form ID for
receipt of new EDGAR access codes, while not changing the scope of the
provision. Likewise, Volume I is amended to require a notarized power
of attorney for manual passphrase update requests for individual EDGAR
accounts when the signatory of the request is not the individual filer
named on the account, which is consistent with requiring a notarized
power of attorney when the signatory of a company request is a third
party.
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    \5\ A manual passphrase update is a process by which new access
codes are requested for a filer's EDGAR account when the email
address on record in EDGAR is no longer valid. (EDGAR also provides
an automated method to send new access codes to the email address on
record.) To request a manual passphrase update, the filer must
complete and submit a manual request to reset the codes.
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III. Edgar System Changes and Associated Modifications to Volume II of
the Filer Manual

    EDGAR is updated in EDGAR Release 22.4 and 22.4.1, and
corresponding amendments to Volume II of the Filer Manual are made to
reflect these changes, as described below.\6\
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    \6\ EDGAR Release 22.4 will be deployed on December 19, 2022,
and EDGAR Release 22.4.1 will be deployed on January 3, 2023.
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    On November 2, 2022, the Commission adopted amendments to Form N-PX
under the Investment Company Act of 1940 to enhance the information
mutual funds, exchange-traded funds, and certain other funds report
about their proxy votes and to make that information easier to
analyze.\7\ The Commission also adopted rule and form amendments under
the Securities Exchange Act of 1934 (``Exchange Act'') that require an
institutional investment manager subject to the Exchange Act to report
on Form N-PX how it voted proxies relative to executive compensation
matters, as required by the Exchange Act. To implement these
amendments, EDGAR is updated to convert Form N-PX to an online form.
The release also introduces a pilot phase for filing Form N-PX in a
structured format. The pilot phase for filing Form N-PX in a structured
format will end on July 1, 2024.
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    \7\ Enhanced Reporting of Proxy Votes by Registered Management
Investment Companies; Reporting of Executive Compensation Votes by
Institutional Investment Managers, Release 33-11131 (Nov. 2, 2022)
[87 FR 78770 (December 22, 2022)].
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    On June 23, 2022, the Commission adopted amendments to Form 13F to
require managers to provide additional identifying information, to
modernize the structure of data reporting, and to adopt certain
technical amendments.\8\ These amendments are effective on January 3,
2023. On January 3, 2023, EDGAR Release 22.4.1 will introduce changes
to implement these amendments.
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    \8\ Electronic Submission of Applications for Orders under the
Advisers Act and the Investment Company Act, Confidential Treatment
Requests for Filings on Form 13F, and Form ADV-NR; Amendments to
Form 13F, Release 34-95148 (June 23, 2022) [87 FR 38943 (June 30,
2022)].
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    On June 2, 2022, the Commission adopted amendments to its rules
governing the electronic filing and submission of documents to require
filers to electronically submit their ``glossy'' annual reports to
shareholders beginning January 11, 2023.\9\ Filers have the option to
submit the ``glossy'' annual reports in Form ARS as a primary filing in
PDF or in the Form ARS and Form 6-K as exhibit type EX-99 in PDF as an
official filing format.
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    \9\ Updating EDGAR Filing Requirements and Form 144 Filings,
Release 33-11070 (June 2, 2022) [87 FR 35393 (June 10, 2022)].
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    EDGAR Release 22.4 also makes general functional enhancements to
EDGAR, for which revisions are made to the Filer Manual as described
below.
    EDGAR is updated to support the 2022Q4 versions of the Executive
Compensation Disclosure (ECD) and Document and Entity Information (DEI)
Taxonomies.\10\ The new and updated taxonomies support filers to
provide information required by certain rulemakings previously adopted
by the Commission.\11\ Inline XBRL tag validations are modified for
certain submission types as described in Chapter 6 (Interactive Data)
of the ``EDGAR Filer Manual, Volume II: EDGAR Filing.'' EDGAR is also
updated to allow filers to attach a new exhibit to submissions of Form
10-K, Form 20-F, Form 40-F, and Form N-CSR. The new exhibit, Exhibit
97, is used to submit a registrant's Policy Relating to Recovery of
Erroneously Awarded Compensation.\12\
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    \10\ See https://www.sec.gov/info/edgar/edgartaxonomies.shtml
for a complete list of supported standard taxonomies.
    \11\ See Pay Versus Performance, Release No. 34-95607 (Aug. 25,
2022) [87 FR 55134 (Sept. 8, 2022)]; Listing Standards for Recovery
of Erroneously Awarded Compensation, Release No. 33-11126 (Oct. 26,
2022) [87 FR 73076 (Nov. 28, 2022)] (``Listing Standards Release'').
    \12\ See Listing Standards Release, supra note 11, which created
17 CFR 230.601(b)(97) (Item 601(b)(97) of Regulation S-K) which
requires the submission of the policy as an exhibit to Form 10-K,
when the policy is adopted pursuant to the listing standards of the
exchange that lists the registrant's securities. The release created
similar exhibit requirements for Form 20-F, Form 40-F, and Form N-
CSR.
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    The RMBS and CMBS schemas for submission types ABS-EE and ABS-EE/A
are updated to include new values for ARM_INDX_CODE_TYPE,
ORG_INDX_CODE_TYPE, and POST_MOD_ARM_INDX_CODE_TYPE to allow filers to
reference changes to loans as part of the transition from LIBOR
benchmarked rates. These updates relate to changes to the technical
specifications for the submission of electronic exhibits for asset-
backed securities on submission types ABSE-EE and ABS-EE/A.
    Volume II of the Filer Manual is amended to remove unnecessary
content in Appendices A and E. Some of this content may have been
included when the Filer Manual was first adopted in 1993, when EDGAR
and similar technology were novel, and it was thought necessary to
include extensive step-by-step and elementary technical instructions,
including screen shots and error messages. The Filer Manual continues
to contain a list and explanation of EDGAR messages in Appendix A
(``Messages Reported by EDGAR''), and a non-exhaustive list of
automated conformance rules for selected EDGAR data fields in Appendix
E (``Automated Conformance Rules for EDGAR Data Fields''). Removing the
content reduces the size of the over-900 page Filer Manual by
approximately 126 pages. The content will be placed on the

EDGAR--Information for Filers web page on www.SEC.gov, where it can be
consulted by interested filers.
    Finally, Volume II is amended to reflect minor software updates
made to EDGAR after the Commission last approved changes to the Filer
Manual.\13\ The software changes relate to changes to the technical
specifications for submission types 144 and 144/A.
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    \13\ Software changes to EDGAR were made in EDGAR Release
22.3.1, deployed on October 17, 2022.
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IV. Amendments to Rule 301 of Regulation S-T

    Along with the adoption of the updated Filer Manual, we are
amending Rule 301 of Regulation S-T to provide for the incorporation by
reference into the Code of Federal Regulations of the current
revisions. This incorporation by reference was approved by the Director
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR
part 51.
    The updated EDGAR Filer Manual is available at https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual.

V. Administrative Law Matters

    Because the Filer Manual and rule amendments relate solely to
agency procedures or practice and do not substantially alter the rights
and obligations of non-agency parties, publication for notice and
comment is not required under the Administrative Procedure Act
(``APA'').\14\ It follows that the amendments do not require analysis
under requirements of the Regulatory Flexibility Act \15\ or a report
to Congress under the Small Business Regulatory Enforcement Fairness
Act of 1996.\16\
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    \14\ 5 U.S.C. 553(b)(A).
    \15\ 5 U.S.C. 601 through 612.
    \16\ 5 U.S.C. 804(3)(C).
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    The effective date for the updated Filer Manual and related rule
amendments is January 24, 2023. In accordance with the APA,\17\ we find
that there is good cause to establish an effective date less than 30
days after publication of these rules. The Commission believes that
establishing an effective date less than 30 days after publication of
these rules is necessary to coordinate the effectiveness of the updated
Filer Manual with the related system upgrades.
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    \17\ 5 U.S.C. 553(d)(3).
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VI. Statutory Basis

    We are adopting the amendments to Regulation S-T under the
authority in Sections 6, 7, 8, 10, and 19(a) of the Securities Act of
1933,\18\ Sections 3, 12, 13, 14, 15, 15B, 23, 35A, and 36 of the
Securities Exchange Act of 1934,\19\ Section 319 of the Trust Indenture
Act of 1939,\20\ Sections 8, 30, 31, and 38 of the Investment Company
Act of 1940,\21\ and Sections 203, 204, 206A, 210, and 211 of the
Investment Advisers Act of 1940.\22\
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    \18\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \19\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o-4, 78w, and 78ll.
    \20\ 15 U.S.C. 77sss.
    \21\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
    \22\ 15 U.S.C. 80b-3, 80b-4, 80b-6a, 80b-10, and 80b-11.
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List of Subjects in 17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping
requirements, Securities.

Text of the Amendments

    In accordance with the foregoing, title 17, chapter II of the Code
of Federal Regulations is amended as follows:

PART--232 REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS

0
1. The general authority citation for part 232 continues to read as
follows:

    Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s(a), 77z-3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c),
80a-8, 80a-29, 80a-30, 80a-37, 80b-4, 80b-6a, 80b-10, 80b-11, 7201
et seq.; and 18 U.S.C. 1350, unless otherwise noted.
* * * * *

0
2. Section 232.301 is revised to read as follows:

Sec.  232.301   EDGAR Filer Manual.

    Filers must prepare electronic filings in the manner prescribed by
the EDGAR Filer Manual, promulgated by the Commission, which sets forth
the technical formatting requirements for electronic submissions. The
requirements for becoming an EDGAR Filer and updating company data are
set forth in the EDGAR Filer Manual, Volume I: ``General Information,''
Version 41 (December 2022). The requirements for filing on EDGAR are
set forth in the updated EDGAR Filer Manual, Volume II: ``EDGAR
Filing,'' Version 64 (December 2022). All of these provisions have been
incorporated by reference into the Code of Federal Regulations, which
action was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You must comply with
these requirements in order for documents to be timely received and
accepted. The EDGAR Filer Manual is available for inspection at the
Commission and at the National Archives and Records Administration
(NARA). The EDGAR Filer Manual is 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
a.m. and 3 p.m. Operating conditions may limit access to the
Commission's Public Reference Room. For information on the availability
of the EDGAR Filer Manual at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email [email protected]. The
EDGAR Filer Manual may also be obtained from https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual.

    By the Commission.

    Dated: December 19, 2022.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023-01200 Filed 1-23-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: November 9, 2006 (Volume 71, Number 217)]
[Notices]
[Page 65799-65800]
[DOCID:fr09no06-83]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

 [Docket No. RP96-359-032]

Transcontinental Gas Pipe Line Corporation; Notice of Negotiated
Rate

November 3, 2006.
    Take notice that on October 31, 2006, Transcontinental Gas Pipe
Line Corporation (Transco) tendered for filing copies of an executed
service agreement between Transco and Patriots Energy Group and an
executed amendment to service agreement between Transco and Progress
Ventures, Inc. both of which pertain to negotiated rate agreements for
firm transportation service under Transco's Momentum Expansion Project.
The effective date of the agreements is November 1, 2006.
    Any person desiring to intervene or to protest this filing 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). 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. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed in accordance with the provisions of
Section 154.210 of the Commission's regulations (18 CFR 154.210).
Anyone filing an intervention or protest must serve a copy of that
document on the Applicant. Anyone filing an intervention or protest on
or before the intervention or protest date need not serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically

should submit an original and 14 copies of the protest or intervention
to the Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is 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 e-mail
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>.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-19006 Filed 11-8-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 20 (Thursday, January 30, 2014)]
[Notices]
[Page 4986]
[FR Doc No: 2014-01815]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.

Extension:
    Rule 18f-1 and Form N-18f-1; OMB Control No. 3235-0211, SEC File
No. 270-187.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for extension of the previously approved
collection of information discussed below.
    Rule 18f-1 (17 CFR 270.18f-1) enables a registered open-end
management investment company (``fund'') that may redeem its securities
in-kind, by making a one-time election, to commit to make cash
redemptions pursuant to certain requirements without violating section
18(f) of the Investment Company Act of 1940 (15 U.S.C. 80a-18(f)). A
fund relying on the rule must file Form N-18F-1 (17 CFR 274.51) to
notify the Commission of this election. The Commission staff estimates
that 26 funds file Form N-18F-1 annually, and that each response takes
one hour. Based on these estimates, the total annual burden hours
associated with the rule is estimated to be 26 hours.
    The estimate of average burden hours is made solely for the
purposes of the Paperwork Reduction Act, and is not derived from a
comprehensive or even a representative survey or study of the costs of
Commission rules. The collection of information required by rule 18f-1
is necessary to obtain the benefits of the rule. Responses to the
collection of information will not be kept confidential. An agency may
not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid OMB
control number.
    The public may view the background documentation for this
information collection at the following Web site, www.reginfo.gov.
Comments should be directed to: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503, or by sending an email to<EMAIL_ADDRESS>and (ii) Thomas Bayer, Chief Information Officer,
Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F Street
NE., Washington, DC 20549 or send an email to<EMAIL_ADDRESS>
Comments must be submitted to OMB within 30 days of this notice.

    Dated: January 24, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-01815 Filed 1-29-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 46 (Thursday, March 9, 2023)]
[Proposed Rules]
[Pages 14514-14515]
[FR Doc No: 2023-04602]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2023-0090; Airspace Docket No. 23-AEA-03]
RIN 2120-AA66

Amendment of Class D and Class E Airspace, and Proposed
Establishment of Class E Airspace, Poughkeepsie, NY

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This action proposes to amend Class D airspace and Class E
surface airspace and establish Class E airspace designated as an
extension to a Class D surface area for Hudson Valley Regional Airport,
Poughkeepsie, NY, as an airspace evaluation determined an update is
necessary.

DATES: Comments must be received on or before April 24, 2023.

ADDRESSES: Send comments on this proposal to: the U.S. Department of
Transportation, Docket Operations, 1200 New Jersey Avenue SE, West
Building Ground Floor, Room W12-140, Washington, DC 20590; telephone:
(800) 647-5527, or<PHONE_NUMBER>. You must identify Docket No. FAA-
2023-0090; Airspace Docket No. 23-AEA-03 at the beginning of your
comments. You may also submit comments through the internet at
www.regulations.gov.
    FAA Order JO 7400.11G, Airspace Designations and Reporting Points,
and subsequent amendments can be viewed online at www.faa.gov/air_traffic/publications/. For further information, contact the Rules
and Regulations Group, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; telephone: (202) 267-
8783.

FOR FURTHER INFORMATION CONTACT: John Fornito, Operations Support
Group, Eastern Service Center, Federal Aviation Administration, 1701
Columbia Avenue, College Park, GA 30337; Telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. 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. This rulemaking is promulgated under the authority described
in Subtitle VII, Part A, Subpart I, Section 40103. Under that section,
the FAA is charged with prescribing regulations to assign the use of
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it would amend Class D airspace and Class E surface airspace and
establish Class E airspace designated as an extension to a Class D
surface area for Hudson Valley Regional Airport, Poughkeepsie, NY, to
support IFR operations in the area.

Comments Invited

    Interested parties are invited to participate on this proposed
rulemaking by submitting such written data, views, or arguments as they
may desire. Comments that provide a factual basis supporting the views
and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
    Communications should identify both docket numbers (Docket No. FAA-
2023-0090; Airspace Docket No. 23-AEA-03) and be submitted in
triplicate to the Docket Management Facility (see ADDRESSES section for
the address and phone number). You may also submit comments through the
internet at www.regulations.gov.
    Commenters wishing the FAA to acknowledge receipt of their comments
on this action must submit with those comments a self-addressed stamped

postcard on which the following statement is made: ``Comments to FAA
Docket No. FAA-2023-0090; Airspace Docket No. 23-AEA-03.'' The postcard
will be dated/time-stamped and returned to the commenter.
    All communications received on or before the specified closing date
will be considered before taking action on the proposed rule. The
proposal contained in this document may be changed in light of the
comments received. All comments submitted will be available for
examination in the public docket both before and after the comment
closing date. A report summarizing each substantive public contact with
FAA personnel concerned with this rulemaking will be filed in the
docket.

Availability of NPRMs

    An electronic copy of this document may be downloaded through the
internet at www.regulations.gov. Recently published rulemaking
documents can be accessed through the FAA's web page at www.faa.gov/air_traffic/publications/airspace_amendments/.
    You may review the public docket containing the proposal, any
comments received, and any final disposition in person in the Dockets
Office (see ADDRESSES section for address and phone number) between
9:00 a.m. and 5:00 p.m., Monday through Friday, except for Federal
holidays. An informal docket may also be examined between 8:00 a.m. and
4:30 p.m., Monday through Friday, except for federal holidays at the
office of the Eastern Service Center, Federal Aviation Administration,
Room 350, 1701 Columbia Avenue, College Park, GA 30337.

Incorporation by Reference

    Class D airspace designations are published in Paragraph 5000 and
Class E airspace designations in Paragraphs 6002 and 6004 of FAA Order
JO 7400.11. This document proposes to amend FAA Order JO 7400.11G,
dated August 19, 2022, and effective September 15, 2022, which is
incorporated by reference in 14 CFR 71.1. FAA Order JO 7400.11G is
publicly available as listed in the ADDRESSES section of this document.
    FAA Order JO 7400.11G lists Class A, B, C, D, and E airspace areas,
air traffic service routes, and reporting points. These updates would
be published subsequently in the next update to FAA Order JO 7400.11.

The Proposal

    The FAA proposes an amendment to 14 CFR part 71 to amend Class D
airspace and Class E surface airspace by increasing the radius to 4.4
miles (previously 4.0 miles). Also, this action would establish Class E
airspace designated as an extension to a Class D surface area of 6.5
miles to the northeast and the southwest of Hudson Valley Regional
Airport. An airspace evaluation determined this update is necessary for
the safety and management of instrument flight rules (IFR) operations
in the area.

Regulatory Notices and Analyses

    The FAA has determined that this proposed regulation only involves
an established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore: (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);
and (3) does not warrant preparation of a Regulatory Evaluation as the
anticipated impact is so minimal. Since this is a routine matter that
will only affect air traffic procedures and air navigation, it is
certified that this proposed rule, when promulgated, will not have a
significant economic impact on a substantial number of small entities
under the criteria of the Regulatory Flexibility Act.

Environmental Review

    This proposal will be subject to an environmental analysis in
accordance with FAA Order 1050.1F, ``Environmental Impacts: Policies
and Procedures,'' prior to any FAA final regulatory action.

Lists of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation
Administration proposes to amend 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for part 71 continues to read as follows:

    Authority: 49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O.
10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of Federal Aviation
Administration Order JO 7400.11G, Airspace Designations and Reporting
Points, dated August 19, 2022, and effective September 15, 2022, is
amended as follows:

Paragraph 5000 Class D Airspace.

* * * * *

AEA NY D Poughkeepsie, NY [Amended]

Hudson Valley Regional Airport, NY
    (Lat. 41[deg]37'36'' N, long. 73[deg]53'03'' W)

    That airspace extending upward from the surface to and including
2,700 feet MSL within a 4.4-mile radius of Hudson Valley Regional
Airport. This Class D airspace area is effective during the specific
dates and times established in advance by a Notice to Air Missions.
The effective date and time will thereafter be continuously
published in the Chart Supplement.

Paragraph 6002 Class E Surface Airspace.

* * * * *

AEA NY E2 Poughkeepsie, NY [Amended]

Hudson Valley Regional Airport, NY
    (Lat. 41[deg]37'36'' N, long. 73[deg]53'03'' W)

    That airspace extending upward from the surface within a 4.4-
mile radius of Hudson Valley Regional Airport. This Class E airspace
is effective during the specific dates and times established in
advance by a Notice to Air Missions. The effective date and time
will thereafter be continuously published in the Chart Supplement.

Paragraph 6004 Class E Airspace Is Designated as an Extension to
Class D or Class E Surface Area.

* * * * *

AEA NY E4 Poughkeepsie, NY [Established]

Hudson Valley Regional Airport, NY
    (Lat. 41[deg]37'36'' N, long. 73[deg]53'03'' W)

    That airspace extending upward from the surface within 1.8-miles
each side of the 051[deg] bearing of Hudson Valley Regional Airport,
extending from the 4.4-mile radius to 6.5 miles northeast of the
airport, and within 1.0-miles each side of the 231[deg] bearing of
the airport, extending from the 4.4-mile radius to 6.5-miles
southwest of the airport.

    Issued in College Park, Georgia, on March 1, 2023.
Lisa E. Burrows,
Manager, Airspace & Procedures Team North, Eastern Service Center, Air
Traffic Organization.
[FR Doc. 2023-04602 Filed 3-8-23; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 76, Number 228 (Monday, November 28, 2011)]
[Notices]
[Pages 72996-72997]
[FR Doc No: 2011-30497]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Eleventh Meeting: RTCA Special Committee 223 Airport Surface
Wireless Communications

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

ACTION: Notice of RTCA Special Committee 223 Airport Surface Wireless
Communications Eleventh Meeting.

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SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of

RTCA Special Committee 223, Airport Surface Wireless Communications
Eleventh Meeting

DATES: The meeting will be held December 6-7th, 2011, from 9 a.m.-5
p.m.

ADDRESSES: The meeting will be held at Booz Allen Hamilton, 1201
Maryland Avenue SW., Suite 5121B, Washington, DC 20024

FOR FURTHER INFORMATION CONTACT: The RTCA Secretariat, 1150 18th Street
NW., Suite 910, Washington, DC, 20036, or by telephone at (202) 833-
9339, fax at<PHONE_NUMBER>, or Web site at http://www.rtca.org.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a)(2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., App.), notice is
hereby given for a Special Committee 223, Airport Surface Wireless
Communications Meeting. The agenda will include the following:

December 6th, 2011

 Plenary
 Welcome, Introductions, Administrative Remarks by Special
Committee Leadership
     Designated Federal Official (DFO): Mr. Brent Phillips
     Co-Chair: Mr. Aloke Roy, Honeywell International
     Co-Chair: Mr. Ward Hall, ITT Corporation
 Agenda Overview
 Review/Approve Joint EUROCAE WG-82/RTCA SC-223 Plenary meeting
Summary--RTCA Paper No. 220-11/SC223-023, and action item status
 Review action items
 General Presentations of Interest
     WiMAX Forum status--WiMAX Forum
     RTCA SC-206 Communiqu[eacute] on Attributes Capability
Matrix
     ICAO Working Group S (plans/proposals/actions???)
     AEEC SAI Action Regarding AeroMACS Standards--Continental
Airlines

Afternoon--MOPS WG Breakout Session

 MOPS Outline--Rockwell Collins
     Introduction Sections
 Discussion of Chapters 5,6,8--EUROCONTROL
     SESAR P15.2.7 Profiles Definition for AeroMACS
     Chap 8--Physical Layer--Updates per WiMAX Forum
     Chap 5--Service Specific CS
     Chap 6--Media Access Control

December 7, 2011

 MOPS WG Breakout Session
     Discussion of Security Sub-layer--Honeywell
     Review draft of Environmental (DO-160G)--Rockwell Collins
     Review draft PICS--EUROCAE (Thales)
     Review draft CSRL Appendix--Rockwell Collins
     MOPS Schedule/Logistics--Rockwell Collins
 Wednesday Afternoon--Reconvene Plenary:
     Discuss Work Program for 2012
     Establish Agenda, Date and Place for RTCA plenary meetings
13 and 14
     Review of Meeting summary report
     Adjourn--Expected by 15:00
 Review all action items
 Adjourn

    Attendance is open to the interested public but limited to space
availability. With the approval of the chairman, members of the public
may present oral statements at the meeting. Persons wishing to present
statements or obtain information should contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Members of the public may
present a written statement to the committee at any time.

    Issued in Washington, DC, on November 17, 2011.
Robert L. Bostiga,
Manager, Business Operations Group, Federal Aviation Administration.
[FR Doc. 2011-30497 Filed 11-25-11; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 181 (Thursday, September 17, 2020)]
[Notices]
[Pages 58063-58064]
[FR Doc No: 2020-20458]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA 2020-N-1735]

Eisai, Inc.; Withdrawal of Approval of Two New Drug Application
for BELVIQ (lorcaserin hydrochloride) and BELVIQ XR (lorcaserin
hydrocholoride)

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is withdrawing the
approval of two new drug applications for BELVIQ (lorcaserin
hydrochloride (HCl)) tablets and BELVIQ XR (lorcaserin HCl) extended-
release tablets held by Eisai, Inc., 155 Tice Blvd., Woodcliff Lake, NJ
07677 (Eisai). Eisai requested withdrawal of these applications and has
waived its opportunity for a hearing.

DATES: Approval is withdrawn as of September 17, 2020.

FOR FURTHER INFORMATION CONTACT: Kimberly Lehrfeld, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 51, Rm. 6226, Silver Spring, MD 20993-0002, 301-
796-3137.

SUPPLEMENTARY INFORMATION: FDA approved NDA 022529 for BELVIQ
(lorcaserin HCl) 10 milligrams (mg) tablets and NDA 208524 for BELVIQ
XR (lorcaserin HCl) 20 mg extended-release tablets on June 27, 2012 and
July 15, 2016, respectively, as an adjunct to a reduced-calorie diet
and increased physical activity for chronic weight management in adults
with an initial body mass index (BMI) of:
     30 kg/m\2\ or greater (obese) or
     27 kg/m2 or greater (overweight) in the presence of at
least one weight-related comorbid condition, (e.g., hypertension,
dyslipidemia, type 2 diabetes).
    On January 14, 2019, FDA issued a Drug Safety Communication
alerting the public that results from a clinical trial assessing the
risk of heart-related problems show a possible increased risk of cancer
with BELVIQ and BELVIQ XR (see https://www.fda.gov/drugs/drug-safety-and-availability/safety-clinical-trial-shows-possible-increased-risk-cancer-weight-loss-medicine-belviq-belviq-xr). On February 13, 2020,
FDA announced it had asked Eisai to voluntarily withdraw BELVIQ and
BELVIQ XR from the U.S. market because a safety clinical trial showed
an increased occurrence of cancer (see

https://www.fda.gov/drugs/drug-safety-and-availability/fda-requests-withdrawal-weight-loss-drug-belviq-belviq-xr-lorcaserin-market).
    On February 13, 2020, Eisai requested that FDA withdraw approval of
NDA 022529 for BELVIQ and NDA 208524 for BELVIQ XR under Sec.
314.150(d) (21 CFR 314.150(d)), and waived its opportunity for a
hearing.
    For the reasons discussed above, and pursuant to the applicant's
request, approval of NDA 022529 BELVIQ (lorcaserin HCl) tablets and
208524 BELVIQ XR (lorcaserin HCl) extended-release tablets, and all
amendments and supplements thereto, are withdrawn under Sec.
314.150(d). Distribution of BELVIQ into interstate commerce without an
approved application is illegal and subject to regulatory action (see
sections 505(a) and 301(d) of the Federal Food, Drug, and Cosmetic Act
(21 U.S.C. 355(a) and 331(d)).

    Dated: September 11, 2020.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2020-20458 Filed 9-16-20; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 81, Number 17 (Wednesday, January 27, 2016)]
[Notices]
[Pages 4710-4712]
[FR Doc No: 2016-01663]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76957; File No. SR-ISE-2016-03]

Self-Regulatory Organizations; International Securities Exchange,
LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change To Amend the Schedule of Fees

January 21, 2016.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on January 13, 2016, the International Securities Exchange, LLC
(the ``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission the proposed rule change, as described in Items I, II, and
III below, which items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    ISE proposes to amend the Schedule of Fees as described in more
detail below. The text of the proposed rule change is available on the
Exchange's Internet Web site at http://www.ise.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The purpose of the proposed rebate is to amend the Schedule of Fees
to introduce a new set of rebates to the Qualified Contingent Cross
(``QCC'') and/or other solicited crossing orders, including solicited
orders executed in the Solicitation, Facilitation or Price Improvement
Mechanisms, pricing initiative that offers rebates to members that
execute a specified volume of QCC and other solicited crossing orders
in a month. The proposed rebates apply to QCC and solicited orders
between two Priority Customers \3\ (`` `Customer to Customer' Orders'')
executed by members that (1) execute a specified volume of QCC and
solicited orders in a given month and (2) have a total unsolicited
originating Facilitation contract side volume of 175,000 or more per
month. The Exchange notes it is not proposing any change to how volume
is calculated for the current volume tiers. Thus, members will continue
to obtain the tier level based on all QCC and/or solicited crossing
orders' originating side volume. Members will also continue to receive
the Non-``Customer to Customer'' Order \4\ rebate for their Non-
``Customer to Customer'' Orders and the ``Customer to Customer'' Order
rebate for their ``Customer to Customer'' Orders.
---------------------------------------------------------------------------

    \3\ The term ``Priority Customer'' means a person or entity that
(i) is not a broker or dealer in securities, and (ii) does not place
more than 390 orders in listed options per day on average during a
calendar month for its own beneficial account(s).
    \4\ ``Non-`Customer to Customer' Orders'' are QCC and/or other
solicited crossing orders, including solicited orders executed in
the Solicitation, Facilitation or Price Improvement Mechanisms, and
excluding ``Customer to Customer'' Orders.
---------------------------------------------------------------------------

    Currently, the Exchange offers members rebates in QCC and/or other
solicited crossing orders (including ``Customer to Customer'' Orders),
i.e.

orders executed in the Solicitation, Facilitation, or Price Improvement
Mechanisms where the agency order is executed against an order
solicited from another party. These rebates are provided for each
originating side of a crossing order, based on a member's volume in the
crossing mechanisms during a given month. Currently, for the Non-
``Customer to Customer'' Rebate, for members that execute 0 to 99,999
originating contract sides (``Tier 1'') the rebate is $0.00 per
contract, for members that execute 100,000 to 199,999 originating
contract sides (``Tier 2'') the rebate is $0.05 per contract, for
members that execute 200,000 to 499,999 originating contract sides
(``Tier 3'') the rebate is $0.07 per contract, for members that execute
500,000 to 699,999 originating contract sides (``Tier 4'') the rebate
is $0.08 per contract, for members that execute 700,000 to 999,999
originating contract sides (``Tier 5'') the rebate is $0.09 per
contract, and for members that execute 1,000,000 originating contract
sides or more (``Tier 6'') the rebate is $0.11 per contract.\5\ Also,
for the ``Customer to Customer'' Rebate, for Tier 1 the rebate is
$0.00, for Tiers 2 through 3 the rebate is $0.01, and for Tiers 4
through 6 the rebate is $0.03.
---------------------------------------------------------------------------

    \5\ The rebate is applied to the originating contract side of
QCC and solicited crossing orders traded in a given month once a
member reaches the specified volume threshold/Tier during that
month.
---------------------------------------------------------------------------

    The Exchange now proposes to offer a new set of rebates called
``Customer to Customer'' Rebate PLUS. The proposed rebates apply to
``Customer to Customer'' Orders executed by members with (1) a
specified volume of QCC and other solicited crossing orders in a given
month and (2) 175,000 or more unsolicited originating Facilitation
contract sides per month. The Facilitation Mechanism is a process by
which an Electronic Access Member (``EAM'') can execute a transaction
wherein the EAM seeks to facilitate a block-size order it represents as
agent, and/or a transaction wherein the EAM solicited interest to
execute against a block-size order it represents as agent.\6\ Only
orders entered into the Facilitation Mechanism that are facilitated by
the entering EAM (i.e. unsolicited Facilitation orders) will count
towards the volume threshold described above.\7\ Once a member has met
the volume thresholds described above, the member will receive a rebate
for each originating contract side of their ``Customer to Customer''
Orders. In particular, the member will receive a ``Customer to
Customer'' Rebate PLUS of $0.00 per contract for Tier 1, and $0.05 per
contract for Tiers 2 through 6. The Exchange notes that members may
receive either the ``Customer to Customer'' Rebate or the ``Customer to
Customer'' Rebate PLUS--not both.
---------------------------------------------------------------------------

    \6\ See Rule 716(d).
    \7\ In addition, the Exchange notes that it will only count
originating contract sides in determining whether the EAM has met
the 175,000 contract threshold.
---------------------------------------------------------------------------

    Finally, all originating contract side volume will continue to
contribute to the member's Tier level, however a member's ``Customer to
Customer'' rebate will depend on its unsolicited originating
Facilitation volume. For example, if a member has 175,000 originating
contract sides for Non-``Customer to Customer'' Orders and 75,000
originating contract sides for ``Customer to Customer'' Orders, the
member's aggregated volume will be 250,000 placing them in Tier 3
(200,000 to 499,999). As a result, the member will receive a rebate of
$0.07 per originating contract side for its Non-``Customer to
Customer'' Orders and a rebate of either 1) $0.01 per originating
contract side for its ``Customer to Customer'' Orders (i.e. ``Customer
to Customer'' Rebate) or 2) if the member has 175,000 or more
unsolicited originating Facilitation contract sides, $0.05 per
originating side for its ``Customer to Customer'' Orders (i.e.
``Customer to Customer'' Rebate PLUS).
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the provisions of Section 6 of the Act,\8\ in general, and Section
6(b)(4) of the Act,\9\ in particular, in that it is designed to provide
for the equitable allocation of reasonable dues, fees, and other
charges among its members and other persons using its facilities.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f.
    \9\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    The Exchange believes that it is reasonable and equitable to
provide for the opportunity to receive these rebates because they will
incentivize members to send varying types of crossing volumes to the
Exchange. In particular, the proposed rebates will encourage members to
send unsolicited Facilitation orders to meet the 175,000 volume
threshold to obtain the greater PLUS Rebate and encourage more
`Customer to Customer' volume to achieve the higher rebates. Further,
the Exchange believes it is reasonable and equitable to provide for the
opportunity to receive the proposed rebates because they are attractive
to market participants, and many exchanges, including CBOE for example,
offer no rebate for customer to customer executions.\10\ Finally, the
Exchange believes that the proposed fees are not unfairly
discriminatory because these rebates would be uniformly applied to all
members' ``Customer to Customer'' Orders that meet the required volume
thresholds.
---------------------------------------------------------------------------

    \10\ See CBOE Fee Schedule, QCC Rate Table, Notes at https://www.cboe.com/publish/feeschedule/CBOEFeeSchedule.pdf.
---------------------------------------------------------------------------

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

    In accordance with Section 6(b)(8) of the Act,\11\ the Exchange
does not believe that the proposed rule change will impose any burden
on intermarket or intramarket competition that is not necessary or
appropriate in furtherance of the purposes of the Act. The Exchange
believes that the proposed rebates are attractive to market
participants and are better than the rebates (if any) offered by other
exchanges.\12\ The Exchange operates in a highly competitive market in
which market participants can readily direct their order flow to
competing venues. In such an environment, the Exchange must continually
review, and consider adjusting, its fees and rebates to remain
competitive with other exchanges. For the reasons described above, the
Exchange believes that the proposed fee changes reflect this
competitive environment.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78f(b)(8).
    \12\ CBOE for example, offers no rebate (credit) for customer to
customer executions. See CBOE Fee Schedule, QCC Rate Table, Notes at
https://www.cboe.com/publish/feeschedule/CBOEFeeSchedule.pdf.
---------------------------------------------------------------------------

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from members or other interested
parties.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act,\13\ and subparagraph (f)(2) of Rule 19b-4
thereunder,\14\ because it establishes a due, fee, or other charge
imposed by ISE.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \14\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such 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_ADDRESS>Please include
File No. SR-ISE-2016-03 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-ISE-2016-03. 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 Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-ISE-2016-03 and should be
submitted by February 17, 2016.
---------------------------------------------------------------------------

    \15\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
Brent J. Fields,
Secretary.
[FR Doc. 2016-01663 Filed 1-26-16; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: November 20, 2007 (Volume 72, Number 223)]
[Rules and Regulations]
[Page 65217-65219]
[DOCID:fr20no07-2]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-28955 Directorate Identifier 2007-CE-067-AD;
Amendment 39-15260; AD 2007-23-14]
RIN 2120-AA64

Airworthiness Directives; Diamond Aircraft Industries Model DA 42
Airplanes

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

ACTION: Final rule.

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

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

    Recently, a double in-flight engine shut down incident occurred
on a DA42 aircraft equipped with TAE125-01 engines. The BFU (German
Accident Investigation Body) found the root cause to be a violation
of the Airplane Flight Manual procedures (taking-off with an
insufficiently charged main aircraft battery) and momentary low
voltage in the electrical system of the aircraft when retracting the
main landing gear. This has been the subject of Diamond Service
Information (SI) 42-040 and a subsequent EASA Safety Information
Notice, SIN 2007-08, issued on 18 April 2007.
    The TAE125-01 and TAE125-02-99 engines, approved for
installation on the DA42, are FADEC (Full Authority Digital Engine
Control) controlled and are not totally independent from the
aircraft electrical power supply. A significant drop of the voltage
causes simultaneously a reset of the FADEC on both engines with
subsequent feathering of the propeller blades. In the case of an
empty battery this scenario may be considered as catastrophic at the
aircraft level.

We are issuing this AD to require actions to correct the unsafe
condition on these products.

DATES: This AD becomes effective December 26, 2007.
    On December 26, 2007, the Director of the Federal Register approved
the incorporation by reference of certain publications listed in this
AD.

ADDRESSES: You may examine the AD docket on the Internet at http://www.regulations.gov
 or in person at Document 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
20590.

FOR FURTHER INFORMATION CONTACT: Peter L. Rouse, Aerospace Engineer,
FAA, Small Airplane Directorate, 901 Locust, Room 301, Kansas City,
Missouri 64106; telephone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM was published in the Federal Register on August 27, 2007 (72
FR 48948). That NPRM proposed to correct an unsafe condition for the
specified products. The MCAI states:

    Recently, a double in-flight engine shut down incident occurred
on a DA42 aircraft equipped with TAE125-01 engines. The BFU (German
Accident Investigation Body) found the root cause to be a violation
of the Airplane Flight Manual procedures (taking-off with an
insufficiently charged main aircraft battery) and momentary low
voltage in the electrical system of the aircraft when retracting the
main landing gear. This has been the subject of Diamond Service
Information (SI) 42-040 and a subsequent EASA Safety Information
Notice, SIN 2007-08, issued on 18 April 2007.
    The TAE125-01 and TAE125-02-99 engines, approved for
installation on the DA42, are FADEC (Full Authority Digital Engine
Control) controlled and are not totally independent from the
aircraft electrical power supply. A significant drop of the voltage
causes simultaneously a reset of the FADEC on both engines with
subsequent feathering of the propeller blades. In the case of an
empty battery this scenario may be considered as catastrophic at the
aircraft level.
    The Thielert Aircraft Engines (TAE) Installation Manuals IM-02-
01 Issue 4 and IM-02-02 Issue 1 have been revised to address this
issue, which is the subject of EASA Airworthiness Directive (AD)
2007-0182.
    The present AD, regarding the new specifications introduced by
the TAE Installation Manuals, mandates installation of additional
Engine Control Unit (ECU) Backup Batteries to supply electrical
power to the ECU, preventing high transient power drains from
causing a short-term voltage drop when insufficient power from the
main battery might exist.

Comments

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

Revision of Service Bulletin

    On October 15, 2007, Diamond Aircraft Industries GmbH (Diamond)
issued the revised Optional Service Bulletin (OSB) No. OSB-42-050/1.
This revision clarifies that if Diamond Mandatory Design Change
(M[Auml]M) No. M[Auml]M 42-240 is installed or if the aircraft is in
compliance with Diamond Mandatory Service Bulletin (MSB) No. MSB-42-
042, you must first uninstall Diamond M[Auml]M No. M[Auml]M 42-240 or
Diamond MSB No. MSB-42-042 when accomplishing Diamond OSB No. OSB-42-
050/1, dated October 15, 2007.
    This revision also excludes aircraft that have installed Diamond
Optional Design Change (O[Auml]M) No. O[Auml]M 42-074. Diamond O[Auml]M
No. O[Auml]M 42-074 is a modification that places equipment in the same
location as the batteries in Diamond OSB No. OSB-42-050/1, dated
October 15, 2007. Aircraft with Diamond O[Auml]M No. O[Auml]M 42-074
installed will not be able to comply with Diamond OSB No. OSB-42-050/1,
dated October 15, 2007. However, this AD still applies to aircraft with
Diamond O[Auml]M No. O[Auml]M 42-074 installed.
    To our knowledge there are currently no aircraft registered in the
United States with Diamond O[Auml]M No. O[Auml]M 42-074 installed.
Owner/operators seeking to import aircraft with Diamond O[Auml]M No.
O[Auml]M 42-074 installed or seeking to install Diamond O[Auml]M No.
O[Auml]M 42-074 in a U.S.-registered aircraft will need to contact
Diamond for an alternative method of compliance (AMOC) to this AD or
develop an AMOC, which must be submitted to the FAA for approval. We
have revised the language from the proposed AD to require use of
Diamond OSB No. OSB-42-050/1, dated October 15, 2007, and to add
language requiring compliance with this AD if Diamond O[Auml]M No.
O[Auml]M 42-074 is installed.

Revision of Work Instruction

    On September 10, 2007, Diamond issued revised Work Instruction WI-
OSB-42-050, Revision 2. This revision corrects a mistake in the
instruction that would have caused a short circuit at the battery relay
control. The revision also changes the diode wiring procedure to expose
additional safety thread on the screws at the bottom of the instrument
panel. Previously each cable had its

own ring terminal, but now the two corresponding cables are crimped
into one ring terminal. We have revised the language from the proposed
AD to require you to use Diamond Work Instruction WI-OSB-42-050,
Revision 2, dated September 10, 2007.

Conclusion

    We reviewed the available data and determined that air safety and
the public interest require adopting the AD with the changes described
previously. The change corrects an error in the work instruction, and
this change does not increase the scope or the burden beyond that which
was proposed in the NPRM.

Differences Between This AD and the MCAI or Service Information

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

Costs of Compliance

    We estimate that this AD will affect 86 products of U.S. registry.
We also estimate that it will take about 13 work-hours per product to
comply with basic requirements of this AD. The average labor rate is
$80 per work-hour. Where the service information lists required parts
costs that are covered under warranty, we have assumed that there will
be no charge for these parts. As we do not control warranty coverage
for affected parties, some parties may incur costs higher than
estimated here.
    Based on these figures, we estimate the cost of this AD to the U.S.
operators to be $89,440 or $1,040 per product.

Authority for This Rulemaking

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

Regulatory Findings

    We determined that this AD will not have federalism implications
under Executive Order 13132. This AD will not have a substantial direct
effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.
    For the reasons discussed above, I certify this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866;
    (2) Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979); and
    (3) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared a regulatory evaluation of the estimated costs to
comply with this AD and placed it in the AD Docket.

Examining the AD Docket

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

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

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

0
Accordingly, under the authority delegated to me by the Administrator,
the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

2007-23-14 Diamond Aircraft Industries: Amendment 39-15260; Docket
No. FAA-2007-28955; Directorate Identifier 2007-CE-067-AD.

Effective Date

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

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to DA 42 airplanes, all serial numbers,
certificated in any category.

Subject

    (d) Air Transport Association of America (ATA) Code 72: Engine.

Reason

    (e) The mandatory continuing airworthiness information (MCAI)
states:

    Recently, a double in-flight engine shut down incident occurred
on a DA42 aircraft equipped with TAE125-01 engines. The BFU (German
Accident Investigation Body) found the root cause to be a violation
of the Airplane Flight Manual procedures (taking-off with an
insufficiently charged main aircraft battery) and momentary low
voltage in the electrical system of the aircraft when retracting the
main landing gear. This has been the subject of Diamond Service
Information (SI) 42-040 and a subsequent EASA Safety Information
Notice, SIN 2007-08, issued on 18 April 2007.
    The TAE125-01 and TAE125-02-99 engines, approved for
installation on the DA42, are FADEC (Full Authority Digital Engine
Control) controlled and are not totally independent from the
aircraft electrical power supply. A significant drop of the voltage
causes simultaneously a reset of the FADEC on both engines with
subsequent feathering of the propeller blades. In the case of an
empty battery this scenario may be considered as catastrophic at the
aircraft level.
    The Thielert Aircraft Engines (TAE) Installation Manuals IM-02-
01 Issue 4 and IM-02-02 Issue 1 have been revised to address this
issue, which is the subject of EASA Airworthiness Directive (AD)
2007-0182.
    The present AD, regarding the new specifications introduced by
the TAE Installation Manuals, mandates installation of additional
Engine Control Unit (ECU) Backup Batteries to supply electrical
power to the ECU, preventing high transient power drains from
causing a short-term voltage drop when insufficient power from the
main battery might exist.

Actions and Compliance

    (f) Unless already done, do the following actions within the
next 100 hours time-in-service after December 26, 2007 (the
effective date of this AD) or within 30 days after

December 26, 2007 (the effective date of this AD), whichever occurs
first:
    (1) Modify the engine electrical system by installing additional
engine control unit (ECU) backup batteries following Diamond
Aircraft Industries GmbH Work Instruction WI-OSB-42-050, Revision 2,
dated September 10, 2007, as referenced in Diamond Aircraft
Industries GmbH Optional Service Bulletin No. OSB-42-050\1, dated
October 15, 2007. If your aircraft has Diamond Aircraft Industries
GmbH Optional Design Change No. O[Auml]M 42-074 installed, you will
need to show compliance with this paragraph through an alternative
method of compliance (AMOC) in accordance with paragraph (g)(1) of
this AD.
    (2) Incorporate Diamond Aircraft Temporary Revision AMM-TR-
O[Auml]M-42-129, dated July 11, 2007, into the FAA-approved
maintenance program (e.g., maintenance manual). The owner/operator
holding at least a private pilot certificate as authorized by
section 43.7 of the Federal Aviation Regulations (14 CFR 43.7) may
do this action. Make an entry in the aircraft records showing
compliance with this portion of the AD following section 43.9 of the
Federal Aviation Regulations (14 CFR 43.9).
    (3) Update the airplane flight manual (AFM) by inserting a copy
of Diamond Aircraft Temporary Revision TR-O[Auml]M-42-129, dated
July 11, 2007, into the AFM. The owner/operator holding at least a
private pilot certificate as authorized by section 43.7 of the
Federal Aviation Regulations (14 CFR 43.7) may do this action. Make
an entry in the aircraft records showing compliance with this
portion of the AD following section 43.9 of the Federal Aviation
Regulations (14 CFR 43.9).

FAA AD Differences

    Note: This AD differs from the MCAI and/or service information
as follows:
    (1) We believe that the batteries specified in the MCAI do not
fully address the unsafe condition for U.S. registered airplanes.
The batteries specified in the MCAI only provide approximately 10
minutes of backup electrical power to the engine full authority
digital engine controls (FADECs) in the event of an aircraft
electrical failure. In accordance with 14 CFR 23.1353(h), the FAA
requires a minimum of 30 minutes of backup electrical power for the
engine FADECs in the event of an aircraft electrical failure. To
fully address the unsafe condition, Diamond Aircraft Industries GmbH
has developed different part numbers and procedures for U.S.-
registered airplanes. These procedures require the installation of
larger capacity batteries than the MCAI required. The batteries
specified in Diamond Aircraft Industries GmbH Work Instruction WI-
OSB-42-050, Revision 2, dated September 10, 2007, will provide a
minimum of 30 minutes of backup electrical power for the engine
FADECs when installed in accordance with Diamond Aircraft Industries
GmbH Work Instruction WI-OSB-42-050, Revision 2, dated September 10,
2007. We have discussed this difference with EASA, and they accepted
that the FAA's view is different to require installation of larger
capacity batteries.
    (2) Diamond Aircraft Industries GmbH Optional Service Bulletin
No. OSB-42-050\1, dated October 15, 2007, excludes aircraft with
Diamond Aircraft Industries GmbH O[Auml]M No. O[Auml]M 42-074
installed because Diamond Aircraft Industries GmbH O[Auml]M No.
O[Auml]M 42-074 adds equipment that is in the same location as the
batteries in Diamond Aircraft Industries GmbH Optional Service
Bulletin No. OSB-42-050\1, dated October 15, 2007. The unsafe
condition still needs to be addressed in aircraft with Diamond
Aircraft Industries GmbH O[Auml]M No. O[Auml]M 42-074 installed.
Therefore, this AD does apply to aircraft with Diamond Aircraft
Industries GmbH O[Auml]M No. O[Auml]M 42-074 installed and owners/
operators of aircraft with Diamond Aircraft Industries GmbH O[Auml]M
No. O[Auml]M 42-074 installed will need to seek an AMOC for those
aircraft.

Other FAA AD Provisions

    (g) The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
Standards Office, 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: Peter L. Rouse, Aerospace Engineer, FAA, Small
Airplane Directorate, 901 Locust, Room 301, Kansas City, Missouri
64106; telephone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>. Before using
any approved AMOC on any airplane to which the AMOC applies, notify
your appropriate principal inspector (PI) in the FAA Flight
Standards District Office (FSDO), or lacking a PI, your local FSDO.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.
    (3) Reporting Requirements: For any reporting requirement in
this AD, under the provisions of the Paperwork Reduction Act (44
U.S.C. 3501 et seq.), the Office of Management and Budget (OMB) has
approved the information collection requirements and has assigned
OMB Control Number 2120 0056.

Related Information

    (h) Refer to MCAI European Aviation Safety Agency (EASA) AD No.
2007-0183, dated July 2, 2007; Diamond Aircraft Industries GmbH
Optional Service Bulletin No. OSB-42-050\1, dated October 15, 2007;
Diamond Aircraft Industries GmbH Work Instruction WI-OSB-42-050,
Revision 2, dated September 10, 2007; Diamond Aircraft Temporary
Revision AMM-TR-O[Auml]M-42-129, dated July 11, 2007; and Diamond
Aircraft Temporary Revision TR-O[Auml]M-42-129, dated July 11, 2007,
for related information.

Material Incorporated by Reference

    (i) You must use Diamond Aircraft Industries GmbH Optional
Service Bulletin No. OSB-42-050[bs]1, dated October
15, 2007, and Diamond Aircraft Industries GmbH Work Instruction WI-
OSB-42-050, Revision 2, dated September 10, 2007, to do the actions
required by this AD, unless the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of this service information under 5
U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact
Diamond Aircraft Industries GmbH, N.A. Otto-Stra[beta]e 5, A-2700
Wiener Neustadt; telephone: +43 2622 26700; fax: +43 2622 26780; e-
mail<EMAIL_ADDRESS>    (3) You may review copies at the FAA, Central Region, Office of
the Regional Counsel, 901 Locust, Room 506, Kansas City, Missouri
64106; or at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html
.

    Issued in Kansas City, Missouri, on November 7, 2007.
John R. Colomy,
Acting Manager, Small Airplane Directorate, Aircraft Certification
Service.
 [FR Doc. E7-22177 Filed 11-19-07; 8:45 am]

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