[Federal Register Volume 77, Number 97 (Friday, May 18, 2012)]
[Notices]
[Pages 29712-29718]
[FR Doc No: 2012-12019]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66975; File No. 4-551]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options
Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board
Options Exchange, Incorporated, the International Securities Exchange
LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc.,
The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX
BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related
Market Surveillance

May 11, 2012.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed on May 2, 2012, pursuant to Rule 17d-2
of the Act,\2\ by NYSE Amex LLC (``Amex''), BATS Exchange, Inc.,
(``BATS''), the BOX Options Exchange LLC (``BOX''), C2 Options
Exchange, Incorporated (``C2''), the Chicago Board Options Exchange,
Incorporated (``CBOE''), the International Securities Exchange LLC
(``ISE''), Financial Industry Regulatory Authority, Inc. (``FINRA''),
NYSE Arca, Inc. (``Arca''), The NASDAQ Stock Market LLC (``Nasdaq''),
NASDAQ OMX BX, Inc. (``BX'') and the NASDAQ OMX PHLX, Inc. (``PHLX'')
(collectively, ``Participating Organizations'' or ``parties'').
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
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I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-

regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.
Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that maintain memberships in more than one SRO (``common members'').
Such regulatory duplication would add unnecessary expenses for common
members and their SROs.
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    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
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    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for notice and comment, it determines that the plan is
necessary or appropriate in the public interest and for the protection
of investors, to foster cooperation and coordination among the SROs, to
remove impediments to, and foster the development of, a national market
system and a national clearance and settlement system, and is in
conformity with the factors set forth in Section 17(d) of the Act.
Commission approval of a plan filed pursuant to Rule 17d-2 relieves an
SRO of those regulatory responsibilities allocated by the plan to
another SRO.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On December 11, 2007, the Commission declared effective the
Participating Organizations' Plan for allocating regulatory
responsibilities pursuant to Rule 17d-2.\11\ On April 11, 2008, the
Commission approved an amendment to the Plan to include NASDAQ as a
participant.\12\ On October 9, 2008, the Commission approved an
amendment to the Plan to clarify that the term Regulatory
Responsibility for options position limits includes the examination
responsibilities for the delta hedging exemption.\13\ On February 25,
2010, the Commission approved an amendment to the Plan to add BATS
Exchange, Inc. and C2 Options Exchange, Incorporated as SRO
participants and to reflect the name changes of the American Stock
Exchange LLC to the NYSE Amex LLC, and the Boston Stock Exchange, Inc.
to the NASDAQ OMX BX, Inc.\14\
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    \11\ See Securities Exchange Act Release No. 56941 (December 11,
2007), 72 FR 71723 (December 18, 2007) (File No. 4-551).
    \12\ See Securities Exchange Act Release No. 57649 (April 11,
2008), 73 FR 20976 (April 17, 2008) (File No. 4-551).
    \13\ See Securities Exchange Act Release No. 58765 (October 9,
2008), 73 FR 62344 (October 20, 2008) (File No. 4-551).
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    The Plan is designed to reduce regulatory duplication for common
members by allocating regulatory responsibility for certain options-
related market surveillance matters among the Participating
Organizations.\14\ Generally, under the Plan, a Participating
Organization will serve as the Designated Options Surveillance
Regulator (``DOSR'') for each common member assigned to it and will
assume regulatory responsibility with respect to that common member's
compliance with applicable common rules for certain accounts. When an
SRO has been named as a common member's DOSR, all other SROs to which
the common member belongs will be relieved of regulatory responsibility
for that common member, pursuant to the terms of the Plan, with respect
to the applicable common rules specified in Exhibit A to the Plan.
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    \14\ See Securities Exchange Act Release No. 61588 (February 25,
2010), 75 FR 9970 (March 4, 2010) (File No. 4-551).
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III. Proposed Amendment to the Plan

    On May 2, 2012, the parties submitted a proposed amendment to the
Plan. The primary purpose of the amendment is to add BOX as a
Participant to the Plan. The text of the proposed amended 17d-2 plan is
as follows (additions are italicized; deletions are [bracketed]):
* * * * *

AGREEMENT BY AND AMONG

NYSE AMEX LLC, BATS EXCHANGE, INC., BOX OPTIONS EXCHANGE LLC, NASDAQ
OMX BX, INC., C2 OPTIONS EXCHANGE, INCORPORATED, THE CHICAGO BOARD
OPTIONS EXCHANGE, INCORPORATED, THE INTERNATIONAL SECURITIES EXCHANGE
LLC, FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., NYSE ARCA, INC.,
THE NASDAQ STOCK MARKET LLC, AND NASDAQ OMX PHLX, INC., PURSUANT TO
RULE 17d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934

    This agreement (this ``Agreement''), by and among the NYSE Amex
LLC (``Amex''), BATS Exchange, Inc., (``BATS''), the [,] C2 Options
Exchange, Incorporated (``C2''), the Chicago Board Options Exchange,
Incorporated (``CBOE''), the International Securities Exchange LLC
(``ISE''), Financial Industry Regulatory Authority, Inc.
(``FINRA''), NYSE Arca, Inc. (``Arca''), The NASDAQ Stock Market LLC
(``Nasdaq''), the BOX Options Exchange LLC (``BOX''), NASDAQ OMX BX,
Inc. (``BX'') and the NASDAQ OMX PHLX, Inc. (``PHLX''), is made this
10th day of October 2007, and as amended the 31st day of March 2008,
the 1st day of October 2008, [and this] the 3rd day of February
2010, and the 25th day of April 2012, pursuant to Section 17(d) of
the Securities Exchange Act of 1934, as amended (the ``Exchange
Act''), and Rule 17d-2 thereunder (``Rule 17d-2''), which allows for
a joint plan among self-regulatory organizations (``SROs'') to
allocate regulatory obligations with respect to brokers or dealers
that are members of two or more of the parties to this Agreement
(``Common Members''). The Amex, BATS, C2, CBOE,

ISE, FINRA, Arca, Nasdaq, BOX, BX, and PHLX are collectively
referred to herein as the ``Participants'' and individually, each a
``Participant.'' This Agreement shall be administered by a committee
known as the Options Surveillance Group (the ``OSG'' or ``Group''),
as described in Section V hereof. Unless defined in this Agreement
or the context otherwise requires, the terms used herein shall have
the meanings assigned thereto by the Exchange Act and the rules and
regulations thereunder.
    Whereas, the Participants desire to eliminate regulatory
duplication with respect to SRO market surveillance of Common Member
\1\ activities with regard to certain common rules relating to
listed options (``Options''); and
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    \1\ In the case of the BX and BOX, members are those persons who
are Options Participants (as defined in the [Boston Options Exchange
LLC Rules] BOX Options Exchange LLC Rules and NASDAQ OMX BX, Inc.
Rules).
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    Whereas, for this purpose, the Participants desire to execute
and file this Agreement with the Securities and Exchange Commission
(the ``SEC'' or ``Commission'') pursuant to Rule 17d-2.
    Now, therefore, in consideration of the mutual covenants
contained in this Agreement, the Participants agree as follows:
    I. Except as otherwise provided in this Agreement, each
Participant shall assume Regulatory Responsibility (as defined
below) for the Common Members that are allocated or assigned to such
Participant in accordance with the terms of this Agreement and shall
be relieved of its Regulatory Responsibility as to the remaining
Common Members. For purposes of this Agreement, a Participant shall
be considered to be the Designated Options Surveillance Regulator
(``DOSR'') for each Common Member that is allocated to it in
accordance with Section VII.
    II. As used in this Agreement, the term ``Regulatory
Responsibility'' shall mean surveillance, investigation and
enforcement responsibilities relating to compliance by the Common
Members with such Options rules of the Participants as the
Participants shall determine are substantially similar and shall
approve from time to time, insofar as such rules relate to market
surveillance (collectively, the ``Common Rules''). For the purposes
of this Agreement the list of Common Rules is attached as Exhibit A
hereto, which may only be amended upon unanimous written agreement
by the Participants. The DOSR assigned to each Common Member shall
assume Regulatory Responsibility with regard to that Common Member's
compliance with the applicable Common Rules for certain accounts.\2\
A DOSR may perform its Regulatory Responsibility or enter an
agreement to transfer or assign such responsibilities to a national
securities exchange registered with the SEC under Section 6(a) of
the Exchange Act or a national securities association registered
with the SEC under Section 15A of the Exchange Act. A DOSR may not
transfer or assign its Regulatory Responsibility to an association
registered for the limited purpose of regulating the activities of
members who are registered as brokers or dealers in security futures
products.
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    \2\ Certain accounts shall include customer (``C'' as classified
by the Options Clearing Corporation (``OCC'')) and firm (``F'' as
classified by OCC) accounts, as well as other accounts, such as
market maker accounts as the Participants shall, from time to time,
identify as appropriate to review.
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    The term ``Regulatory Responsibility'' does not include, and
each Participant shall retain full responsibility with respect to:
    (a) Surveillance, investigative and enforcement responsibilities
other than those included in the definition of Regulatory
Responsibility;
    (b) Any aspects of the rules of a Participant that are not
substantially similar to the Common Rules or that are allocated for
a separate surveillance purpose under any other agreement made
pursuant to Rule 17d-2. Any such aspects of a Common Rule will be
noted as excluded on Exhibit A.
    With respect to options position limits, the term Regulatory
Responsibility shall include examination responsibilities for the
delta hedging exemption. Specifically, the Participants intend that
FINRA will conduct examinations for delta hedging for all Common
Members that are members of FINRA notwithstanding the fact that
FINRA's position limit rule is, in some cases, limited to only firms
that are not members of an options exchange (i.e., access members).
In such cases, FINRA's examinations for delta hedging options
position limit violations will be for the identical or substantively
similar position limit rule(s) of the other Participant(s).
Examinations for delta hedging for Common Members that are non-FINRA
members will be conducted by the same Participant conducting
position limit surveillance. The allocation of Common Members to
DOSRs for surveillance of compliance with options position limits
and other agreed to Common Rules is provided in Exhibit B. The
allocation of Common Members to DOSRs for examinations of the delta
hedging exemption under the options position limits rules is
provided in Exhibit C.
    III. Each year within 30 days of the anniversary date of the
commencement of operation of this Agreement, or more frequently if
required by changes in the rules of a Participant, each Participant
shall submit to the other Participants, through the Chair of the
OSG, an updated list of Common Rules for review. This updated list
may add Common Rules to Exhibit A, shall delete from Exhibit A rules
of that Participant that are no longer identical or substantially
similar to the Common Rules, and shall confirm that the remaining
rules of the Participant included on Exhibit A continue to be
identically or substantially similar to the Common Rules. Within 30
days from the date that each Participant has received revisions to
Exhibit A from the Chair of the OSG, each Participant shall confirm
in writing to the Chair of the OSG whether that Participant's rules
listed in Exhibit A are Common Rules.
    IV. Apparent violation of another Participant's rules discovered
by a DOSR, but which rules are not within the scope of the
discovering DOSR's Regulatory Responsibility, shall be referred to
the relevant Participant for such action as is deemed appropriate by
that Participant. Notwithstanding the foregoing, nothing contained
herein shall preclude a DOSR in its discretion from requesting that
another Participant conduct an investigative or enforcement
proceeding (``Proceeding'') on a matter for which the requesting
DOSR has Regulatory Responsibility. If such other Participant
agrees, the Regulatory Responsibility in such case shall be deemed
transferred to the accepting Participant and confirmed in writing by
the Participants involved. Additionally, nothing in this Agreement
shall prevent another Participant on whose market potential
violative activity took place from conducting its own Proceeding on
a matter. The Participant conducting the Proceeding shall advise the
assigned DOSR. Each Participant agrees, upon request, to make
available promptly all relevant files, records and/or witnesses
necessary to assist another Participant in a Proceeding.
    V. The OSG shall be composed of one representative designated by
each of the Participants (a ``Representative''). Each Participant
shall also designate one or more persons as its alternate
representative(s) (an ``Alternate Representative''). In the absence
of the Representative, the Alternate Representative shall assume the
powers, duties and responsibilities of the Representative. Each
Participant may at any time replace its Representative and/or its
Alternate Representative to the Group.\3\ A majority of the OSG
shall constitute a quorum and, unless otherwise required, the
affirmative vote of a majority of the Representatives present (in
person, by telephone or by written consent) shall be necessary to
constitute action by the Group.
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    \3\ A Participant must give notice to the Chair of the Group of
such a change.
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    The Group will have a Chair, Vice Chair and Secretary. A
different Participant will assume each position on a rotating basis
for a one-year term. In the event that a Participant replaces a
Representative who is acting as Chair, Vice Chair or Secretary, the
newly appointed Representative shall assume the position of Chair,
Vice Chair, or Secretary (as applicable) vacated by the
Participant's former Representative. In the event a Participant
cannot fulfill its duties as Chair, the Participant serving as Vice
Chair shall substitute for the Chair and complete the subject
unfulfilled term. All notices and other communications for the OSG
are to be sent in care of the Chair and, as appropriate, to each
Representative.
    VI. The OSG shall determine the times and locations of Group
meetings, provided that the Chair, acting alone, may also call a
meeting of the Group in the event the Chair determines that there is
good cause to do so. To the extent reasonably possible, notice of
any meeting shall be given at least ten business days prior to the
meeting date. Representatives shall always be given the option of
participating in any meeting telephonically at their own expense
rather than in person.
    VII. No less frequently than every two years, in such manner as
the Group deems appropriate, the OSG shall allocate Common Members
that conduct an Options business

among the Participants (``Allocation''), and the Participant to
which a Common Member is allocated will serve as the DOSR for that
Common Member. Any Allocation shall be based on the following
principles, except to the extent all affected Participants consent
to one or more different principles:
    (a) The OSG may not allocate a Common Member to a Participant
unless the Common Member is a member of that Participant.
    (b) To the extent practicable, Common Members that conduct an
Options business shall be allocated among the Participants of which
they are members in such manner as to equalize as nearly as possible
the allocation among such Participants, provided that no Common
Members shall be allocated to FINRA. For example, if sixteen Common
Members that conduct an Options business are members only of three
Participants, none of which is FINRA, those Common Members shall be
allocated among the three Participants such that no Participant is
allocated more than six such members and no Participant is allocated
less than five such members. If, in the previous example, one of the
three Participants is FINRA, the sixteen Common Members would be
allocated evenly between the remaining Participants, so that the two
non-FINRA Participants would be allocated eight Common Members each.
    (c) To the extent practicable, Allocation shall take into
account the amount of Options activity conducted by each Common
Member in order to most evenly divide the Common Members with the
largest amount of activity among the Participants of which they are
members. Allocation will also take into account similar allocations
pursuant to other plans or agreements to which the Common Members
are party to maintain consistency in oversight of the Common
Members.\4\
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    \4\ For example, if one Participant was allocated a Common
Member by another regulatory group that Participant would be
assigned to be the DOSR of that Common Member, unless there is good
cause not to make that assignment.
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    (d) To the extent practicable, Allocation of Common Members to
Participants will be rotated among the applicable Participants such
that a Common Member shall not be allocated to a Participant to
which that Common Member was allocated within the previous two
years. The assignment of DOSRs pursuant to the Allocation is
attached as Exhibit B hereto, and will be updated from time to time
to reflect Common Member Allocation changes.
    (e) The Group may reallocate Common Members from time-to-time,
as it deems appropriate.
    (f) Whenever a Common Member ceases to be a member of its DOSR,
the DOSR shall promptly inform the Group, which shall review the
matter and allocate the Common Member to another Participant.
    (g) A DOSR may request that a Common Member to which it is
assigned be reallocated to another Participant by giving 30 days
written notice to the Chair of the OSG. The Group, in its
discretion, may approve such request and reallocate the Common
Member to another Participant.
    (h) All determinations by the Group with respect to Allocation
shall be made by the affirmative vote of a majority of the
Participants that, at the time of such determination, share the
applicable Common Member being allocated; a Participant shall not be
entitled to vote on any Allocation relating to a Common Member
unless the Common Member is a member of such Participant.
    VIII. Each DOSR shall conduct routine surveillance reviews to
detect violations of the applicable Common Rules by each Common
Member allocated to it with a frequency (daily, weekly, monthly,
quarterly, semi-annually or annually as noted on Exhibit A) not less
than that determined by the Group. The other Participants agree
that, upon request, relevant information in their respective files
relative to a Common Member will be made available to the applicable
DOSR. In addition, each Participant shall provide, to the extent not
otherwise already provided, information pertaining to its
surveillance program that would be relevant to FINRA or the
Participant(s) conducting routine examinations for the delta hedging
exemption.
    At each meeting of the OSG, each Participant shall be prepared
to report on the status of its surveillance program for the previous
quarter and any period prior thereto that has not previously been
reported to the Group. In the event a DOSR believes it will not be
able to complete its Regulatory Responsibility for its allocated
Common Members, it will so advise the Group in writing promptly. The
Group will undertake to remedy this situation by reallocating the
subject Common Members among the remaining Participants. In such
instance, the Group may determine to impose a regulatory fee for
services provided to the DOSR that was unable to fulfill its
Regulatory Responsibility.
    IX. Each Participant will, upon request, promptly furnish a copy
of the report or applicable portions thereof relating to any
investigation made pursuant to the provisions of this Agreement to
each other Participant of which the Common Member under
investigation is a member.
    X. Each Participant will routinely populate a common database,
to be accessed by the Group relating to any formal regulatory action
taken during the course of a Proceeding with respect to the Common
Rules concerning a Common Member.
    XI. Any written notice required or permitted to be given under
this Agreement shall be deemed given if sent by certified mail,
return receipt requested, to any Participant to the attention of
that Participant's Representative, to the Participant's principal
place of business or by email at such address as the Representative
shall have filed in writing with the Chair.
    XII. The costs incurred by each Participant in discharging its
Regulatory Responsibility under this Agreement are not reimbursable.
However, any of the Participants may agree that one or more will
compensate the other(s) for costs incurred.
    XIII. The Participants shall notify the Common Members of this
Agreement by means of a uniform joint notice approved by the Group.
Each Participant will notify the Common Members that have been
allocated to it that such Participant will serve as DOSR for that
Common Member.
    XIV. This Agreement shall be effective upon approval of the
Commission. This Agreement may only be amended in writing duly
approved by each Participant. All amendments to this Agreement,
excluding changes to Exhibits A, B and C, must be filed with and
approved by the Commission.
    XV. Any Participant may manifest its intention to cancel its
participation in this Agreement at any time upon providing written
notice to (i) the Group six months prior to the date of such
cancellation, or such other period as all the Participants may
agree, and (ii) the Commission. Upon receipt of the notice the Group
shall allocate, in accordance with the provisions of this Agreement,
those Common Members for which the canceling Participant was the
DOSR. The canceling Participant shall retain its Regulatory
Responsibility and other rights, privileges and duties pursuant to
this Agreement until the Group has completed the reallocation as
described above, and the Commission has approved the cancellation.
    XVI. The cancellation of its participation in this Agreement by
any Participant shall not terminate this Agreement as to the
remaining Participants. This Agreement will only terminate following
notice to the Commission, in writing, by the then Participants that
they intend to terminate the Agreement and the expiration of the
applicable notice period. Such notice shall be given at least six
months prior to the intended date of termination, or such other
period as all the Participants may agree. Such termination will
become effective upon Commission approval.
    XVII. Participation in the Group shall be strictly limited to
the Participants and no other party shall have any right to attend
or otherwise participate in the Group except with the unanimous
approval of all Participants. Notwithstanding the foregoing, any
national securities exchange registered with the SEC under Section
6(a) of the Act or any national securities association registered
with the SEC under section 15A of the Act may become a Participant
to this Agreement provided that: (i) Such applicant has adopted
rules substantially similar to the Common Rules, and received
approval thereof from the SEC; (ii) such applicant has provided each
Participant with a signed statement whereby the applicant agrees to
be bound by the terms of this Agreement to the same effect as though
it had originally signed this Agreement and (iii) an amended
agreement reflecting the addition of such applicant as a Participant
has been filed with and approved by the Commission.
    XVIII. This Agreement is wholly separate from the multiparty
Agreement made pursuant to Rule 17d-2 by and among the American
Stock Exchange, LLC, the Boston Stock Exchange, Inc., the Chicago
Board Options Exchange, Inc., the International Securities Exchange,
LLC, Financial Industry Regulatory Authority, The NASDAQ Stock
Market LLC, Inc., the New York Stock Exchange, LLC, the NYSE Arca,
Inc., and the Philadelphia Stock Exchange, Inc. involving the
allocation of regulatory responsibilities with respect to common
members for

compliance with common rules relating to the conduct by broker-
dealers of accounts for listed options or index warrants entered
into on June 5, 2008, and as may be amended from time to time.

Limitation of Liability

    No Participant nor the Group nor any of their respective
directors, governors, officers, employees or representatives shall
be liable to any other Participant in this Agreement for any
liability, loss or damage resulting from or claimed to have resulted
from any delays, inaccuracies, errors or omissions with respect to
the provision of Regulatory Responsibility as provided hereby or for
the failure to provide any such Regulatory Responsibility, except
with respect to such liability, loss or damages as shall have been
suffered by one or more of the Participants and caused by the
willful misconduct of one or more of the other Participants or its
respective directors, governors, officers, employees or
representatives. No warranties, express or implied, are made by the
Participants, individually or as a group, or by the OSG with respect
to any Regulatory Responsibility to be performed hereunder.

Relief From Responsibility

    Pursuant to Section 17(d)(1)(A) of the Exchange Act and Rule
17d-2, the Participants join in requesting the Commission, upon its
approval of this Agreement or any part thereof, to relieve the
Participants that are party to this Agreement and are not the DOSR
as to a Common Member of any and all Regulatory Responsibility with
respect to the matters allocated to the DOSR.

EXHIBIT A: COMMON RULES

    Violation I--Expiring Exercise Declarations (EED)--For Listed Equity Options Expiring: The Third Saturday
                  Following the Third Friday of a Month, Quarterly, and for Listed FLEX Options
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                SRO                     Description of rule      Exchange rule No.       Frequency of  review
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NYSE Amex..........................  Exercise of Options       Rule 980.............  At Expiration.
                                      Contracts.
BATS...............................  Exercise of Options       Rule 23.1............  At Expiration.
                                      Contracts.
BOX................................  Exercise of Options       Rule 9000............  At Expiration.
                                      Contracts.
Nasdaq OMX B[O]X...................  Exercise of Options       Chapter VII, Section   At Expiration.
                                      Contracts.                1.
C2.................................  Exercise of Options       Rule 11.1............  At Expiration.
                                      Contracts.
CBOE...............................  Exercise of Options       Rule 11.1............  At Expiration.
                                      Contracts.
FINRA..............................  Exercise of Options       Rule 2360(b)(23).....  At Expiration.
                                      Contracts.
ISE................................  Exercise of Options       Rule 1100............  At Expiration.
                                      Contracts.
Nasdaq.............................  Exercise of Options       Nasdaq Chapter VIII,   At Expiration.
                                      Contracts.                Sec. 1.
NYSE Arca..........................  Exercise of Options       Rule 6.24............  At Expiration.
                                      Contracts.
NASDAQ OMX PHLX....................  Exercise of Equity        Rule 1042............  At Expiration.
                                      Options Contracts.
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 Violation II--Position Limits (PL)--For Listed Equity Options Expiring: The Third Saturday Following the Third
                                          Friday of a Month, Quarterly
----------------------------------------------------------------------------------------------------------------
                                     Description of rule (for
                SRO                   review as they apply to    Exchange rule No.       Frequency of  review
                                                PL)
----------------------------------------------------------------------------------------------------------------
NYSE Amex..........................  Position Limits           Rule 904.............  Daily.
                                      (includes exemptions).
                                     Liquidating Positions...  Rule 907.............  As Needed.
BATS...............................  Position Limits.........  Rule 18.7............  Daily.
                                     Exemptions from Position  Rule 18.8............  As Needed.
                                     Liquidation Positions...  Rule 18.11...........  As Needed.
BOX................................  Position Limits.........  Rule 3120............  Daily.
                                     Exemptions from Position  Rule 3130............  As Needed.
                                     Liquidation Positions...  Rule 3160............  As Needed.
Nasdaq OMX B[O]X...................  Position Limits.........  Chapter III, Section   Daily.
                                                                7.
                                     Exemptions from Position  Chapter III, Section   As Needed.
                                      Limits.                   8.
                                     Liquidation Positions...  Chapter III, Section   As Needed.
                                                                11.
C2.................................  Position Limits.........  Rule 4.11............  Daily.
                                     Liquidation of Positions  Rule 4.14............  As Needed.
CBOE...............................  Position Limits.........  Rule 4.11............  Daily.
                                     Liquidation of Positions  Rule 4.14............  As Needed.
FINRA..............................  Position Limits.........  Rule 2360(b)(3)......  Daily.
                                     Liquidation of Positions  Rule 2360(b)(6)......  As Needed.
                                      and Restrictions on
                                      Access.
ISE................................  Position Limits.........  Rule 412.............  Daily.
                                     Exemptions from Position  Rule 413.............  As Needed.
                                      Limits.
                                     Liquidating Positions...  Rule 416.............  As Needed.
Nasdaq.............................  Position Limits.........  Nasdaq Rule Chapter    Daily.
                                                                III Section 7.
                                     Exemptions from Position  Nasdaq Rule Chapter    As Needed.
                                      Limits.                   III Section 8.
                                     Liquidating Positions...  Nasdaq Rule Chapter    As Needed.
                                                                III Section 11.
NYSE Arca..........................  Position Limits           Rule 6.8.............  Daily.
                                      (includes exemptions).
                                     Liquidation of Position.  Rule 6.7.............  As Needed.
NASDAQ OMX PHLX....................  Position Limits.........  Rule 1001............  Daily.
                                     Liquidation of Positions  Rule 1004............  As Needed
----------------------------------------------------------------------------------------------------------------

             Violation III--Large Options Position Report (LOPR)--For Listed Equity and ETF Options
----------------------------------------------------------------------------------------------------------------
                                     Description of rule (for
                SRO                   review as they apply to    Exchange rule No.       Frequency of  review
                                               LOPR)
----------------------------------------------------------------------------------------------------------------
NYSE Amex..........................  Reporting of Options      Rule 906.............  Yearly.
                                      Positions.
BATS...............................  Reports Related to        Rule 18.10...........  Yearly.
                                      Position Limits.

BOX................................  Reports Related to        Rule 3150............  Yearly.
                                      Position Limits.
Nasdaq OMX B[O]X...................  Reports Related to        Chapter III, Section   Yearly.
                                      Position Limits.          10.
C2.................................  Reports Related to        Rule 4.13(a),........  Yearly.
                                      Position Limits.
                                     Reports Related to        Rule 4.13(b).........  Yearly.
                                      Position Limits.
                                     Reports Related to        Rule 4.13(d).........  Yearly.
                                      Position Limits.
CBOE...............................  Reports Related to        Rule 4.13(a),........  Yearly.
                                      Position Limits.
                                     Reports Related to        Rule 4.13(b).........  Yearly.
                                      Position Limits.
                                     Reports Related to        Rule 4.13(d).........  Yearly.
                                      Position Limits.
FINRA..............................  Options.................  Rule 2360(b)(5)......  Yearly.
ISE................................  Reports Related to        Rule 415.............  Yearly.
                                      Position Limits.
Nasdaq.............................  Reports Related to        Chapter III Section    Yearly.
                                      Position Limits.          10.
NYSE Arca..........................  Reporting of Options      Rule 6.6.............  Yearly.
                                      Positions.
NASDAQ OMX PHLX....................  Reporting of Options      Rule 1003............  Yearly.
                                      Positions.
----------------------------------------------------------------------------------------------------------------

                       Violation IV--Options Clearing Corporation (OCC) Adjustment Process
----------------------------------------------------------------------------------------------------------------
                                      Description of rule (as
                                         they apply to OCC
                SRO                     Adjustments/By-laws      Exchange rule No.       Frequency of  review
                                        Article VI, Section
                                         1.01(a) and .02))
----------------------------------------------------------------------------------------------------------------
NYSE Amex..........................  Business Conduct........  Rule 16..............  Yearly.
BATS...............................  Adherence to Law........  Rule 18.1............  Yearly.
BOX................................  Adherence to Law........  Rule 3010............  Yearly.
Nasdaq OMX B[O]X...................  Adherence to Law........  Chapter III, Section   Yearly.
                                                                1.
C2.................................  Adherence to Law........  Rule 4.2.............  Yearly.
CBOE...............................  Adherence to Law........  Rule 4.2.............  Yearly.
FINRA..............................  Violation of By-Laws and  Rule 2360(b)(21).....  Yearly.
                                      Rules of FINRA or the
                                      OCC.
ISE................................  Adherence to Law........  Rule 401.............  Yearly.
Nasdaq.............................  Adherence to Law........  Chapter III, Section   Yearly.
                                                                1.
NYSE Arca..........................  Adherence to Law and      Rule 11.1............  Yearly.
                                      Good Business Practice.
NASDAQ OMX PHLX....................  Violation of By-Laws and  Rule 1050............  Yearly.
                                      Rules of OCC.
----------------------------------------------------------------------------------------------------------------

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number 4-551 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-551. 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 plan that are filed with the
Commission, and all written communications relating to the proposed
plan 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 the plan also will be available for inspection and
copying at the principal offices of Amex, BATS, C2, CBOE, ISE, FINRA,
Arca, NASDAQ, BOX, BX and Phlx. 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 4-551 and should be submitted on or before June 8, 2012.

V. Discussion

    The Commission continues to believe that the Plan, as proposed to
be amended, is an achievement in cooperation among the SRO
participants. The Plan, as amended, will reduce unnecessary regulatory
duplication by allocating to the designated SRO the responsibility for
certain options-related market surveillance matters that would
otherwise be performed by multiple SROs. The Plan promotes efficiency
by reducing costs to firms that are members of more than one of the SRO
participants. In addition, because the SRO participants coordinate
their regulatory functions in accordance with the Plan, the Plan
promotes, and will continue to promote, investor protection. Under
paragraph (c) of Rule 17d-2, the Commission may, after appropriate
notice and comment, declare a plan, or any part of a plan, effective.
In this instance, the Commission believes that appropriate notice and
comment can take place after the proposed amendment is effective. The
purpose of the amendment is to add BOX as a Participant to the Plan. By
declaring it effective today, the amended Plan can become effective and
be implemented without undue delay.\15\ In addition, the Commission
notes that the prior version of this Plan was

published for comment, and the Commission did not receive any comments
thereon.\16\ Finally, the Commission does not believe that the
amendment to the Plan raises any new regulatory issues that the
Commission has not previously considered.
---------------------------------------------------------------------------

    \15\ On April 27, 2012, the Commission granted BOX's application
for registration as a national securities exchange. See Securities
Exchange Act Release No. 66871 (April 27, 2012), 77 FR 26323 (May 3,
2012).
    \16\ See supra note 14 (citing to Securities Exchange Act
Release No. 61588).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the amended Plan submitted to the
Commission that is contained in File No. 4-551.
    It is therefore ordered, pursuant to Section 17(d) of the Act, 16
that the Plan, as amended by and between the Amex, BATS, C2, CBOE, ISE,
FINRA, Arca, NASDAQ, BOX, BX and Phlx filed with the Commission
pursuant to Rule 17d-2 on May 2, 2012 is hereby approved and declared
effective.
    It is further ordered that those SRO participants that are not the
DOSR as to a particular common member are relieved of those regulatory
responsibilities allocated to the common member's DOSR under the
amended Plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------

    \17\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-12019 Filed 5-17-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 74 (Tuesday, April 20, 2021)]
[Rules and Regulations]
[Pages 20445-20448]
[FR Doc No: 2021-08058]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2019-1071; Project Identifier AD-2019-NM-165-AD;
Amendment 39-21494; AD 2021-07-17]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: The FAA is adopting a new airworthiness directive (AD) for all
The Boeing Company Model 737-900ER series airplanes. This AD was
prompted by reports of significant corrosion of electrical connectors
located in the main landing gear (MLG) wheel well. This AD requires
repetitive records checks to determine exposure to certain deicing
fluids or repetitive inspections for corrosion of the electrical
connectors, and corrective actions if necessary. The FAA is issuing
this AD to address the unsafe condition on these products.

DATES: This AD is effective May 25, 2021.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of May 25,
2021.

ADDRESSES: For service information identified in this final rule,
contact Boeing Commercial Airplanes, Attention: Contractual & Data
Services (C&DS), 2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA
90740-5600; telephone<PHONE_NUMBER>; internet https://www.myboeingfleet.com. You may view this service information at the
FAA, Airworthiness Products Section, Operational Safety Branch, 2200
South 216th St., Des Moines, WA. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>. It is also available on
the internet at https://www.regulations.gov by searching for and
locating Docket No. FAA-2019-1071.

Examining the AD Docket

    You may examine the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-2019-
1071; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this final rule, any comments received, and other information. The
address for Docket Operations is 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: Julio C. Alvarez, Aerospace Engineer,
Systems and Equipment Section, FAA, Seattle ACO Branch, 2200 South
216th St., Des Moines, WA 98198; phone and fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    The FAA issued a notice of proposed rulemaking (NPRM) to amend 14
CFR part 39 by adding an AD that would apply to all The Boeing Company
Model 737-900ER series airplanes. The NPRM published in the Federal
Register on January 10, 2020 (85 FR 1290). The NPRM was prompted by
reports of significant corrosion of electrical connectors located in
the MLG wheel well. The NPRM proposed to require repetitive records
checks to determine exposure to certain deicing fluids or repetitive
inspections for corrosion of the electrical connectors, and corrective
actions if necessary.
    The FAA is issuing this AD to address corrosion and subsequent
moisture ingress that may lead to electrical shorting of the connectors
and incorrect functioning of critical systems necessary for safe flight
and landing.

Comments

    The FAA gave the public the opportunity to participate in
developing this final rule. The following presents the comments
received on the NPRM and the FAA's response to each comment.

Support for the NPRM

    Air Line Pilots Association, International (ALPA) and two other
commenters supported the NPRM.

Request To Revise Resistance Values

    Boeing requested that Boeing Alert Service Bulletin 737-24A1148,
Revision 1, dated July 10, 2003, which incorrectly specified a maximum
electrical bonding resistance of 5 milliohms for aluminum and 10
milliohms for stainless steel, be replaced with Boeing Alert Service
Bulletin 737-24A1148, Revision 2, dated September 14, 2020, which
updates the maximum allowable resistance values to 3 milliohms for both
aluminum and stainless steel, per AWL No. 28-AWL-04, as identified in
Subsection G of Boeing Temporary Revision (TR) 09-020, dated March
2008, to the Boeing 737-600/700/800/900 Maintenance Planning Document
(MPD), D626A001-Certification Maintenance Requirements (CMR), Revision
March 2008. Boeing also advised that operators who have incorporated
Boeing Alert Service Bulletin 737-24A1148, Revision 1, dated July 10,
2003, should restore the fuel quantity indicating system (FQIS)
aluminum and stainless steel connectors to a maximum resistance of 3
milliohms at the next inspection interval per Boeing Alert Service
Bulletin 737-24A1148, Revision 2, dated September 14, 2020. Boeing
observed that the maximum allowable resistance values of 5 milliohms
(aluminum) and 10 milliohms (stainless steel) specified in Boeing Alert
Service Bulletin 737-24A1148, Revision 1, dated July 10, 2003, are
greater than the values specified in AWL No. 28-AWL-04, and that the
proposed AD is in conflict with

AD 2008-10-10 R1, Amendment 39-16164 (75 FR 1529, January 12, 2010) (AD
2008-10-10 R1), and AD 2018-20-24, Amendment 39-19458 (83 FR 51815,
October 15, 2018) (AD 2018-20-24), both of which reference AWL No. 28-
AWL-04. ADs 2008-10-10 and 2018-20-24 currently require revising the
Airworthiness Limitations (AWLs) section of the Instructions for
Continued Airworthiness by incorporating new limitations for fuel tank
systems to satisfy Special Federal Aviation Regulation No. 88 (in 14
CFR part 21) for FQIS connectors in unpressurized area. The critical
design configuration control limitations (CDCCLs) require that if the
FQIS connector D4850 is disturbed or repaired, the electrical bonding
resistance value from the backshell to the structure must be 3
milliohms or less.
    The FAA agrees with the request to require the revised service
information, which updates the maximum allowable resistance values to 3
milliohms. These values are consistent with AD 2008-10-10 R1 and AD
2018-20-24 and SFAR No. 88 requirements. The FAA has revised paragraph
(g)(2) of this AD to specify Boeing Alert Service Bulletin 737-24A1148,
Revision 2, dated September 14, 2020, and has also updated the
``Related Service Information under CFR part 51'' paragraph in this
final rule.

Request To Specify Initial Compliance Time

    Delta Air Lines (DAL) suggested that paragraph (g) specify the
compliance time as within 24 months of issuance of the original
certificate of airworthiness or 12 months after the effective date of
this AD, whichever comes later. DAL noted that newer airplanes having
accumulated less than 24 months since the issuance of the original
certificate of airworthiness should not require inspection prior to the
accumulation of 24 months since the issuance of the original
certificate of airworthiness, because these aircraft were in a known
corrosion-free condition upon completion of production. This condition,
DAL asserted, is equivalent to an aircraft that has just been inspected
as required by this AD. DAL maintained that because the repeat interval
after initial inspection given in the proposed rule is 24 months, an
equivalent level of safety would be provided if the initial inspection
were accomplished within 24 months of delivery or 12 months after the
effective date of this AD, whichever occurs later.
    The FAA agrees with the request. An affected airplane that has just
received an original airworthiness certificate or original export
certificate of airworthiness is in a condition equivalent to that of
completing the repetitive inspection; therefore, conducting an initial
inspection within 24 months is appropriate to address the concern of
the AD for that airplane. The initial compliance time specified in
paragraph (g) of this AD has been changed to include this information.

Request To Modify Compliance Times

    DAL suggested that paragraph (g)(2) of the proposed AD be changed
to add a new paragraph (g)(2)(iv) specifying ``If connectors or
contacts show signs of corrosion or connector resistance measurements
are greater than the specified milliohm limit given in Boeing Alert
Service Bulletin 737-24A1148, Revision 1, accomplish appropriate
corrective action(s) prior to further flight in accordance with Boeing
Alert Service Bulletin 737-24A1148, Revision 1.'' DAL observed that the
applicable times specified in paragraphs (g)(2)(i) through (iii) of the
proposed AD are specific to corrosion of the backshells, and that the
proposed AD does not clearly define corrective actions for the
connectors and contacts, which would also be inspected in paragraph
(g)(2) of the proposed AD. DAL contended that the intended action of
the proposed AD is for discrepant connectors and contacts to have
corrective action accomplished prior to further flight.
    The FAA disagrees with the request to modify paragraph (g)(2) of
this AD. The service information adequately specifies when to perform
corrective actions for connectors and contacts. The FAA has not changed
this AD with regard to this request.

Request To Address Discrepancies in NPRM

    DAL noted the following discrepancies with Boeing Alert Service
Bulletin 737-24A1148, Revision 1, dated July 10, 2003: The Work
Instructions, paragraph 3.B of the Accomplishment Instructions,
indicate that the accomplishment instructions are divided into two
parts; however, they are actually divided into three parts. Also, part
3 of the Work Instructions does not give the instruction to remove
electrical power from the airplane, yet Figure 5, Step 10, of the ASB
instructs to restore electrical power. DAL noted that if electrical
power was not removed, it cannot be restored. The FAA infers a request
to address the discrepancies in the proposed AD.
    The FAA agrees with addressing the stated discrepancies in this AD.
The 57 discrepancies have been rectified in Boeing Alert Service
Bulletin 737-24A1148, Revision 2, dated September 14, 2020, and this AD
has been changed to reference that revision.

Request To Include AMOC Notices

    DAL requested that the proposed AD be revised to include references
to two FAA-approved AMOCs to the mandated service information: AMOC
Notice 737-24A1148-AMOC-01, dated May 06, 2013, and FAA AMOC Letter
130S- 09-9, dated April 28, 2009. DAL observed that the AMOCs are
applicable service documentation that should be specifically included
in the final rule to facilitate operators in correctly incorporating
the requirements of the final rule.
    The FAA partially agrees with the request. To facilitate operators
in correctly incorporating the requirements of the final rule,
paragraph (i)(4) of this AD has been changed to include reference to
FAA AMOC Letter 130S-09-9, dated April 28, 2009. However, Boeing AMOC
Notice 737-24A1148-AMOC-01, dated May 6, 2013, has been incorporated
into the revised service bulletin that is mandated by this AD and
therefore is not included in paragraph (i)(4) of this AD.

Request To Give Credit for Previous Actions

    United Airlines (UAL) generally supported the NPRM and requested
that credit be given for actions previously accomplished in their
maintenance inspection program per their publication EA 2400-01516,
addressing Boeing Alert Service Bulletin 737-24A1148, Revision 1, dated
July 10, 2003. UAL stated it has incorporated inspections of its 737-
900ER fleet starting May 2010, using their publication EA 2400-01516.
    The FAA agrees that operators should get credit for performing
actions of Boeing Alert Service Bulletin 737-24A1148, Revision 1, dated
July 10, 2003, referenced in the NPRM. As stated previously, this final
rule has been revised to refer to the latest service bulletin, Boeing
Alert Service Bulletin 737-24A1148, Revision 2, dated September 14,
2020, which contains updated service information to address the unsafe
condition. Operators who previously performed the work before the
effective date of this AD using Boeing Alert Service Bulletin 737-
24A1148, dated December 6, 2001, or Revision 1, dated July 10, 2003,
may receive credit for accomplishment of the initial detailed
inspection specified in paragraph (g)(2) of this AD; however, the
updated FQIS connector D4850 resistance values must be used at the

next repetitive inspection interval, in accordance with Boeing Alert
Service Bulletin 737-24A1148, Revision 2, dated September 14, 2020. The
FAA has added paragraph (h) of this AD to provide credit for Boeing
Alert Service Bulletin 737-24A1148, dated December 6, 2001, and Boeing
Alert Service Bulletin 737-24A1148, Revision 1, dated July 10, 2003.

Effect of Winglets on Accomplishment of the Proposed Actions

    Aviation Partners Boeing stated that the installation of winglets
per Supplemental Type Certificate STC ST00830SE does not affect the
accomplishment of the manufacturer's service instructions. Blended
winglets are part of the production type certificate for the 737-900ER
and are not an STC installation.
    The FAA agrees with the commenter that STC ST00830SE does not
affect the accomplishment of the manufacturer's service instructions.
Therefore, the installation of STC ST00830SE does not affect the
ability to accomplish the actions required by this AD. The FAA has not
changed this AD as a result of this comment.

Conclusion

    The FAA reviewed the relevant data, considered the comments
received, and determined that air safety and the public interest
require adopting this final rule with the changes described previously
and minor editorial changes. The FAA has determined that these minor
changes:
     Are consistent with the intent that was proposed in the
NPRM for addressing the unsafe condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM.
    The FAA also determined that these changes will not increase the
economic burden on any operator or increase the scope of this final
rule.

Related Service Information Under 1 CFR Part 51

    The FAA reviewed Boeing Alert Service Bulletin 737-24A1148,
Revision 2, dated September 14, 2020. This service information
describes procedures for repetitive records checks to determine
exposure to certain deicing fluids or repetitive inspections for
corrosion of the electrical connectors, and corrective actions if
necessary. This service information is reasonably available because the
interested parties have access to it through their normal course of
business or by the means identified in the ADDRESSES section.

Costs of Compliance

    The FAA estimates that this AD affects 346 airplanes of U.S.
registry. The FAA estimates the following costs to comply with this AD:

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost on U.S.
             Action                     Labor cost          Parts cost     Cost per product        operators
----------------------------------------------------------------------------------------------------------------
Repetitive records check.......  1 work-hour x $85 per                $0  $85 per inspection  Up to $29,410 per
                                  hour = $85 per                           cycle.              inspection cycle.
                                  inspection cycle.
Repetitive detailed inspection.  3 work-hours x $85 per               $0  $255 per            Up to $88,230 per
                                  hour = $255 per                          inspection cycle.   inspection cycle.
                                  inspection cycle.
----------------------------------------------------------------------------------------------------------------

    The FAA estimates the following costs to do any necessary repairs
or replacements that would be required based on the results of the
inspection. The FAA has no way of determining the number of aircraft
that might need these repairs or replacements:

                                               On-Condition Costs
----------------------------------------------------------------------------------------------------------------
              Action                       Labor cost                Parts cost             Cost per product
----------------------------------------------------------------------------------------------------------------
Cleaning or replacement..........  Up to 5 work-hours x $85   Up to $831..............  Up to $1,256.
                                    per hour = Up to $425.
----------------------------------------------------------------------------------------------------------------

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.
    The FAA is issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: General requirements.
Under that section, Congress charges the FAA with promoting safe flight
of civil aircraft in air commerce by prescribing regulations for
practices, methods, and procedures the Administrator finds necessary
for safety in air commerce. This regulation is within the scope of that
authority because it addresses an unsafe condition that is likely to
exist or develop on products identified in this rulemaking action.

Regulatory Findings

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

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

2021-07-17 The Boeing Company: Amendment 39-21494 ; Docket No. FAA-
2019-1071; Product Identifier 2019-NM-165-AD.

(a) Effective Date

    This airworthiness directive (AD) is effective May 25, 2021.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all The Boeing Company Model 737-900ER series
airplanes, certificated in any category.

(d) Subject

    Air Transport Association (ATA) of America Code 24, Electrical
power.

(e) Unsafe Condition

    This AD was prompted by reports of significant corrosion of
electrical connectors located in the main landing gear (MLG) wheel
well. The FAA is issuing this AD to address corrosion and subsequent
moisture ingress that may lead to electrical shorting of the
connectors and incorrect functioning of critical systems necessary
for safe flight and landing.

(f) Compliance

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

(g) Required Actions

    Within 24 months after the date of issuance of the original
airworthiness certificate or the date of issuance of the original
export certificate of airworthiness or 12 months after the effective
date of this AD, whichever is later: Do the actions required by
paragraph (g)(1) or (2) of this AD.
    (1) Determine airplane exposure to runway deicing fluids
containing potassium formate or potassium acetate by reviewing
airport data on the types of components in the deicing fluid used at
airports that support airplane operations.
    (i) If the airplane has not been exposed: Repeat the
requirements specified in paragraph (g)(1) of this AD thereafter at
intervals not to exceed 24 months.
    (ii) If the airplane has been exposed: Within 90 days after that
determination is made, do the inspection required by paragraph
(g)(2) of this AD. Repeat the inspection thereafter at intervals not
to exceed 24 months.
    (2) Do a detailed inspection of the electrical connectors,
including the contacts and backshells of the line replaceable unit
(LRU) in the wheel well of the MLG, for corrosion in accordance with
the Accomplishment Instructions of Boeing Alert Service Bulletin
737-24A1148, Revision 2, dated September 14, 2020. Perform
applicable corrective actions at the applicable times, as specified
in paragraphs (g)(2)(i) through (iii) of this AD, in accordance with
the Accomplishment Instructions of Boeing Alert Service Bulletin
737-24A1148, Revision 2, dated September 14, 2020. Repeat the
inspection thereafter at intervals not to exceed 24 months. For the
purposes of this AD, a detailed inspection is defined as an
intensive visual examination of a specific structural area, system,
installation, or assembly to detect damage, failure, or
irregularity. Available lighting is normally supplemented with a
direct source of good lighting at intensity deemed appropriate by
the inspector. Inspection aids such as mirror, magnifying lenses,
etc., may be used. Surface cleaning and elaborate access procedures
may be required.
    (i) If the total backshell surface area corrosion is 10 percent
or less, clean the backshell(s) before further flight.
    (ii) If the total backshell surface area corrosion is greater
than 10 percent but less than 20 percent, replace the connectors and
backshells within 30 days after the detailed inspection.
    (iii) If the total backshell surface area corrosion is 20
percent or more, replace the connectors and backshells before
further flight.

(h) Credit for Previous Actions

    This paragraph provides credit for the initial detailed
inspection and applicable corrective actions specified in paragraph
(g)(2) of this AD, if those actions were performed before the
effective date of this AD using Boeing Alert Service Bulletin 737-
24A1148, dated December 6, 2001, or Boeing Alert Service Bulletin
737-24A1148, Revision 1, dated July 10, 2003.

(i) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Seattle ACO Branch, FAA, has the authority to
approve AMOCs for this AD, if requested using the procedures found
in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your request
to your principal inspector or local Flight Standards District
Office, as appropriate. If sending information directly to the
manager of the certification office, send it to the attention of the
person identified in paragraph (j) of this AD. Information may be
emailed to<EMAIL_ADDRESS>    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office/certificate holding
district office.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair, modification, or alteration required by this AD
if it is approved by The Boeing Company Organization Designation
Authorization (ODA) that has been authorized by the Manager, Seattle
ACO Branch, FAA, to make those findings. To be approved, the repair
method, modification deviation, or alteration deviation must meet
the certification basis of the airplane, and the approval must
specifically refer to this AD.
    (4) FAA AMOC Letter 130S-09-9, dated April 28, 2009, and AMOCs
approved previously for AD 2005-18-23, Amendment 39-14264 (70 FR
54253, September 14, 2005), are approved as AMOCs for the
corresponding provisions of this AD.

(j) Related Information

    For more information about this AD, contact Julio C. Alvarez,
Aerospace Engineer, Systems and Equipment Section, FAA, Seattle ACO
Branch, 2200 South 216th St., Des Moines, WA 98198; phone and fax:
206-231-3657; email<EMAIL_ADDRESS>
(k) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (i) Boeing Alert Service Bulletin 737-24A1148, Revision 2, dated
September 14, 2020.
    (ii) [Reserved]
    (3) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Contractual & Data Services
(C&DS), 2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-
5600; telephone<PHONE_NUMBER>; internet https://www.myboeingfleet.com.
    (4) You may view this service information at the FAA,
Airworthiness Products Section, Operational Safety Branch, 2200
South 216th St., Des Moines, WA. For information on the availability
of this material at the FAA, call<PHONE_NUMBER>.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, email<EMAIL_ADDRESS>or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued on March 29, 2021.
Lance T. Gant,
Director, Compliance & Airworthiness Division, Aircraft Certification
Service.
[FR Doc. 2021-08058 Filed 4-19-21; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 78, Number 157 (Wednesday, August 14, 2013)]
[Notices]
[Pages 49565-49566]
[FR Doc No: 2013-19673]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70141; File No. SR-Phlx-2013-83]

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Delay the
Implementation of the Options Floor Broker Management System Until the
End of September 2013

August 8, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 1, 2013, NASDAQ OMX PHLX LLC (``Phlx'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been prepared by the Exchange. The Commission is publishing this
notice to solicit comments on the proposed rule change from interested
persons.
---------------------------------------------------------------------------

    \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

    The Exchange proposes to delay the implementation of its new
Options Floor Broker Management System.

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

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

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

1. Purpose
    The purpose of the proposal is to delay the implementation of the
Exchange's enhancements to the Options Floor Broker Management System
(``FBMS''). The Exchange received approval to implement the
enhancements as of June 1, 2013,\3\ and delayed implementation until
July 2013.\4\ At this time, the Exchange needs additional time in order
to complete the applicable technology work. Accordingly, the Exchange
seeks to be able to implement the changes by the end of September 2013;
the Exchange will announce the specific date in advance through an
Options Trader Alert.
---------------------------------------------------------------------------

    \3\ Securities Exchange Act Release No. 69471 (April 29, 2013),
78 FR 26096 (May 3, 2013) (SR-Phlx-2013-09).
    \4\ Securities Exchange Act Release No. 69811 (June 20, 2013),
78 FR 38422 (June 26, 2013) (SR-Phlx-2013-67).
---------------------------------------------------------------------------

    Today, FBMS enables Floor Brokers and/or their employees to enter,
route, and report transactions stemming from options orders received on
the Exchange. FBMS also establishes an electronic audit trail for
options orders represented by Floor Brokers on the Exchange. Floor
Brokers can use FBMS to submit orders to Phlx XL, rather than executing
the orders in the trading crowd.
    With the new FBMS, all options transactions on the Exchange
involving at least one Floor Broker would be required to be executed
through FBMS. In connection with order execution, the Exchange will
allow FBMS to execute two-sided orders entered by Floor Brokers,
including multi-leg orders up to 15 legs, after the Floor Broker has
represented the orders in the trading crowd. FBMS will also provide
Floor Brokers with an enhanced functionality called the complex
calculator that will calculate and display a suggested price of each
individual component of a multi-leg order, up to 15 legs, submitted on
a net debit or credit basis.
    The Exchange still intends to implement these enhancements with a
trial period of two to four weeks, to be determined by the Exchange,
during which the new FBMS enhancements and related rules would operate
along with the existing FBMS and rules. The Exchange will announce the
beginning and end of the trial period in advance.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \5\ in general, and furthers the objectives of Section
6(b)(5) of the Act \6\ in particular, in that it is designed to promote
just and equitable principles of trade, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general to protect investors and the public interest,
by enhancing FBMS to make the Exchange's markets more efficient, to the
benefit of the investing public. Although the Exchange needs additional
time to finalize the enhancements, the delay is expected to be short
and will involve advance notice to the Exchange membership.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange continues to
believe, as it stated when proposing these enhancements, that these
enhancements to FBMS should result in the Exchange's trading floor
operating in a more efficient way, which should help it compete with
other floor-based exchanges and help the Exchange's Floor Brokers
compete with floor brokers on other options exchanges.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A)(ii) of the Act \7\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\8\
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(a)(ii).
    \8\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days after the filing.\9\ However, Rule
19b-4(f)(6)(iii) permits the Commission to designate a shorter time if
such time is consistent with the protection of investors and the public
interest. The Exchange has requested that the Commission waive the 30-
day operative delay so that the Exchange can implement the enhancements
once they are ready from a technology perspective. The Commission
believes that the waiver of the 30-day operative delay is consistent
with the protection of investors and the public interest as it will
clarify that the delayed implementation of the FBMS will be effective
and operative immediately. In addition, because the proposal only
delays the implementation date of the FBMS and does not make any
additional changes to the FBMS itself, it does not raise any novel
regulatory issues. Therefore, the Commission designates the proposal
operative upon filing.\10\
---------------------------------------------------------------------------

    \9\ 17 CFR 240.19b-4(f)(6)(iii).
    \10\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2013-83 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2013-83. 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-Phlx-2013-83 and should be
submitted on or before September 4, 2013.

For the Commission, by the Division of Trading and Markets, pursuant
to delegated authority.\11\
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-19673 Filed 8-13-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 188 (Friday, September 29, 2017)]
[Rules and Regulations]
[Page 45514]
[FR Doc No: 2017-21085]

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

National Highway Traffic Safety Administration

49 CFR Part 571

Federal Motor Vehicle Safety Standards

CFR Correction

    In Title 49 of the Code of Federal Regulations, Parts 400 to 571,
revised as of October 1, 2016, on page 319, in Sec.  571.106, standard
S5.3.11 is reinstated to read as follows:

 Sec.  571.106  Standard No. 106; Brake hoses.

* * * * *
    S5. Requirements--hydraulic brake hose, brake hose assemblies, and
brake hose end fittings.
* * * * *
    S5.3.11 Dynamic ozone test. A hydraulic brake hose shall not show
cracks visible without magnification after having been subjected to a
48-hour dynamic ozone test (S6.9).
* * * * *
[FR Doc. 2017-21085 Filed 9-28-17; 8:45 am]
 BILLING CODE 1301-00-D


[Federal Register Volume 76, Number 146 (Friday, July 29, 2011)]
[Proposed Rules]
[Pages 45482-45483]
[FR Doc No: 2011-19142]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R03-OAR-2011-0419; FRL-9445-2]

Approval and Promulgation of Air Quality Implementation Plans;
Pennsylvania; Determinations of Attainment of the 1997 Fine Particle
Standard for the Harrisburg-Lebanon-Carlisle, Johnstown, Lancaster,
York, and Reading Nonattainment Areas

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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

SUMMARY: EPA is proposing to determine that the Harrisburg-Lebanon-
Carlisle (Harrisburg), Johnstown, Lancaster, York, and Reading fine
particle (PM2.5) nonattainment areas (the Areas) in the
Commonwealth of Pennsylvania have attained the 1997 annual
PM2.5 National Ambient Air Quality Standard (NAAQS) by the
applicable attainment date of April 5, 2010. These proposed
determinations are based upon complete, quality assured, and certified
ambient air monitoring data that show these Areas have monitored
attainment of the 1997 annual PM2.5 NAAQS for the 2007-2009
monitoring period. These determinations are being taken in accordance
with the requirements of the Clean Air Act (CAA).
    In the Final Rules section of this Federal Register, EPA is making
these determinations of attainment as a direct final rule without prior
proposal because the Agency views these as noncontroversial actions and
anticipates no adverse comments. A detailed rationale for the
determinations is set forth in the direct final rule. If no adverse
comments are received in response to these actions, no further activity
is contemplated. If EPA receives adverse comments, the direct final
rules will be withdrawn and all public comments received will be
addressed in subsequent final rules based on these proposed rules. EPA
will not institute a second comment period. Any parties

interested in commenting on these actions should do so at this time.

DATES: Comments must be received in writing by August 29, 2011

ADDRESSES: Submit your comments, identified by Docket ID Number EPA-
R03-OAR-2011-0419 by one of the following methods:
    A. http://www.regulations.gov. Follow the on-line instructions for
submitting comments.
    B. E-mail<EMAIL_ADDRESS>    C. Mail: EPA-R03-OAR-2011-0419, Cristina Fernandez, Associate
Director, Office of Air Quality Planning, Mailcode 3AP30, U.S.
Environmental Protection Agency, Region III, 1650 Arch Street,
Philadelphia, Pennsylvania 19103.
    D. Hand Delivery: At the previously-listed EPA Region III address.
Such deliveries are only accepted during the Docket's normal hours of
operation, and special arrangements should be made for deliveries of
boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-R03-OAR-
2011-0419. EPA's policy is that all comments received will be included
in the public docket without change, and may be made available online
at http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through http://www.regulations.gov or e-mail. The http://www.regulations.gov Web site
is an ``anonymous access'' system, which means EPA will not know your
identity or contact information unless you provide it in the body of
your comment. If you send an e-mail comment directly to EPA without
going through http://www.regulations.gov, your e-mail address will be
automatically captured and included as part of the comment that is
placed in the public docket and made available on the Internet. If you
submit an electronic comment, EPA recommends that you include your name
and other contact information in the body of your comment and with any
disk or CD-ROM you submit. If EPA cannot read your comment due to
technical difficulties and cannot contact you for clarification, EPA
may not be able to consider your comment. Electronic files should avoid
the use of special characters, any form of encryption, and be free of
any defects or viruses.
    Docket: All documents in the electronic docket are listed in the
http://www.regulations.gov index. Although listed in the index, some
information is not publicly available, i.e., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, is not placed on the Internet and will be
publicly available only in hard copy form. Publicly available docket
materials are available either electronically in http://www.regulations.gov or in hard copy during normal business hours at the
Air Protection Division, U.S. Environmental Protection Agency, Region
III, 1650 Arch Street, Philadelphia, Pennsylvania 19103.

FOR FURTHER INFORMATION CONTACT: Elizabeth Gaige,<PHONE_NUMBER>, or by
e-mail at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: For further information, please see the
information provided in the direct final actions, with the same title,
``Approval and Promulgation of Air Quality Implementation Plans;
Pennsylvania; Determinations of Attainment of the 1997 Fine Particle
Standard for the Harrisburg-Lebanon-Carlisle, Johnstown, Lancaster,
York, and Reading Nonattainment Areas'' located in the ``Rules and
Regulations'' section of this Federal Register publication. Please note
that if EPA receives adverse comment on an amendment, paragraph, or
section of these rules and if that provision may be severed from the
remainder of the rules, EPA may adopt as final those provisions of the
rules that are not the subject of an adverse comment.

    Dated: July 18, 2011.
W.C. Early,
Acting Regional Administrator, Region III.
[FR Doc. 2011-19142 Filed 7-28-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 86, Number 180 (Tuesday, September 21, 2021)]
[Notices]
[Pages 52453-52454]
[FR Doc No: 2021-20382]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER21-2887-000]

Leicester Street Solar, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
Leicester Street Solar, LLC's application for market-based rate
authority, with an accompanying rate tariff, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is October 5, 2021.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the

proclamation declaring a National Emergency concerning the Novel
Coronavirus Disease (COVID-19), issued by the President on March 13,
2020. For assistance, contact the Federal Energy Regulatory Commission
at<EMAIL_ADDRESS>or call toll-free,<PHONE_NUMBER> or TYY,
(202) 502-8659.

    Dated: September 15, 2021.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2021-20382 Filed 9-20-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 41 (Thursday, March 1, 2012)]
[Notices]
[Pages 12607-12608]
[FR Doc No: 2012-4902]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2011-0035; OMB No. 1660-0008]

Agency Information Collection Activities: Submission for OMB
Review; Comment Request, Elevation Certificate/Floodproofing
Certificate

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: The Federal Emergency Management Agency (FEMA) will submit the
information collection abstracted below 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. The program office made a correction to the
respondents estimated cost mathematical calculation. The estimated cost
to respondents has increased from $1,251,250 to $2,301,250. FEMA
received one comment in response to the previous 60-day Federal
Register Notice published on November 21, 2011.

DATES: Comments must be submitted on or before April 2, 2012.

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 email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Collection of Information

    Title: Elevation Certificate/Floodproofing Certificate.
    Type of information collection: Revision of a currently approved
collection.
    OMB Number: 1660-0008.
    Form Titles and Numbers: FEMA Form 81-31, Elevation Certificate,
FEMA Form 81-65, Floodproofing Certificate.
    Abstract: The Elevation Certificate and Floodproofing Certificate
are used in conjunction with the application for flood insurance. The
certificates are required to properly rate post Flood Insurance Rate
Map (FIRM) structures, which are buildings constructed after the
publication of the initial FIRM or December 31, 1974, for flood
insurance in Special Flood Hazard Areas. In addition, the Elevation
Certificate is needed for pre-FIRM structures, which are buildings
constructed before the initial FIRM or December 31, 1974, that are
being rated under post-FIRM flood insurance rules. The certificates
provide community officials and others standardized documents to
readily record needed building elevation information. National Flood
Insurance Policy policyholders/applicants provide the appropriate
certificate to insurance agents. The certificate is then used in
conjunction with the insurance application so that the building can be
properly rated for flood insurance.
    Affected Public: Individuals and households, Business or other for-
profit, State, Local or Tribal Government.
    Estimated Number of Respondents: 6,575.
    Frequency of Response: On Occasion.
    Estimated Average Hour Burden per Respondent: FEMA Form 81-31,
Elevation Certificate, 3.75 hours; FEMA Form 81-65, Floodproofing
Certificate, 3.25 hours.
    Estimated Total Annual Burden Hours: 24,649 hours.
    Estimated Cost: The estimated cost to respondents for purchasing
professional services required to complete the certificates is
$2,301,250.

    Dated: February 23, 2012.
Anthony M. Bennett,
Acting Director, Records Management Division, Mission Support Bureau,
Federal Emergency Management Agency, Department of Homeland Security.
[FR Doc. 2012-4902 Filed 2-29-12; 8:45 am]
BILLING CODE 9111-42-P