Northeast Multispecies WINDOW PANE FLOUNDER GULF OF MAINE / GEORGES BANK NEFMC No No No N/ A N/ A SOUTHERN NEW ENGLAND / MIDDLE ATLANTIC NEFMC No No Yes N/ A N/ A Northeast Multispecies WINTER FLOUNDER GULF OF MAINE NEFMC Unknown Undefined Unknown N/ A N/ A GEORGES BANK NEFMC No No  rebuilding No continue rebuilding2 not submitted3 SOUTHERN NEW ENGLAND NEFMC No No No N/ A N/ A 28                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Northeast Multispecies SILVER HAKE GULF OF MAINE /

NORTHERN GEORGES BANK NEFMC Unknown No  rebuilding No continue rebuilding2 3/ 10 year plan SOUTHERN GEORGES BANK / MIDDLE ATLANTIC NEFMC Unknown Yes N/ A continue rebuilding 3/ 10 year plan Northeast Multispecies Offshore Hake NEFMC Unknown Unknown Unknown N/ A N/ A Northeast Multispecies RED HAKE GULF OF MAINE /

NORTHERN GEORGES BANK NEFMC No No No N/ A N/ A SOUTHERN GEORGES BANK / MIDDLE ATLANTIC NEFMC No Undefined6 Unknown N/ A N/ A Atlantic Herring ATLANTIC HERRING NEFMC No No No N/ A N/ A Monkfish MONKFISH ( NORTH) NEFMC /

MAFMC Yes No  rebuilding No reduce mortality continue rebuilding2 3/ 10 year plan Monkfish MONKFISH ( SOUTH) MAFMC /

NEFMC Yes Yes N/ A reduce mortality continue rebuilding 3/ 10 year plan Spiny Dogfish SPINY DOGFISH NEFMC /

MAFMC Yes Yes N/ A reduce mortality continue rebuilding 2/ 5 year plan Summer Flounder, Scup, and Black Sea Bass SUMMER FLOUNDER MAFMC Yes No  rebuilding No reduce mortality continue rebuilding2 7/ 10 year plan 29                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Summer Flounder, Scup, and Black Sea Bass SCUP MAFMC Yes Yes N/ A reduce mortality rebuild program disapproved Summer Flounder, Scup, and Black Sea Bass BLACK SEA BASS MAFMC Yes Yes N/ A reduce mortality continue rebuilding 6/ 10 year plan Atlantic Bluefish BLUEFISH ( EXCEPT GULF OF MEXICO) MAFMC No Yes N/ A continue rebuilding 3/ 9 year plan Atlantic Surfclam and Ocean Quahog SURFCLAM MAFMC No Undefined Unknown N/ A N/ A Atlantic Surfclam and Ocean Quahog OCEAN QUOHOG MAFMC No No No N/ A N/ A Atlantic Mackerel, Squid,

and Butterfish SQUID ILLEX MAFMC No Unknown Unknown N/ A N/ A LOLIGO MAFMC No No No N/ A N/ A Atlantic Mackerel, Squid, and Butterfish ATLANTIC MACKEREL MAFMC No No No N/ A N/ A Atlantic Mackerel, Squid, and Butterfish BUTTERFISH ( ATLANTIC) MAFMC No No No N/ A N/ A Tilefish GOLDEN TILEFISH MAFMC Yes Yes N/ A reduce mortality continue rebuilding 1/ 10 year plan South Atlantic Golden Crab GOLDEN CRAB SAFMC No Undefined Unknown N/ A N/ A South Atlantic Shrimp WHITE SHRIMP SAFMC No Unknown Unknown N/ A N/ A South Atlantic Shrimp ROCK SHRIMP SAFMC No Unknown Unknown N/ A N/ A 30                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Shrimp BROWN SHRIMP SAFMC No Unknown Unknown N/ A N/ A South Atlantic Shrimp PINK SHRIMP SAFMC No Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper VERMILION SNAPPER SAFMC Yes Yes N/ A reduce mortality continue rebuilding 3/ 10 year plan**

South Atlantic Snapper Grouper Red Porgy SAFMC Yes Yes N/ A reduce mortality continue rebuilding 2/ 18 year plan**

South Atlantic Snapper Grouper GAG SAFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper RED SNAPPER SAFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper Speckled Hind SAFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper SNOWY GROUPER SAFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper Warsaw Grouper SAFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper GOLDEN TILEFISH SAFMC Yes Yes N/ A reduce mortality continue rebuilding 10/ 15 year plan**

31                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Snapper Grouper YELLOWTAIL SNAPPER SAFMC Yes Yes N/ A reduce mortality continue rebuilding 10/ 10 year plan**

South Atlantic Snapper Grouper RED GROUPER SAFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper Black Grouper SAFMC Yes Yes N/ A reduce mortality continue rebuilding 2/ 15 year plan**

South Atlantic Snapper Grouper BLACK SEA BASS SAFMC Yes Yes N/ A reduce mortality continue rebuilding 2/ 10 year plan**

South Atlantic Snapper Grouper Goliath Grouper ( Jewfish) SAFMC No7 Yes N/ A continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper Nassau Grouper SAFMC No7 Yes N/ A continue rebuilding 11/ 15 year plan**

South Atlantic Snapper Grouper MUTTON SNAPPER SAFMC No No No N/ A N/ A South Atlantic Snapper Grouper GREATER AMBERJACK SAFMC No No No N/ A N/ A South Atlantic Snapper Grouper Wreckfish SAFMC No No Unknown8 N/ A N/ A South Atlantic Snapper Grouper Yellowedge Grouper SAFMC No No Unknown8 N/ A N/ A South Atlantic Snapper Grouper Scamp SAFMC No Unknown Unknown N/ A N/ A 32                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Snapper Grouper WHITE GRUNT SAFMC No Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper GRAY ( MANGROVE) SNAPPER SAFMC No Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Lane Snapper SAFMC No Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper GRAY TRIGGERFISH SAFMC No Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Queen Triggerfish SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Ocean Triggerfish SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Yellow Jack SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper BLUE RUNNER SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper CREVALLE JACK SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Bar Jack SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Lesser Amberjack SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Almaco Jack SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Banded Rudderfish SAFMC Unknown Unknown Unknown N/ A N/ A 33                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Snapper Grouper SPADEFISH SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Black Margate SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Porkfish SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Margate SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Tomtate SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Smallmouth Grunt SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper French Grunt SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Spanish Grunt SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Cottonwick SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Sailors Choice SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper BLUE STRIPE GRUNT SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Hogfish SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Puddingwife SAFMC Unknown Unknown Unknown N/ A N/ A 34                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Snapper Grouper Black Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Queen Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Schoolmaster SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Blackfin Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Cubera Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Mahogany Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Dog Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Silk Snapper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Blueline Tilefish SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Sand Tilefish SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Bank Sea Bass SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Rock Sea Bass SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Rock Hind SAFMC Unknown Unknown Unknown N/ A N/ A 35                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Snapper Grouper Graysby SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Coney SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Red Hind SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Misty Grouper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Yellowmouth Grouper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Tiger Grouper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Yellowfin Grouper SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper SHEEPSHEAD SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Grass Porgy SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Jolthead Porgy SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Saucereye Porgy SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Whitebone Porgy SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Knobbed Porgy SAFMC Unknown Unknown Unknown N/ A N/ A 36                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA South Atlantic Snapper Grouper Longspine Porgy SAFMC Unknown Unknown Unknown N/ A N/ A South Atlantic Snapper Grouper Scup SAFMC Unknown Unknown Unknown N/ A N/ A Atlantic Coast Red Drum RED DRUM SAFMC Yes7 Yes N/ A reduce mortality continue rebuilding year 11 of plan*

South Atlantic Corals9 Fire Corals SAFMC No7 Undefined Unknown N/ A N/ A South Atlantic Corals9 Hydrocorals SAFMC No7 Undefined Unknown N/ A N/ A South Atlantic Corals9 Octocorals SAFMC No7 Undefined Unknown N/ A N/ A South Atlantic Corals9 Stony Corals SAFMC No7 Undefined Unknown N/ A N/ A South Atlantic Corals9 Black Corals SAFMC No7 Undefined Unknown N/ A N/ A Gulf of Mexico Stone Crab STONE CRAB GMFMC No No No N/ A N/ A Gulf of Mexico Shrimp BROWN SHRIMP GMFMC No No No N/ A N/ A Gulf of Mexico Shrimp PINK SHRIMP GMFMC No No No N/ A N/ A Gulf of Mexico Shrimp WHITE SHRIMP GMFMC No No No N/ A N/ A 37                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Gulf of Mexico Shrimp ROYAL RED SHRIMP GMFMC No Undefined Unknown N/ A N/ A Gulf of Mexico Corals10 Fire Corals GMFMC No7 Undefined Unknown N/ A N/ A Gulf of Mexico Corals10 Hydrocorals GMFMC No7 Undefined Unknown N/ A N/ A Gulf of Mexico Corals10 Octocorals GMFMC No7 Undefined Unknown N/ A N/ A Gulf of Mexico Corals10 Stony Corals GMFMC No7 Undefined Unknown N/ A N/ A Gulf of Mexico Corals10 Black Corals GMFMC No7 Undefined Unknown N/ A N/ A Gulf of Mexico / South Atlantic Spiny Lobster SPINY LOBSTER SAFMC /

GMFMC No No No N/ A N/ A Gulf of Mexico / South Atlantic Spiny Lobster Slipper Lobster SAFMC /

GMFMC Undefined Undefined Unknown N/ A N/ A Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic KING MACKEREL GULF GROUP SAFMC /

GMFMC No Yes N/ A continue rebuilding year 16 of plan*

ATLANTIC GROUP SAFMC /

GMFMC No No No N/ A N/ A Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic SPANISH MACKEREL GULF GROUP SAFMC /

GMFMC No No No N/ A N/ A ATLANTIC GROUP SAFMC /

GMFMC No No No N/ A N/ A 38                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic DOLPHIN SAFMC /

GMFMC No No No N/ A N/ A Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic COBIA SAFMC/ GMFMC Unknown Unknown Unknown N/ A N/ A Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic CERO SAFMC /

GMFMC Unknown Unknown Unknown N/ A N/ A Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic LITTLE TUNNY SAFMC /

GMFMC Unknown Unknown Unknown N/ A N/ A Coastal Migratory Pelagics of the Gulf of Mexico and South Atlantic BLUEFISH ( GULF OF MEXICO ONLY) GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico RED SNAPPER GMFMC Yes Yes N/ A reduce mortality continue rebuilding 11/ 29 year plan**

Reef Fish Resources of the Gulf of Mexico RED GROUPER GMFMC Yes Yes N/ A reduce mortality rebuild program under development Reef Fish Resources of the Gulf of Mexico Nassau Grouper GMFMC No7 Yes N/ A continue rebuilding year 4 of plan*

Reef Fish Resources of the Gulf of Mexico Goliath Grouper ( Jewfish) GMFMC No7 Yes N/ A continue rebuilding year 11 of plan*

Reef Fish Resources of the Gulf of Mexico GREATER AMBERJACK GMFMC No Yes Unknown8 rebuild program not submitted11 39                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Reef Fish Resources of the Gulf of Mexico GAG GMFMC Yes No Yes reduce mortality N/ A Reef Fish Resources of the Gulf of Mexico VERMILION SNAPPER GMFMC Yes Unknown Unknown reduce mortality N/ A Reef Fish Resources of the Gulf of Mexico GRAY TRIGGERFISH GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Lesser Amberjack GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Almaco Jack GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Banded Rudderfish GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Queen Snapper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico MUTTON SNAPPER GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Schoolmaster GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Blackfin Snapper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Cubera Snapper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico GRAY ( MANGROVE) SNAPPER GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Dog Snapper GMFMC Unknown Unknown Unknown N/ A N/ A 40                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Reef Fish Resources of the Gulf of Mexico Mahogany Snapper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico LANE SNAPPER GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Silk Snapper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico YELLOWTAIL SNAPPER GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Wenchman GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Goldface Tilefish GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico BLACKLINE TILEFISH GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Anchor Tilefish GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Blueline Tilefish GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Tilefish GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Rock Hind GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Speckled Hind GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico YELLOWEDGE GROUPER GMFMC Unknown Unknown Unknown N/ A N/ A 41                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Reef Fish Resources of the Gulf of Mexico Red Hind GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Misty Grouper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Warsaw Grouper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Snowy Grouper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico BLACK GROUPER GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Yellowmouth Grouper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Scamp GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Yellowfin Grouper GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Hogfish GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Dwarf Sand Perch GMFMC Unknown Unknown Unknown N/ A N/ A Reef Fish Resources of the Gulf of Mexico Sand Perch GMFMC Unknown Unknown Unknown N/ A N/ A Gulf of Mexico Red Drum RED DRUM GMFMC Yes7 Yes N/ A continue rebuilding year 11 of plan*

Caribbean Spiny Lobster12 SPINY LOBSTER CFMC No No No N/ A N/ A 42                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Nassau Grouper CFMC No7 Yes N/ A continue rebuilding year 11 of plan*

Caribbean Reef Fish13 Goliath Grouper ( Jewfish) CFMC No7 Yes N/ A continue rebuilding year 8 of plan*

Caribbean Reef Fish13 Ocean Surgeonfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Doctorfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Blue Tang CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Frogfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Flamefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Conchfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Trumpetfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Scrawled Filefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Queen Triggerfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Whitespotted Filefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Ocean Triggerfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Black Durgon CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sargassum Triggerfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Redlip Blenny CFMC Unknown Unknown Unknown N/ A N/ A 43                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Peacock Flounder CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellow Jack CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Blue Runner CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Horse eye Jack CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Black Jack CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Bar Jack CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Greater Amberjack CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Almaco Jack CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Longsnout Butterflyfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Foureye Butterflyfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Spotfin Butterflyfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Banded Butterflyfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Redspotted Hawkfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Flying Gurnard CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Atlantic Spadefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Neon Goby CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Rusty Goby CFMC Unknown Unknown Unknown N/ A N/ A 44                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Royal Gramma CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Porkfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Margate CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Tomtate CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 French Grunt CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 White Grunt CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Bluestriped Grunt CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Squirrelfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Longspine Squirrelfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Blackbar Soldierfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Cardinal Soldierfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Spanish Hogfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Creole Wrasse CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowcheek Wrasse CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowhead Wrasse CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Clown Wrasse CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Puddingwife CFMC Unknown Unknown Unknown N/ A N/ A 45                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Pearly Razorfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Green Razorfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Hogfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Bluehead Wrasse CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Black Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Queen Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Mutton Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Schoolmaster CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Blackfin Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Gray Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Dog Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Mahogany Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Lane Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Silk Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowtail Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Wenchman CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Vermilion Snapper CFMC Unknown Unknown Unknown N/ A N/ A 46                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Blackline Tilefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sand Tilefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellow Goatfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Spotted Goatfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Chain Moray CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Green Moray CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Goldentail Moray CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Batfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Goldspotted Eel CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowhead Jawfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Dusky Jawfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Spotted Trunkfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Honeycomb Cowfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Scrawled Cowfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Trunkfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Smooth Trunkfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Cherubfish CFMC Unknown Unknown Unknown N/ A N/ A 47                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Queen Angelfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Rock Beauty CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Gray Angelfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 French Angelfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sergeant Major CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Blue Chromis CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sunshinefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowtail Damselfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Dusky Damselfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Beaugregory CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Bicolor Damselfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Threespot Damselfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Bigeye CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Glasseye Snapper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Midnight Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Blue Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Striped Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A 48                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Rainbow Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Princess Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Queen Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Redband Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Redtail Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Redfin Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Stoplight Parrotfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 High hat CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Jackknife fish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Spotted Drum CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Scorpionfishes CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Rock Hind CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Graysby CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowedge Grouper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Coney CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Red Hind CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Red Grouper CFMC Unknown Unknown Unknown N/ A N/ A 49                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Misty Grouper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Butter Hamlet CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Swissguard Basslet CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Yellowfin Grouper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Tiger Grouper CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Creole fish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Greater Soapfish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Orangeback Bass CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Lantern Bass CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Tobaccofish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Harlequin Bass CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Chalk Bass CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Caribbean Tonguefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sea Bream CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Jolthead Porgy CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sheepshead Porgy CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Pluma CFMC Unknown Unknown Unknown N/ A N/ A 50                                                                                Fishery Management Plan Stock ( Species in Bold are Major Stocks) Jurisdiction Overfishing?

( Is Fishing Mortality above Threshold?) Overfished?

( Is Biomass below Threshold?) Approaching Overfished Condition? Management Action Required Rebuilding Program Progress Pre SFA Post SFA Pre SFA Post SFA Caribbean Reef Fish13 Seahorses CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Pipefishes CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sand Diver CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Sharpnose Puffer CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Reef Fish13 Porcupinefish CFMC Unknown Unknown Unknown N/ A N/ A Caribbean Queen Conch14 QUEEN CONCH CFMC Yes Yes N/ A reduce mortality continue rebuilding year 5 of plan*


[Federal Register: June 26, 2008 (Volume 73, Number 124)]
[Rules and Regulations]
[Page 36270]
[DOCID:fr26jn08-5]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2008-0161; Airspace Docket No. 08-AEA-14]

Establishment of Class E Airspace; Susquehanna, PA

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule, confirmation of effective date.

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

SUMMARY: This action confirms the effective date of a direct final rule
published in the Federal Register (73 FR 14679) that establishes Class
E Airspace at Susquehanna, PA, to support a new Area Navigation (RNAV)
Global Positioning System (GPS) Special Instrument Approach Procedure
(IAP) that has been developed for medical flight operations into the
Susquehanna High School Heliport.

DATES: Effective 0901 UTC, September 25, 2008. The Director of the
Federal Register approves this incorporation by reference action under
title 1, Code of Federal Regulations, part 51, subject to the annual
revision of FAA Order 7400.9 and publication of conforming amendments.

FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support Group,
Eastern Service Center, Federal Aviation Administration, P.O. Box
20636, Atlanta, Georgia 30320; telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Confirmation of Effective Date

    The FAA published this direct final rule with a request for
comments in the Federal Register on March 19, 2008 (73 FR 14679),
Docket No. FAA 2008-0161; Airspace Docket No. 08-AEA-14. The FAA uses
the direct final rulemaking procedure for a non-controversial rule
where the FAA believes that there will be no adverse public comment.
This direct final rule advised the public that no adverse comments were
anticipated, and that unless a written adverse comment or a written
notice of intent to submit such an adverse comment, were received
within the comment period, the regulation would become effective on
September 25, 2008. No adverse comments were received, and thus this
notice confirms that effective date.
* * * * *

    Issued in College Park, Georgia, on June 4, 2008.
Mark D. Ward,
Manager, Operations Support Group, Eastern Service Center, Air Traffic
Organization.
[FR Doc. E8-14165 Filed 6-25-08; 8:45 am]

BILLING CODE 4910-13-M


[Federal Register Volume 78, Number 172 (Thursday, September 5, 2013)]
[Notices]
[Pages 54715-54718]
[FR Doc No: 2013-21535]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70284; File No. SR-NYSEArca-2013-83]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Relating to
Investments in Leveraged Loans by the Peritus High Yield ETF

August 29, 2013.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on August 21, 2013, NYSE Arca, Inc. (the ``Exchange'' or
``NYSE Arca'') filed with the Securities and Exchange Commission (the
``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\ 15 U.S.C. 78a.
    \3\ 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 reflect a change to the holdings of the
Peritus High Yield ETF to achieve its investment objective to include
leveraged loans. Peritus High Yield ETF is currently listed and traded
on the Exchange under NYSE Arca Equities Rule 8.600. The text of the
proposed rule change is available on the Exchange's Web site at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization
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 those 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 parts of such statements.

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

1. Purpose
    The Commission has approved listing and trading of shares
(``Shares'') of the Peritus High Yield ETF (``Fund'') on the Exchange
under NYSE Arca Equities Rule 8.600) \4\ (``Managed Fund Shares'').\5\
The Shares are offered by AdvisorShares Trust (the ``Trust''), a
statutory trust organized under the laws of the State of Delaware and
registered with the Commission as an open-end management investment
company.\6\ Peritus High Yield ETF is currently listed and traded on
the Exchange under NYSE Arca Equities Rule 8.600.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 63329 (November 17,
2010), 75 FR 71760 (November 24, 2010) (SR-NYSEArca-2010-86)
(``Prior Order''). The notice of filing of SR-NYSEArca-2010-86 was
published in Securities Exchange Act Release No. 63041 (October 5,
2010), 75 FR 62905 (October 13, 2010) (``First Prior Notice''). In
addition, the exchange filed a proposed rule change to reflect a
change to the Fund's holdings to achieve its investment objective to
include equity securities. See Securities Exchange Act Release No.
66818 (April 17, 2012), 77 FR 24233 (April 23, 2012) (SR-NYSEArca-
2012-33) (notice of filing and immediate effectiveness of proposed
rule change (``Second Prior Notice'' and, together with the First
Prior Notice and the Prior Order, the ``Prior Release'')). The Fund
and the Shares are currently in compliance with the listing
standards and other rules of the Exchange and the requirements set
forth in the Prior Release.
    \5\ A Managed Fund Share is a security that represents an
interest in an investment company registered under the Investment
Company Act of 1940 (15 U.S.C. 80a-1) (``1940 Act'') organized as an
open-end investment company or similar entity that invests in a
portfolio of securities selected by its investment advisor
consistent with its investment objectives and policies. In contrast,
an open-end investment company that issues Investment Company Units,
listed and traded on the Exchange under NYSE Arca Equities Rule
5.2(j)(3), seeks to provide investment results that correspond
generally to the price and yield performance of a specific foreign
or domestic stock index, fixed income securities index or
combination thereof.
    \6\ The Trust is registered under the 1940 Act. On October 29,
2012, the Trust filed with the Commission an amendment to its
registration statement on Form N-1A under the Securities Act of 1933
(15 U.S.C. 77a) and the 1940 Act relating to the Fund (File Nos.
333-157876 and 811-22110) (the ``Registration Statement''). The
description of the operation of the Trust and the Fund herein is
based, in part, on the Registration Statement. In addition, the
Commission has issued an order granting certain exemptive relief to
the Trust under the1940 Act. See Investment Company Act Release No.
29291 (May 28, 2010) (File No. 812-13677).
---------------------------------------------------------------------------

    The investment adviser to the Fund is AdvisorShares Investments,
LLC (the ``Adviser''). Peritus I Asset Management, LLC is the Fund's
sub-adviser (``Peritus'' or the ``Sub-Adviser'').
    According to the Registration Statement and as stated in the Prior
Release, the Fund's investment objective is to achieve high current
income with a secondary goal of capital appreciation. The Exchange
proposes to reflect a change to the holdings of the Fund to achieve its
investment objective to include up to 20% of its net assets in
``leveraged loans'', in addition to the other permitted investments set
forth in the Prior Release.\7\ The Adviser represents that the
investment objective of the Fund will not be changing.
---------------------------------------------------------------------------

    \7\ The change to the Fund's holdings to include leveraged loans
will be effective upon filing with the Commission of an amendment to
the Trust's Registration Statement and upon the effectiveness and
operativeness of this proposal.
---------------------------------------------------------------------------

    Leveraged loans will include loans referred to as senior loans,
bank loans and/or floating rate loans. The Fund will invest in such
leveraged loans that the Adviser or Sub-Adviser deems to be highly
liquid with readily available prices. The Fund will invest in leveraged
loans rated C or higher by a credit rating agency registered as a
nationally recognized statistical rating organization (``NRSRO'') with
the Commission (for example, Moody's Investors Service, Inc.), or is
unrated but considered to be of comparable quality by the Adviser or
Sub-Adviser.\8\ The Fund will not invest in leveraged loans that are in
default at time of purchase. The Fund will only invest in U.S. dollar-
denominated leveraged loans. In addition, for investment purposes, the
leveraged loan must have a par amount outstanding of U.S. $150 million
or greater at the time the loan is originally issued.\9\
---------------------------------------------------------------------------

    \8\ In determining whether a security is of ``comparable
quality,'' the Adviser or Sub-Adviser will consider, for example,
whether the borrower of the security has issued other rated
securities; whether the obligations under the security are
guaranteed by another entity and the rating of such guarantor (if
any); whether and (if applicable) how the security is
collateralized; other forms of credit enhancement (if any); the
security's maturity date; liquidity features (if any); relevant cash
flow(s); valuation features; other structural analysis;
macroeconomic analysis; and sector or industry analysis.
    \9\ The Commission previously has approved listing and trading
on NYSE Arca of an issue of Managed Fund Shares that primarily holds
senior loans that include leveraged loans. See Securities Exchange
Act Release No. 69244 (March 27, 2013), 78 FR 19766 (April 2, 2013)
(SR-NYSEArca-2013-08) (order approving listing and trading of SPDR
Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600).
---------------------------------------------------------------------------

    Leveraged loans are borrowings by non-investment grade companies
(i.e., loans rated below Ba1 by Moody's

Investor Service and BBB+ by Standard & Poor's or are non-rated). The
word ``leveraged'' refers to the credit quality of the borrower--a non-
investment grade company--not to any sort of use of leverage or margin
within the loan structure. These are debt obligations that are
structured between the borrower and the lender or lender group. The
terms of the loan are negotiated up front and defined in the credit
agreement. Just as high yield bonds have indentures that govern the
terms of the debt obligation, leveraged loans have credit agreements
that specify the terms, including maturity, prepayment obligations,
financial covenants, and security. The terms of the loan can be
restructured throughout the life of the loan via an amendment process
that requires a certain percentage of holder approval. Once issued,
various pieces of the loan often trade in an active secondary market.
    The four basic features of leveraged loans are as follows:
    1. Seniority in the Capital Structure: Leveraged loans are
generally among the most senior debt obligations in the borrower's
capital structures and, as such, would generally have first priority in
payment.
    2. Security Backing: Leveraged loans are generally secured by the
borrower's assets and operations. This usually includes both the
physical assets as well as other assets of the company. In the case of
a default, the loan holder would have a claim to those assets.
    3. Covenant Protection: Pursuant to the credit agreement governing
the loan, loan holders are usually protected by a variety of covenants.
These covenants can include a maximum leverage test, minimum interest
coverage test, a restricted payments basket potentially limiting
payments for subordinate obligations and dividends, and/or prepayment
criteria. The covenants governing leveraged loans are generally more
restrictive than those governing high yield bonds, providing the loan
holder with added protections.
    4. Floating Rate Interest Payments: These loans generally pay
interest with 3 month LIBOR as the base rate. The structure is usually
a specified spread over the floating LIBOR rate. However, in some cases
a LIBOR floor or ceiling may be specified.
    As stated in the Prior Release, the Fund will not invest in options
contracts, futures contracts or swap agreements. The Fund's investments
will be consistent with its investment objective and will not be used
to enhance leverage.
    As stated in the Prior Release, on each business day, before
commencement of trading in Shares in the Core Trading Session on the
Exchange, the Fund discloses on its Web site the Disclosed Portfolio
that will include, among other portfolio components, leveraged loans,
and that will form the basis for the Fund's calculation of net asset
value (``NAV'') at the end of the business day. The intra-day, closing
and settlement prices of the portfolio securities, including any
leveraged loans held by the Fund, will also be readily available from
the national securities exchanges trading such securities, automated
quotation systems, published or other public sources, or on-line
information services.
    In calculating the Fund's NAV per Share, the Fund's investments
will generally be valued using market valuations.\10\ A market
valuation generally means a valuation (i) obtained from an exchange, a
pricing service, or a major market maker (or dealer), (ii) based on a
price quotation or other equivalent indication of value supplied by an
exchange, a pricing service, or a major market maker (or dealer) or
(iii) based on amortized cost.\11\ The Adviser may use various pricing
services, or discontinue the use of any pricing service, as approved by
the Trust's Board of Trustees from time to time. A price for leveraged
loans obtained from a pricing service based on such pricing service's
valuation matrix may be considered a market valuation. Valuations with
respect to leveraged loans will be based on information supplied by
pricing services or major market makers or dealers, as indicated in (i)
and (ii) above. Any assets or liabilities denominated in currencies
other than the U.S. dollar will be converted into U.S. dollars at the
current market rates on the date of valuation as quoted by one or more
sources.
---------------------------------------------------------------------------

    \10\ Markit will be the primary price source for leveraged loans
in calculating the NAV of the Fund's portfolio.
    \11\ For market valuation purposes, amortized cost will only
apply to securities that have a remaining maturity of 60 days or
less.
---------------------------------------------------------------------------

    In the event that current market valuations are not readily
available or such valuations do not reflect current market value, the
Trust's procedures require that a security's fair value be determined
if a market price is not readily available.\12\ In determining such
value the Adviser or Sub-Adviser may consider, among other things, (i)
Price comparisons among multiple sources, (ii) a review of corporate
actions and news events, and (iii) a review of relevant financial
indicators (e.g., movement in interest rates, market indices, and
prices from the Fund's index providers). In these cases, the Fund's NAV
may reflect certain portfolio securities' fair values rather than their
market prices. Fair value pricing involves subjective judgments and it
is possible that the fair value determination for a security is
materially different than the value that could be realized upon the
sale of the security.
---------------------------------------------------------------------------

    \12\ The Trust's Board of Trustees has established Fair Value
Procedures responsible for the valuation and revaluation of any
portfolio investments for which market quotations or prices are not
readily available. The Fund has implemented procedures designed to
prevent the use and dissemination of material, non-public
information regarding valuation and revaluation of any portfolio
investments.
---------------------------------------------------------------------------

    All representations made in the Prior Release regarding the
availability of information relating to the Shares, trading halts,
trading rules, the Portfolio Indicative Value, and surveillance, among
others, will continue to apply to trading in the Shares.
    Except for the changes noted above, all other representations made
in the Prior Release remain unchanged.\13\ The Fund will continue to
comply with all initial and continued listing requirements under NYSE
Arca Equities Rule 8.600.
---------------------------------------------------------------------------

    \13\ See note 4, supra.
---------------------------------------------------------------------------

2. Statutory Basis
    The basis under the Act for this proposed rule change is the
requirement under Section 6(b)(5) \14\ that an exchange have rules that
are designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to remove
impediments to, and perfect the mechanism of a free and open market
and, in general, to protect investors and the public interest.
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change is designed to
prevent fraudulent and manipulative acts and practices in that the
Shares will be listed and traded on the Exchange pursuant to the
initial and continued listing criteria in NYSE Arca Equities Rule
8.600. The Fund may invest up to 20% of its net assets in leveraged
loans, in addition to the other permitted investments set forth in the
Prior Release. The Fund will invest in such leveraged loans that the
Adviser or Sub-Adviser deems to be highly liquid with readily available
prices. The Fund will invest in leveraged loans rated C or higher by an
NRSRO or is unrated but considered to be of comparable quality by the
Adviser or Sub-Adviser. The Fund will not invest in leveraged loans
that are in default at time of purchase.

The Fund will only invest in U.S. dollar-denominated leveraged loans.
In addition, for investment purposes, the leveraged loan must have a
par amount outstanding of U.S. $150 million or greater at the time the
loan is originally issued. The Adviser represents that the investment
objective of the Fund will not be changing.
    The proposed rule change is designed to promote just and equitable
principles of trade and to protect investors and the public interest in
that the net asset value (``NAV'') per Share is calculated daily and
that the NAV and the Disclosed Portfolio is made available to all
market participants at the same time. The intra-day, closing and
settlement prices of the portfolio securities, including any leveraged
loans held by the Fund, will also be readily available from the
national securities exchanges trading such securities, automated
quotation systems, published or other public sources, or on-line
information services. The Portfolio Indicative Value, as defined in
NYSE Arca Equities Rule 8.600 (c)(3), is disseminated by one or more
major market data vendors at least every 15 seconds during the
Exchange's Core Trading Session. On each business day, before
commencement of trading in Shares in the Core Trading Session on the
Exchange, the Fund discloses on its Web site the Disclosed Portfolio
that will form the basis for the Fund's calculation of NAV at the end
of the business day. Information regarding market price and trading
volume of the Shares is and will be continually available on a real-
time basis throughout the day on brokers' computer screens and other
electronic services, and quotation and last-sale information is
available via the Consolidated Tape Association high-speed line.
Trading in Shares of the Fund will be halted if the circuit breaker
parameters in NYSE Arca Equities Rule 7.12 have been reached or because
of market conditions or for reasons that, in the view of the Exchange,
make trading in the Shares inadvisable. Trading in the Shares is
subject to NYSE Arca Equities Rule 8.600(d)(2)(D), which sets forth
circumstances under which Shares of the Fund may be halted. The Web
site for the Fund includes a form of the prospectus for the Fund and
additional data relating to NAV and other applicable quantitative
information. In addition, as stated in the Prior Release, investors
have ready access to information regarding the Fund's holdings, the
Portfolio Indicative Value, the Disclosed Portfolio, and quotation and
last-sale information for the Shares.
    The proposed rule change is designed to perfect the mechanism of a
free and open market and, in general, to protect investors and the
public interest. As noted in the Prior Release, the Exchange has in
place surveillance procedures relating to trading in the Shares and may
obtain information via the Intermarket Surveillance Group (``ISG'')
from other exchanges that are members of ISG or with which the Exchange
has entered into a comprehensive surveillance sharing agreement. In
addition, as stated in the Prior Notice, investors have ready access to
information regarding the Fund's holdings, the Portfolio Indicative
Value, the Disclosed Portfolio, and quotation and last-sale information
for the Shares. As noted above, the Fund may invest up to 20% of its
net assets in only highly liquid leveraged loans with readily available
prices. The Fund will invest in leveraged loans rated C or higher by an
NRSRO or is unrated but considered to be of comparable quality by the
Adviser or Sub-Adviser. The Fund will not invest in leveraged loans
that are in default at time of purchase. The Fund will only invest in
U.S. dollar-denominated leveraged loans. In addition, for investment
purposes, the leveraged loan must have a par amount outstanding of U.S.
$150 million or greater at the time the loan is originally issued.

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 that is not necessary or appropriate
in furtherance of the purpose of the Act. The Exchange believes that
the proposed rule change, in permitting the Fund to utilize leveraged
loans as part of its portfolio to achieve its investment objective,
will enhance competition among issues of Managed Fund Shares that
invest in leveraged loans.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    Because the 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 prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act\15\ and Rule 19b-
4(f)(6) thereunder.\16\
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78s(b)(3)(A).
    \16\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \17\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b4(f)(6)(iii),\18\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission notes that
waiver of the operative delay would permit the Fund to invest
immediately in leveraged loans that the Sub-Adviser believes will
further the Fund's investment objective to achieve high current income
with a secondary goal of capital appreciation.
---------------------------------------------------------------------------

    \17\ Id.
    \18\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    Under the proposal, the Fund's investments in leveraged loans would
be limited to 20% of its net assets. The Exchange states that the Fund
will not invest in leveraged loans that are in default at time of
purchase and that the Fund will only invest in U.S. dollar-denominated
leveraged loans. In addition, for investment purposes, each leveraged
loan must have a par amount outstanding of U.S. $150 million or greater
at the time the loan is originally issued. The Commission notes that it
has approved the listing and trading of shares of another exchange-
traded fund that principally invests in similar leveraged loans.\19\
The Exchange represents that the Fund's investment objective is not
changing, all other representations made in the Prior Release remain
unchanged, and the Fund will continue to comply with all of the listing
requirements under NYSE Arca Equities Rule 8.600. For the foregoing
reasons, the Commission believes that the proposed change does not
raise novel or unique regulatory issues and is consistent with the
protection of investors and the public interest. Therefore, the
Commission waives the 30-day operative delay requirement and designates
the

proposed rule change as operative upon filing.\20\
---------------------------------------------------------------------------

    \19\ See note 9, supra.
    \20\ 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 such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-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-NYSEArca-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 the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; 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 No. SR-NYSEArca-2013-83 and should be
submitted on or before September 26, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\21\
Kevin M. O'Neill,
Deputy Secretary.
---------------------------------------------------------------------------

    \21\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

[FR Doc. 2013-21535 Filed 9-4-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 44 (Wednesday, March 6, 2019)]
[Notices]
[Page 8138]
[FR Doc No: 2019-04007]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-0017, OMB Control No. 3235-0017]

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736.

Extension:
    Rules 6a-1 and 6a-2, Form 1

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of extension of the
previously approved collection of information provided for in Rule 6a-1
(17 CFR 240.6a-1), Rule 6a-2 (17 CFR 240.6a-2), and Form 1 (17 CFR
249.1) under the Securities Exchange Act of 1934 (``Exchange Act'' or
``Act'') (15 U.S.C. 78a et seq.).
    The Exchange Act sets forth a regulatory scheme for national
securities exchanges. Rule 6a-1 under the Act generally requires an
applicant for initial registration as a national securities exchange to
file an application with the Commission on Form 1. An exchange that
seeks an exemption from registration based on limited trading volume
also must apply for such exemption on Form 1. Rule 6a-2 under the Act
requires registered and exempt exchanges: (1) To amend the Form 1 if
there are any material changes to the information provided in the
initial Form 1; and (2) to submit periodic updates of certain
information provided in the initial Form 1, whether such information
has changed or not. The information required pursuant to Rules 6a-1 and
6a-2 is necessary to enable the Commission to maintain accurate files
regarding the exchange and to exercise its statutory oversight
functions. Without the information submitted pursuant to Rule 6a-1 on
Form 1, the Commission would not be able to determine whether the
respondent has met the criteria for registration (or an exemption from
registration) set forth in Section 6 of the Exchange Act. The
amendments and periodic updates of information submitted pursuant to
Rule 6a-2 are necessary to assist the Commission in determining whether
a national securities exchange or exempt exchange is continuing to
operate in compliance with the Exchange Act.
    Initial filings on Form 1 by new exchanges are made on a one-time
basis. The Commission estimates that it will receive approximately one
initial Form 1 filing per year and that each respondent would incur an
average burden of 880 hours to file an initial Form 1 at an average
internal compliance cost per response of approximately $335,984.
Therefore, the Commission estimates that the annual burden for all
respondents to file the initial Form 1 would be 880 hours (one
response/respondent x one respondent x 880 hours/response) and an
internal compliance cost of $335,984 (one response/respondent x one
respondent x $335,984/response).
    There currently are 21 entities registered as national securities
exchanges. The Commission estimates that each registered or exempt
exchange files nine amendments or periodic updates to Form 1 per year,
incurring an average burden of 25 hours to comply with Rule 6a-2. The
SEC estimates that the average internal compliance cost for a national
securities exchange per response would be approximately $8,365. The
Commission estimates that the annual burden for all respondents to file
amendments and periodic updates to the Form 1 pursuant to Rule 6a-2 is
4,725 hours (21 respondents x 25 hours/response x 9 responses/
respondent per year) and an internal compliance cost of $1,580,985 (21
respondents x $8,365/response x 9 responses/respondent per year).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
    The public may view background documentation for this information
collection at the following website: www.reginfo.gov. Comments should
be directed to: (i) Desk Officer for the Securities and Exchange
Commission, Office of Information and Regulatory Affairs, Office of
Management and Budget, Room 10102, New Executive Office Building,
Washington, DC 20503, or by sending an email to:
<EMAIL_ADDRESS>and (ii) Charles Riddle, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o
Candace Kenner, 100 F Street NE, Washington, DC 20549, or by sending an
email to<EMAIL_ADDRESS>Comments must be submitted to OMB within
30 days of this notice.

    Dated: February 27, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-04007 Filed 3-5-19; 8:45 am]
 BILLING CODE P


[Federal Register Volume 80, Number 13 (Wednesday, January 21, 2015)]
[Rules and Regulations]
[Pages 2813-2815]
[FR Doc No: 2014-30916]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.

========================================================================

Federal Register / Vol. 80, No. 13 / Wednesday, January 21, 2015 /
Rules and Regulations

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2014-0526; Directorate Identifier 2013-NM-141-AD;
Amendment 39-18061; AD 2014-26-10]
RIN 2120-AA64

Airworthiness Directives; Airbus Airplanes

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

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for all
Airbus Model A318, A319, A320, and A321 series airplanes. This AD was
prompted by a determination that the maintenance actions for airplane
systems susceptible to aging must be mandated. This AD requires
revising the maintenance or inspection program to incorporate more
restrictive maintenance requirements and airworthiness limitations. We
are issuing this AD to mitigate the risks associated with aging effects
of airplane systems. Such aging effects could change the
characteristics leading to an increased potential for failure, which
could result in failure of certain life-limited parts, and could reduce
the structural integrity or reduce controllability of the airplane.

DATES: This AD becomes effective February 25, 2015.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of February 25,
2015.

ADDRESSES: You may examine the AD docket on the Internet at http://www.regulations.gov/#!docketDetail;D=FAA-2014-0526; or in person at the
Docket Management Facility, U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC.
    For service information identified in this AD, contact Airbus,
Airworthiness Office--EIAS, 1 Rond Point Maurice Bellonte, 31707
Blagnac Cedex, France; telephone +33 5 61 93 36 96; fax +33 5 61 93 44
51; email<EMAIL_ADDRESS>Internet http://www.airbus.com. You may view this referenced service information at the
FAA, Transport Airplane Directorate, 1601 Lind Avenue SW., Renton, WA.
For information on the availability of this material at the FAA, call
425-227-1221.

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

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 by adding an AD that would apply to all Airbus Model A318,
A319, A320, and A321 series airplanes. The NPRM published in the
Federal Register on August 12, 2014 (79 FR 47028). The NPRM was
prompted by a determination that the maintenance actions for airplane
systems susceptible to aging must be mandated. The NPRM proposed to
require revising the maintenance or inspection program to incorporate
more restrictive maintenance requirements and airworthiness
limitations. We are issuing this AD to mitigate the risks associated
with aging effects of airplane systems. Such aging effects could change
the characteristics leading to an increased potential for failure,
which could result in failure of certain life-limited parts, and could
reduce the structural integrity or reduce controllability of the
airplane.
    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Community, has issued EASA
Airworthiness Directive 2013-0146, dated July 16, 2013 (referred to
after this as the Mandatory Continuing Airworthiness Information, or
``the MCAI''), to correct an unsafe condition on all Airbus Model A318,
A319, A320, and A321 series airplanes. The MCAI states:

    The airworthiness limitations for Airbus aeroplanes are
currently published in Airworthiness Limitations Section (ALS)
documents.
    The airworthiness limitations applicable to the Ageing Systems
Maintenance (ASM) are given in Airbus A318/A319/A320/A320/A321 ALS
Part 4, which is approved by [European Aviation Safety Agency] EASA.
    Revision 01 of AIRBUS A318/A319/A320/A321 ALS Part 4 introduces
more restrictive maintenance requirements and/or airworthiness
limitations. Failure to comply with these instructions could result
in an unsafe condition.
* * * * *
    You may examine the MCAI in the AD docket on the Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2014-0526-0003.

Comments

    We gave the public the opportunity to participate in developing
this AD. We considered the comment received. United Airlines stated it
has no comment on the NPRM (79 FR 47028, August 12, 2014).

Conclusion

    We reviewed the relevant data, considered the comment received, and
determined that air safety and the public interest require adopting
this AD as proposed except for minor editorial changes. We have
determined that these minor changes:
     Are consistent with the intent that was proposed in the
NPRM (79 FR 47028, August 12, 2014) for correcting the unsafe
condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM (79 FR 47028, August 12, 2014).

Costs of Compliance

    We estimate that this AD affects 851 airplanes of U.S. registry. We
also estimate that it will take about 1 work-hour per product to comply
with the basic requirements of this AD. The average labor rate is $85
per work-hour. Based on these figures, we estimate the cost of this AD
on U.S. operators to be $72,335, or $85 per product.

Authority for This Rulemaking

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

Regulatory Findings

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

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov/#!docketDetail;D=FAA-2014-0526; or in person at the
Docket Management Facility between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The AD docket contains this AD, the
regulatory evaluation, any comments received, and other information.
The street address for the Docket Operations office (telephone 800-647-
5527) is in the ADDRESSES section.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

2014-26-10 Airbus: Amendment 39-18061. Docket No. FAA-2014-0526;
Directorate Identifier 2013-NM-141-AD.

(a) Effective Date

    This AD becomes effective February 25, 2015.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Airbus Model A318-111, -112, -121, and -122
airplanes; Model A319-111, -112, -113, -114, -115, -131, -132, and -
133 airplanes; Model A320-111, -211, -212, -214, -231, -232, and -
233 airplanes; and Model A321-111, -112, -131, -211, -212, -213, -
231, and -232 airplanes; certificated in any category; all
manufacturer serial numbers.

(d) Subject

    Air Transport Association (ATA) of America Code 05, Time Limits/
Maintenance Checks.

(e) Reason

    This AD was prompted by a determination that the maintenance
actions for airplane systems susceptible to aging must be mandated.
We are issuing this AD to mitigate the risks associated with the
aging effects of airplane systems. Such aging effects could change
the characteristics leading to an increased potential for failure,
which could result in failure of certain life-limited parts, and
could reduce the structural integrity of the airplane or reduce the
controllability of the airplane.

(f) Compliance

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

(g) Maintenance or Inspection Program Revision

    Within 30 days after the effective date of this AD: Revise the
maintenance or inspection program, as applicable, to incorporate
Airbus A318/A319/A320/A321 Airworthiness Limitations Section, ALS
Part 4, ``Aging Systems Maintenance,'' Revision 01, dated June 15,
2012. The initial compliance time for doing the actions is at the
applicable time specified in Airbus A318/A319/A320/A321
Airworthiness Limitations Section, ALS Part 4, ``Aging Systems
Maintenance,'' Revision 01, dated June 15, 2012; or within 2 weeks
after revising the maintenance or inspection program; whichever
occurs later.

(h) No Alternative Actions or Intervals

    After accomplishing the revision required by paragraph (g) of
this AD, no alternative actions (e.g., inspections) or intervals may
be used unless the actions or intervals are approved as an
alternative method of compliance (AMOC) in accordance with the
procedures specified in paragraph (i) of this AD.

(i) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, FAA, has the authority to approve
AMOCs for this AD, if requested using the procedures found in 14 CFR
39.19. In accordance with 14 CFR 39.19, send your request to your
principal inspector or local Flight Standards District Office, as
appropriate. If sending information directly to the International
Branch, send it to ATTN: Sanjay Ralhan, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue SW., Renton, WA 98057-3356; telephone<PHONE_NUMBER>;
fax<PHONE_NUMBER>. Information may be emailed to<EMAIL_ADDRESS>Before using any approved AMOC, notify your
appropriate principal inspector, or lacking a principal inspector,
the manager of the local flight standards district office/
certificate holding district office. The AMOC approval letter must
specifically reference this AD.
    (2) Contacting the Manufacturer: For any requirement in this AD
to obtain corrective actions from a manufacturer, the action must be
accomplished using a method approved by the Manager, International
Branch, ANM-116, Transport Airplane Directorate, FAA; or the
European Aviation Safety Agency (EASA); or Airbus's EASA Design
Organization Approval (DOA). If approved by the DOA, the approval
must include the DOA-authorized signature.

(j) Related Information

    Refer to Mandatory Continuing Airworthiness Information (MCAI)
EASA Airworthiness Directive 2013-0146, dated July 16, 2013, for
related information. This MCAI may be found in the AD docket on the
Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2014-
0526-0003.

(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 this AD specifies otherwise.
    (i) Airbus A318/A319/A320/A321 Airworthiness Limitations
Section, ALS Part 4, ``Aging Systems Maintenance,'' Revision 01,
dated June 15, 2012. The revision level of this document is
identified on only the title page and in the Record of Revisions.
The revision date is not identified on the title page of this
document.
    (ii) Reserved.
    (3) For service information identified in this AD, contact
Airbus, Airworthiness Office--EIAS, 1 Rond Point Maurice Bellonte,
31707 Blagnac Cedex, France; telephone +33 5 61 93 36 96; fax +33 5
61 93 44 51; email<EMAIL_ADDRESS>Internet http://www.airbus.com.
    (4) You may view this service information at the FAA, Transport
Airplane Directorate, 1601 Lind Avenue SW., Renton, WA. For
information on the availability of this material at the FAA, call
425-227-1221.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Renton, Washington, on December 19, 2014.
Michael Kaszycki,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2014-30916 Filed 1-20-15; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 83, Number 228 (Tuesday, November 27, 2018)]
[Notices]
[Pages 60909-60911]
[FR Doc No: 2018-25740]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84638; File No. SR-NASDAQ-2018-093]

Self-Regulatory Organizations; The Nasdaq Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to
Relocate Registration, Qualification Examination and Continuing
Education Rules

November 20, 2018.
    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 November 14, 2018, The Nasdaq Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I and II below, which Items have been prepared by 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 delete from [sic] the current rules on
Registration, Qualification Examination and Continuing Education
consisting of Rules 1200, 1210, 1220, 1230, 1240 and 1250 (the ``1200
Series'' of rules) and to relocate them into General 4 in the
Exchange's rulebook's (``Rulebook'') shell structure, as new General 4,
Section 1.\3\
---------------------------------------------------------------------------

    \3\ Recently, the Exchange added a shell structure to its
Rulebook with the purpose of improving efficiency and readability
and to align its rules closer to those of its five sister exchanges,
Nasdaq BX, Inc.; Nasdaq PHLX LLC (``Phlx''); Nasdaq ISE, LLC; Nasdaq
GEMX, LLC; and Nasdaq MRX, LLC (``Affiliated Exchanges''). The shell
structure containing General Equity and Options Rules currently
contains eight chapters which, once complete, will apply a common
set of rules to the Affiliated Exchanges. See Securities Exchange
Act Release No. 82175 (November 29, 2017), 82 FR 57494 (December 5,
2017) (SR-NASDAQ-2017-125).
---------------------------------------------------------------------------

    The text of the proposed rule change is available on the Exchange's
website at http://nasdaq.cchwallstreet.com, at the principal office of
the Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for

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

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

1. Purpose
    The Exchange proposes to delete its rules on Registration,
Qualification Examinations and Continuing Education where they are
currently found in the Exchange's Rulebook and relocate them to General
4, Regulation, of the ``General Equity and Options Rules'' in the
Exchange's new shell Rulebook, as new Section 1, Registration,
Qualification and Continuing Education.
    The 1200 Series of rules is a common set of rules among Nasdaq and
the Affiliated Exchanges that were recently adopted on Nasdaq and on
each of the Affiliated Exchanges.\4\ The Nasdaq 1200 Series of rules
will ultimately, after they are relocated and pursuant to subsequent
proposed rule changes by the Affiliated Exchanges, replace the existing
1200 Series of rules as they currently appear in each of the Affiliated
Exchanges' rulebooks, which will incorporate the relocated Nasdaq rules
by reference.\5\
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release Nos. 84386 (October 9,
2018), 83 FR 51988 (October 15, 2018) (SR-Nasdaq-2018-078); 84353
(October 3, 2018), 83 FR 50999 (October 10, 2018) (SR-BX-2018-047);
84352 (October 3, 2018), 83 FR 50981 (October 10, 2018) (SR-Phlx-
2018-61); 84384 (October 9, 2018), 83 FR 52006 (October 15, 2018)
(SR-ISE-2018-82); 84448 (October 18, 2018), 83 FR 53669 (October 24,
2018) (SR-GEMX-2018-33); and 84385 (October 9, 2018), 83 FR 52023
(October 15, 2018) (SR-MRX-2018-31).
    \5\ Due to its trading floor and unique membership structure
which features the concept of a ``member organization,'' the Phlx
1200 Series differs slightly from the 1200 Series adopted on the
remaining Affiliated Exchanges. Consequently, the Phlx 1200 Series
will be amended to conform to the 1200 Series of the other
Affiliated Exchanges prior to incorporating the Nasdaq 1200 Series
of rules into the Phlx rulebook.
---------------------------------------------------------------------------

    The relocation and harmonization of the 1200 Series is part of the
Exchange's continued effort to promote efficiency and conformity of its
rules with those of its Affiliated Exchanges. The Exchange believes
that the placement of the 1200 Series of rules in their new location in
the shell will facilitate the use of the Rulebook by members of the
Exchange who are also members of one or more of the Affiliated
Exchanges. Moreover, the proposed changes will not amend the substance
of the 1200 Series of rules. They will simply renumber the rules by
adding ``General 4, Section 1.'' immediately before the current rule
number. Thus, for example, current Rule 1210 will be redesignated
``General 4, Section 1.1210''. Similarly, current references in the
Rulebook to the ``Rule 1200 Series'' will be changed to the ``General
4, Section 1.1200 Series''. Current Exchange rules--both within the
existing 1200 Series of rules and elsewhere in the Rulebook--that
cross-reference the current 1200 Series of rules will also be updated
to refer to the 1200 Series of rules as renumbered.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\6\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\7\ 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.
The relocation and renumbering of the 1200 Series of rules and the
cross-reference updates are of a non-substantive nature. The proposal
is intended ultimately to facilitate the harmonization of the
Exchange's rules with those of its Affiliated Exchanges.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 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 proposed changes do not
impose a burden on competition because, as previously stated, they are
of a non-substantive nature.

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)(iii) of the Act \8\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\9\
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    \8\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \9\ 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.
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    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days from the date of filing. However, Rule
19b-4(f)(6)(iii) \10\ permits the Commission to designate a shorter
time if such action is consistent with the protection of investors and
the public interest. The Exchange has asked the Commission to waive the
30-day operative delay in order to expedite the Exchange's
reorganization of its Rulebook.\11\ The Exchange asserts the waiver
would help promote efficiency and conformity of its rules with those of
its Affiliated Exchanges. The proposed changes are non-substantive;
they relocate rules that were adopted by Nasdaq in a prior rule filing.
Waiver of the 30-day operative delay will enable Nasdaq to reorganize
its Rulebook without delay. Thus, the Commission believes that the
waiver of the 30-day operative delay is consistent with the public
interest and hereby waives the 30-day operative delay.\12\
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    \10\ 17 CFR 240.19b-4(f)(6)(iii).
    \11\ See supra note 3.
    \12\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NASDAQ-2018-093 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NASDAQ-2018-093. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that 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-NASDAQ-2018-093 and should be submitted on or before
December 18, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
Eduardo A. Aleman,
Assistant Secretary.
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    \13\ 17 CFR 200.30-3(a)(12).
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[FR Doc. 2018-25740 Filed 11-26-18; 8:45 am]
 BILLING CODE 8011-01-P