[Federal Register Volume 76, Number 57 (Thursday, March 24, 2011)]
[Proposed Rules]
[Pages 16582-16587]
[FR Doc No: 2011-6932]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2011-0257; Directorate Identifier 2010-NM-122-AD]
RIN 2120-AA64

Airworthiness Directives; Airbus Model A318, A319, A320, and A321
Series Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to adopt a new airworthiness directive (AD) for the
products listed above that would supersede an existing AD. This
proposed AD results from mandatory continuing airworthiness information
(MCAI) originated by an aviation authority of another country to
identify and correct an unsafe condition on an

aviation product. The MCAI describes the unsafe condition as:

* * * * *
    The issue 10 of Airbus A318/A319/A320/A321 ALI [Airworthiness
Limitation Items] Document and issue 2 of Airbus A319 Corporate Jet
ALI Document introduce more restrictive maintenance requirements/
airworthiness limitations. Failure to comply with this issue 10
constitutes an unsafe condition. * * *
* * * * *

    The unsafe condition is fatigue cracking, accidental damage, or
corrosion in principal structural elements and possible failure of
certain life limited parts, which could result in reduced structural
integrity of the airplane. The proposed AD would require actions that
are intended to address the unsafe condition described in the MCAI.

DATES: We must receive comments on this proposed AD by May 9, 2011.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590.
     Hand Delivery: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-40, 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact
Airbus, Airworthiness Office--EAS, 1 Rond Point Maurice Bellonte, 31707
Blagnac Cedex, France; telephone +33 5 61 93 36 96; fax +33 5 61 93 44
51; e-mail<EMAIL_ADDRESS>Internet http://www.airbus.com. You may review copies of the referenced service
information at the FAA, Transport Airplane Directorate, 1601 Lind
Avenue, SW., Renton, Washington. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Operations office (telephone<PHONE_NUMBER>) is
in the ADDRESSES section. Comments will be available in the AD docket
shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Tim Dulin, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425)
227-2141; fax<PHONE_NUMBER><EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposed AD. Send your comments to an address
listed under the ADDRESSES section. Include ``Docket No. FAA-2011-0257;
Directorate Identifier 2010-NM-122-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD based on those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    On September 21, 2007, we issued AD 2007-20-05, Amendment 39-15215
(72 FR 56262, October 3, 2007). That AD required operators of Airbus
Model A318, A319, A320, and A321 series airplanes to revise the
Airworthiness Limitations Section (ALS) of the Instructions for
Continued Airworthiness to incorporate Sub-part 1-2, ``Life Limits,''
and Sub-part 1-3, ``Demonstrated Fatigue Lives,'' of Airbus A318/A319/
A320/A321 ALS Part 1--Safe Life Airworthiness Limitation Items, dated
February 28, 2006, and for certain airplanes, Airbus A318/A319/A320/
A321 Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96,
Issue 7, dated December 2005; Issue 08, dated March 2006; or Issue 09,
dated November 2006. These actions were intended to address an unsafe
condition on the products listed above.
    Since we issued AD 2007-20-05, we have determined that more
restrictive limitations are necessary. We have also added Model A318-
121 and -122 airplanes to the applicability. The European Aviation
Safety Agency (EASA), which is the Technical Agent for the Member
States of the European Community, has issued EASA Airworthiness
Directive 2010-0071R1, dated May 28, 2010 (referred to after this as
``the MCAI''), to correct an unsafe condition for the specified
products. The MCAI states:

    The airworthiness limitations are currently included in Airbus
A318/A319/A320/A321 Airworthiness Limitations Section (ALS).
    The airworthiness limitations applicable to the Damage Tolerant
Airworthiness Limitation Items (DT ALI) are currently given in
Airbus A318/A319/A320/A321 ALI Document reference AI/SE-M4/95A.0252/
96 and Airbus A319 Corporate Jet ALI Document reference AI/SE-M2/
95A.1038/99, which are approved by the European Aviation Safety
Agency (EASA) and referenced in Airbus Airworthiness Limitations
Section (ALS) Part 2.
    The issue 10 of Airbus A318/A319/A320/A321 ALI Document and
issue 2 of Airbus A319 Corporate Jet ALI Document introduce more
restrictive maintenance requirements/airworthiness limitations.
Failure to comply with this issue 10 constitutes an unsafe
condition.
    EASA AD 2010-0071 retains the requirements of EASA AD 2006-0165,
which is superseded, and requires the implementation of more
restrictive maintenance requirements/airworthiness limitations as
specified in Airbus A318/A319/A320/A321 ALI Document reference AI/
SE-M4/95A.0252/96 issue 10 and Airbus A319 Corporate Jet ALI
Document reference AI/SE-M2/95A.1038/99.
    This AD has been revised to clarify the special compliance times
defined in Table 1 of this AD.

    You may obtain further information by examining the MCAI in the AD
docket.

Relevant Service Information

    Airbus has issued A318/A319/A320/A321 Airworthiness Limitation
Items, Document AI/SE-M4/95A.0252/96, Issue 10, dated October 2009; and
A319 Corporate Jet Airworthiness Limitation Items, Document reference
AI/SE-M2/95A.1038/99, Issue 02, dated March 2009. A319 Corporate Jet
Airworthiness Limitation Items, Document AI/SE-M2/95A.1038/99, Issue
02, dated March 2009, states that the limitations for the Model A319
corporate jets are specified in Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
10, dated October 2009. The actions described in this service
information are intended to correct the unsafe condition identified in
the MCAI.

FAA's Determination and Requirements of This Proposed AD

    This product has been approved by the aviation authority of another

country, and is approved for operation in the United States. Pursuant
to our bilateral agreement with the State of Design Authority, we have
been notified of the unsafe condition described in the MCAI and service
information referenced above. We are proposing this AD because we
evaluated all pertinent information and determined an unsafe condition
exists and is likely to exist or develop on other products of the same
type design.

Differences Between This AD and the MCAI or Service Information

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

Costs of Compliance

    Based on the service information, we estimate that this proposed AD
would affect about 729 products of U.S. registry.
    The actions that are required by AD 2007-20-05 and retained in this
proposed AD take about 1 work-hour per product, at an average labor
rate of $85 per work hour. Based on these figures, the estimated cost
of the currently required actions is $85 per product.
    We estimate that it would take about 1 work-hour per product to
comply with the new basic requirements of this proposed AD. The average
labor rate is $85 per work-hour. Based on these figures, we estimate
the cost of the proposed AD on U.S. operators to be $61,965, 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 proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979),
    (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.

List of Subjects in 14 CFR Part 39

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

The Proposed Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

    2. The FAA amends Sec.  39.13 by removing Amendment 39-15215 (72 FR
56262, October 3, 2007) and adding the following new AD:

Airbus: Docket No. FAA-2011-0257; Directorate Identifier 2010-NM-
122-AD.

Comments Due Date

    (a) We must receive comments by May 9, 2011.

Affected ADs

    (b) This AD supersedes AD 2007-20-05, Amendment 39-15215.

Applicability

    (c) This AD applies to all Airbus Model A318-111, -112, -121,
and -122 airplanes; 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.

    Note 1:  This AD requires revisions to certain operator
maintenance documents to include new inspections. Compliance with
these inspections is required by 14 CFR 91.403(c). For airplanes
that have been previously modified, altered, or repaired in the
areas addressed by these inspections, the operator may not be able
to accomplish the inspections described in the revisions. In this
situation, to comply with 14 CFR 91.403(c), the operator must
request approval for an alternative method of compliance according
to paragraph (n) of this AD. The request should include a
description of changes to the required inspections that will ensure
the continued damage tolerance of the affected structure. The FAA
has provided guidance for this determination in Advisory Circular
(AC) 25.1529-1.

Subject

    (d) Air Transport Association (ATA) of America Code 05: Wings.

Reason

    (e) The mandatory continuing airworthiness information (MCAI)
states:
* * * * *
    The issue 10 of Airbus A318/A319/A320/A321 ALI [Airworthiness
Limitation Items] Document and issue 2 of Airbus A319 Corporate Jet
ALI Document introduce more restrictive maintenance requirements/
airworthiness limitations. Failure to comply with this issue 10
constitutes an unsafe condition. * * *
* * * * *
    The unsafe condition is fatigue cracking, accidental damage, or
corrosion in principal structural elements and possible failure of
certain life limited parts, which could result in reduced structural
integrity of the airplane.

Compliance

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

Restatement of Requirements of AD 2007-20-05

Revise Airworthiness Limitations Section (ALS) To Incorporate Safe Life
ALIs

    (g) For Airbus Model A318-111, and -112 airplanes; 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:
Within 3 months after November 7, 2007 (the effective date of AD
2007-20-05), revise the ALS of the Instructions for Continued
Airworthiness to incorporate Sub-part 1-2, ``Life Limits,'' and Sub-
part 1-3, ``Demonstrated Fatigue Lives,'' of Airbus

A318/A319/A320/A321 ALS Part 1--Safe Life Airworthiness Limitation
Items, dated February 28, 2006. Accomplish the actions in Sub-part
1-2, ``Life Limits,'' and Sub-part 1-3, ``Demonstrated Fatigue
Lives,'' of Airbus A318/A319/A320/A321 ALS Part 1--Safe Life
Airworthiness Limitation Items, dated February 28, 2006, at the
times specified in Sub-part 1-2, ``Life Limits,'' and Sub-part 1-3,
``Demonstrated Fatigue Lives,'' of Airbus A318/A319/A320/A321 ALS
Part 1--Safe Life Airworthiness Limitation Items, dated February 28,
2006, except as provided by paragraph (i) of this AD.

Revise ALS To Incorporate Damage-Tolerant ALIs

    (h) For Airbus Model A318-111, and -112 airplanes; 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,
except Model A319 airplanes on which Airbus Modifications 28238,
28162, and 28342 have been incorporated in production: Within 14
days after November 7, 2007, revise the ALS of the Instructions for
Continued Airworthiness to incorporate Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
7, dated December 2005 (approved by the EASA on February 7, 2006);
Issue 08, dated March 2006 (approved by the EASA on January 4,
2007); or Issue 09, dated November 2006 (approved by the EASA on May
21, 2007). Accomplish the actions in Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
7, dated December 2005; Issue 08, dated March 2006; or Issue 09,
dated November 2006; at the times specified in Airbus A318/A319/
A320/A321 Airworthiness Limitation Items, Document AI/SE-M4/
95A.0252/96, Issue 7, dated December 2005; Issue 08, dated March
2006; or Issue 09, dated November 2006; as applicable; except as
provided by paragraph (i) of this AD. Doing the actions required by
paragraph (j) of this AD terminates the requirements of this
paragraph.

Grace Period for New or More Restrictive Actions

    (i) For Airbus Model A318-111, and -112 airplanes; 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:
For any new of more restrictive life limit introduced with Sub-part
1-2, ``Life Limits,'' and Sub-part 1-3, ``Demonstrated Fatigue
Lives,'' of Airbus A318/A319/A320/A321 ALS Part 1--Safe Life
Airworthiness Limitation Items, dated February 28, 2006, replace the
part at the time specified in Sub-part 1-2, ``Life Limits,'' and
Sub-part 1-3, ``Demonstrated Fatigue Lives,'' of Airbus A318/A319/
A320/A321 ALS Part 1--Safe Life Airworthiness Limitation Items,
dated February 28, 2006, or within 6 months after November 7, 2007,
whichever is later. For any new or more restrictive inspection
introduced with Airbus A318/A319/A320/A321 Airworthiness Limitation
Items, Document AI/SE-M4/95A.0252/96, Issue 7, dated December 2005;
Issue 08, dated March 2006; or Issue 09, dated November 2006; do the
inspection at the time specified Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
7, dated December 2005; Issue 08, dated March 2006; or Issue 09,
dated November 2006; as applicable; or within 6 months after
November 7, 2007, whichever is later.

New Requirements of This AD

Revise ALS To Incorporate Damage-Tolerant ALIs With Revised Compliance
Times

    (j) Within 9 months after the effective date of this AD: Revise
the maintenance program by incorporating all maintenance
requirements and associated airworthiness limitations specified in
the Airbus A318/A319/A320/A321 Airworthiness Limitation Items,
Document AI/SE-M4/95A.0252/96, Issue 10, dated October 2009. Comply
with all applicable maintenance requirements and associated
airworthiness limitations included in Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
10, dated October 2009, except as provided by paragraph (k) of this
AD. Doing the actions required by this paragraph terminates the
requirements of paragraph (h) of this AD.

Special Compliance Times for Certain Tasks

    (k) For new and more restrictive tasks introduced with Airbus
A318/A319/A320/A321 Airworthiness Limitation Items, Document AI/SE-
M4/95A.0252/96, Issue 10, dated October 2009, as specified in Table
1 of this AD: The initial compliance time for doing the tasks is
specified in Table 1 of this AD.

                                     Table 1--Compliance Times for New Tasks
----------------------------------------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
                 Task                     Applicability (as          Compliance time, whichever occurs later
                                           specified in the
                                         applicability column
                                             of the task)
----------------------------------------------------------------------------------------------------------------
545102-01-6..........................  Group 19-1A CFM, Group   The threshold as         Within 2,000 flight
                                        19-1B CFM, and A320-     defined in Airbus A318/  cycles or 5,500 flight
                                        200 CFM/IAE.             A319/A320/A321           hours, after the
                                                                 Airworthiness            effective date of this
                                                                 Limitation Items,        AD, whichever occurs
                                                                 Document AI/SE-M4/       first.
                                                                 95A.0252/96, Issue 10,
                                                                 dated October 2009.
545102-01-7..........................  A320-100...............  The threshold as         Within 2,000 flight
                                                                 defined in Airbus A318/  cycles or 2,000 flight
                                                                 A319/A320/A321           hours, after the
                                                                 Airworthiness            effective date of this
                                                                 Limitation Items,        AD, whichever occurs
                                                                 Document AI/SE-M4/       first.
                                                                 95A.0252/96, Issue 10,
                                                                 dated October 2009.
572050-01-1 or alternative task        Group 19-1A and Group    At the time of the next  Within 6 months after
 572050[dash]02-1.                      19-1B.                   due accomplishment of    the effective date of
                                                                 any one of the tasks     this AD.
                                                                 572004, 572020, or
                                                                 572053 as currently
                                                                 described in the
                                                                 Airbus A318/A319/A320/
                                                                 A321 Airworthiness
                                                                 Limitation Items,
                                                                 Document AI/SE-M4/
                                                                 95A.0252/96, Issue 7,
                                                                 dated December 2005;
                                                                 Issue 08, dated March
                                                                 2006; or Issue 09,
                                                                 dated November 2006.

572050-01-4 or alternative task        A320-200...............  At the time of the next  Within 6 months after
 572050[dash]02-4.                                               due accomplishment of    the effective date of
                                                                 any one of the tasks     this AD.
                                                                 572004, 572020, or
                                                                 572053 as currently
                                                                 described in the
                                                                 Airbus A318/A319/A320/
                                                                 A321 Airworthiness
                                                                 Limitation Items,
                                                                 Document AI/SE-M4/
                                                                 95A.0252/96, Issue 7,
                                                                 dated December 2005;
                                                                 Issue 08, dated March
                                                                 2006; or Issue 09,
                                                                 dated November 2006.
572050-01-5 or alternative task        Group 21-1A............  At the time of the next  Within 6 months after
 572050[dash]02-5.                                               due accomplishment of    the effective date of
                                                                 any one of the tasks     this AD.
                                                                 572004, 572020, or
                                                                 572053 as currently
                                                                 described in the
                                                                 Airbus A318/A319/A320/
                                                                 A321 Airworthiness
                                                                 Limitation Items,
                                                                 Document AI/SE[dash]M4/
                                                                 95A.0252/96, Issue 7,
                                                                 dated December 2005;
                                                                 Issue 08, dated March
                                                                 2006; or Issue 09,
                                                                 dated November 2006.
572050-01-7 or alternative task        A320-100...............  At the time of the next  Within 6 months after
 572050[dash]02-7.                                               due accomplishment of    the effective date of
                                                                 any one of the tasks     this AD.
                                                                 572004, 572020, or
                                                                 572053 as currently
                                                                 described in the
                                                                 Airbus A318/A319/A320/
                                                                 A321 Airworthiness
                                                                 Limitation Items,
                                                                 Document AI/SE[dash]M4/
                                                                 95A.0252/96, Issue 7,
                                                                 dated December 2005;
                                                                 Issue 08, dated March
                                                                 2006; or Issue 09,
                                                                 dated November 2006.
534132-01-1..........................  A320 PRE 30748.........  The threshold/interval   Within 100 days after
                                                                 as defined in Airbus     the effective date of
                                                                 A318/A319/A320/A321      this AD, without
                                                                 Airworthiness            exceeding the previous
                                                                 Limitation Items,        threshold/interval as
                                                                 Document AI/SE-M4/       defined in Airbus A318/
                                                                 95A.0252/96, Issue 10,   A319/A320/A321
                                                                 dated October 2009.      Airworthiness
                                                                                Limitation Items,
                                                                                Document AI/SE-M4/
                                                                                95A.0252/96, Issue 7,
                                                                                dated December 2005;
                                                                                Issue 08, dated March
                                                                                2006; or Issue 09,
                                                                                dated November 2006.
531118-01-1..........................  A318 (except (A318-121   The threshold/interval   Within 100 days after
                                        and -122), Group 19-     as defined in Airbus     the effective date of
                                        1A, Group 19-1B, A320,   A318/A319/A320/A321      this AD, without
                                        A321.                    Airworthiness            exceeding the previous
                                                                 Limitation Items,        threshold/interval as
                                                                 Document AI/SE-M4/       defined in Airbus A318/
                                                                 95A.0252/96, Issue 10,   A319/A320/A321
                                                                 dated October 2009.      Airworthiness
                                                                                Limitation Items,
                                                                                Document AI/SE-M4/
                                                                                95A.0252/96, Issue 7,
                                                                                dated December 2005;
                                                                                Issue 08, dated March
                                                                                2006; or Issue 09,
                                                                                dated November 2006.
531118-01-1..........................  A318-121 and -122......  The threshold/interval   Within 100 days after
                                                                 as defined in Airbus     the effective date of
                                                                 A318/A319/A320/A321      this AD.
                                                                 Airworthiness
                                                                 Limitation Items,
                                                                 Document AI/SE-M4/
                                                                 95A.0252/96, Issue 10,
                                                                 dated October 2009.
----------------------------------------------------------------------------------------------------------------

    Note 2: New ALI Task 572050 refers to the outer wing dry bay and
is comprised of extracts from three ALI Tasks: 572004, 572020 and
572053. The threshold of ALI Task 572050 for the whole dry bay area
is that of the lowest threshold of the source ALI tasks, i.e., that
of ALI Task 572053.

No Alternative Life Limits, Inspections, or Inspection Intervals

    (l) After the actions specified in paragraphs (g) and (h) of
this AD have been accomplished, no alternative life limits,
inspections, or inspection intervals may be used, except as provided
by paragraphs (i) and (m) of this AD, and except as required by
paragraph (j) of this AD.
    (m) After the actions specified in paragraph (j) of this AD have
been accomplished, no alternative life limits, inspections, or
inspection intervals may be used.

FAA AD Differences

    Note 3:  This AD differs from the MCAI and/or service
information as follows: EASA AD requires operators to comply with
the limitations specified in Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
10, dated October 2009; or Airbus A319 Corporate Jet Airworthiness
Limitation Items, Document AI/SE-M2/95A.1038/99, Issue 02, dated
March 2009; as applicable. However,

this AD does not require incorporating Airbus A319 Corporate Jet
Airworthiness Limitation Items, Document AI/SE-M2/95A.1038/99, Issue
02, dated March 2009, because that ALI only specifies compliance
with the limitations specified in Airbus A318/A319/A320/A321
Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96, Issue
10, dated October 2009.

Other FAA AD Provisions

    (n) The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. In accordance with 14 CFR
39.19, send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the International Branch/ACO, send it to Attn: Tim
Dulin, Aerospace Engineer, International Branch, ANM-116, Transport
Airplane Directorate, FAA, 1601 Lind Avenue, SW., Renton, Washington
98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.
Information may be e-mailed 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) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.

Related Information

    (o) Refer to MCAI European Aviation Safety Agency (EASA)
Airworthiness Directive 2010-0071R1, dated May 28, 2010; Airbus
A318/A319/A320/A321 Airworthiness Limitation Items, Document AI/SE-
M4/95A.0252/96, Issue 7, dated December 2005; Airbus A318/A319/A320/
A321 Airworthiness Limitation Items, Document AI/SE-M4/95A.0252/96,
Issue 08, dated March 2006; Airbus A318/A319/A320/A321 Airworthiness
Limitation Items, Document AI/SE-M4/95A.0252/96, Issue 09, dated
November 2006; and Airbus A318/A319/A320/A321 Airworthiness
Limitation Items, Document AI/SE-M4/95A.0252/96, Issue 10, dated
October 2009; for related information.

    Issued in Renton, Washington, on March 15, 2011.
Kalene C. Yanamura,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2011-6932 Filed 3-23-11; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 77, Number 39 (Tuesday, February 28, 2012)]
[Notices]
[Page 12064]
[FR Doc No: 2012-4670]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2012-N-0001]

Radiological Devices Panel of the Medical Devices Advisory
Committee; Notice of Meeting

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

    This notice announces a forthcoming meeting of a public advisory
committee of the Food and Drug Administration (FDA). The meeting will
be open to the public.

    Name of Committee: Radiological Devices Panel of the Medical
Devices Advisory Committee.
    General Function of the Committee: To provide advice and
recommendations to the Agency on FDA's regulatory issues.
    Date and Time: The meeting will be held on April 11 and 12, 2012,
from 8 a.m. to 6 p.m.
    Location: Hilton Washington DC North/Gaithersburg, Salons A, B, C
and D, 620 Perry Pkwy., Gaithersburg, MD 20877. The hotel's telephone
number is<PHONE_NUMBER>.
    Contact Person: Shanika Craig<EMAIL_ADDRESS>Center
for Devices and Radiological Health, Food and Drug Administration,
10903 New Hampshire Ave., Bldg. 66, rm. 1613, Silver Spring, MD 20993,
301-796-6639, or FDA Advisory Committee Information Line, 1-800-741-
8138<PHONE_NUMBER> in the Washington, DC area), and follow the prompts
to the desired center or product area. Please call the Information Line
for up-to-date information on this meeting. A notice in the Federal
Register about last minute modifications that impact a previously
announced advisory committee meeting cannot always be published quickly
enough to provide timely notice. Therefore, you should always check the
Agency's Web site and call the appropriate advisory committee hot line/
phone line to learn about possible modifications before coming to the
meeting.
    Agenda: On April 11, 2012, the committee will discuss, make
recommendations, and vote on information related to a premarket
approval application for the Automated Breast Ultrasound (ABUS)
scanning device, sponsored by U-Systems, Inc. The ABUS scanning device
is intended to increase breast cancer detection in asymptomatic dense-
breasted women following a negative screening mammogram.
    On April 12, 2012, during session I, the committee will discuss and
make recommendations regarding the 515(i) order issued by FDA on April
9, 2009 (74 FR 16214), for breast transilluminators, one of the
remaining preamendments class III devices. On July 18, 1995 (60 FR
36639), FDA published a Final Rule that misbranded breast
transilluminators and effectively placed them in class III based on the
recommendation of the Obstetrics and Gynecology Devices Panel, which
concluded there were no published studies or clinical data
demonstrating the safety and effectiveness of this device. The
committee discussion will include a review of the present literature to
assess the current knowledge of breast transilluminators and determine
if sufficient safety and effectiveness data are available to support
reclassification of breast transilluminators.
    During session II on April 12, 2012, the committee will discuss and
make recommendations regarding the classification of blood irradiators.
Blood irradiators have been found to be substantially equivalent to
predicate devices marketed in interstate commerce prior to May 28,
1976, and are subject to the general controls provisions of the Federal
Food, Drug and Cosmetic Act. These devices have never been formally
classified. There is an agreement between the Center for Devices and
Radiological Health (CDRH) and the Center for Biologics Evaluation and
Research (CBER) that outlines which FDA center will regulate these
devices. CDRH regulates irradiators intended for use in the
immunologically active cells in blood and other tissues and CBER
regulates irradiators intended for use in the in-process inactivation
of HIV viruses or other pathogens. The committee discussion will focus
on whether these devices should be classified in class I, II, or III.
    FDA intends to make background material available to the public no
later than 2 business days before the meeting. If FDA is unable to post
the background material on its Web site prior to the meeting, the
background material will be made publicly available at the location of
the advisory committee meeting, and the background material will be
posted on FDA's Web site after the meeting. Background material is
available at http://www.fda.gov/AdvisoryCommittees/Calendar/default.htm. Scroll down to the appropriate advisory committee link.
    Procedure: Interested persons may present data, information, or
views, orally or in writing, on issues pending before the committee.
Written submissions may be made to the contact person on or before
April 3, 2012. On April 11, 2012, oral presentations from the public
will be scheduled between approximately 1 p.m. and 2 p.m.; on April 12,
2012, oral presentations will be scheduled between approximately 9 a.m.
and 10 a.m. for session I and between 1:30 p.m. and 2:30 p.m. for
session II. Those individuals interested in making formal oral
presentations should notify the contact person and submit a brief
statement of the general nature of the evidence or arguments they wish
to present, the appropriate meeting topic, the names and addresses of
proposed participants, and an indication of the approximate time
requested to make their presentation on or before March 26, 2012. Time
allotted for each presentation may be limited. If the number of
registrants requesting to speak is greater than can be reasonably
accommodated during the scheduled open public hearing session, FDA may
conduct a lottery to determine the speakers for the scheduled open
public hearing session. The contact person will notify interested
persons regarding their request to speak by March 27, 2012.
    Persons attending FDA's advisory committee meetings are advised
that the Agency is not responsible for providing access to electrical
outlets.
    FDA welcomes the attendance of the public at its advisory committee
meetings and will make every effort to accommodate persons with
physical disabilities or special needs. If you require special
accommodations due to a disability, please contact James Clark,
Committee Management Staff,<PHONE_NUMBER>, at least 7 days in advance of
the meeting.
    FDA is committed to the orderly conduct of its advisory committee
meetings. Please visit our Web site at http://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm111462.htm for procedures
on public conduct during advisory committee meetings.
    Notice of this meeting is given under the Federal Advisory
Committee Act (5 U.S.C. app. 2).

    Dated: February 23, 2012.
Jill Hartzler Warner,
Acting Associate Commissioner for Special Medical Programs.
[FR Doc. 2012-4670 Filed 2-27-12; 8:45 am]
BILLING CODE 4160-01-P


[Federal Register Volume 82, Number 243 (Wednesday, December 20, 2017)]
[Notices]
[Page 60386]
[FR Doc No: 2017-27366]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. AC18-15-000]

Notice of Request for Waiver: Empire Pipeline, Inc.

    Take notice that on November 9, 2017, Empire Pipeline, Inc., filed
a request for waiver of the requirement to provide its certified public
accountant certification statement for the 2017 FERC Form No. 2 on the
basis of the calendar year ending December 31.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date.
Anyone filing a motion to intervene or protest must serve a copy of
that document on the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the eFiling link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 5 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street NE, Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
eLibrary link and is available for review in the Commission's Public
Reference Room in Washington, DC. There is an eSubscription link on the
website that enables subscribers to receive email notification when a
document is added to a subscribed docket(s). For assistance with any
FERC Online service, please email [email protected], or call
(866) 208-3676 (toll free). For TTY, call<PHONE_NUMBER>.
    Comments: 5:00 p.m. Eastern Time on January 8, 2018.

    Dated: December 12, 2017.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2017-27366 Filed 12-19-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 239 (Thursday, December 14, 2023)]
[Rules and Regulations]
[Pages 86580-86581]
[FR Doc No: 2023-27507]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2023-0944]

Safety Zone; Annual Fireworks Displays and Other Events in the
Eighth Coast Guard District Requiring Safety Zones

AGENCY: Coast Guard, Department of Homeland Security (DHS).

ACTION: Notification of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce a safety zone for the Crescent
City Countdown Club/New Year's Celebration fireworks display, from
11:30 p.m. on December 31, 2023, through 12:30 a.m. on January 1, 2024,
to provide for the safety of life on the navigable waterways during
this event. Our regulation for annual fireworks displays and other
events in the Eighth Coast Guard District identifies this safety zone
on the Mississippi River mile marker (MM) 93.5-96.5, New Orleans, LA.
During the enforcement period, entry into this zone is prohibited
unless authorized by the Captain of the Port or a designated
representative.

DATES: The regulations in 33 CFR part 165.801, Table 5, Line 10 will be
enforced from 11:30 p.m. on December 31, 2023, through 12:30 a.m. on
January 1, 2024.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
notification of enforcement, call or email Lieutenant Commander William
Stewart, Sector New Orleans, U.S. Coast Guard; telephone (504) 365-
2246, email [email protected].

SUPPLEMENTARY INFORMATION: The Coast Guard will enforce a safety zone
for the Crescent City Countdown Club/New Year's Celebration fireworks
display from 11:30 p.m. on December 31, 2023, through 12:30 a.m. on
January 1, 2024, to provide for the safety of life on the navigable
waterways during this event. Our regulation for annual fireworks
displays and other events in the Eighth Coast Guard District, 33 CFR
165.801 identifies this safety zone on the Lower Mississippi River MM
93.5-96.5, New Orleans, LA. During this enforcement period, as
reflected in Sec.  165.801(a) through (d), entry into this zone is
prohibited unless authorized by the Captain of the Port or a designated
representative.
    In addition to this notification of enforcement in the Federal
Register, the Coast Guard plans to provide notification of this
enforcement period via Marine Safety Information Bulletin and Broadcast
Notice to Mariners.

    Dated: December 11, 2023.
K.K. Denning,
Captain, U.S. Coast Guard, Captain of the Port Sector New Orleans.
[FR Doc. 2023-27507 Filed 12-13-23; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register: October 7, 2009 (Volume 74, Number 193)]
[Notices]
[Page 51632-51633]
[DOCID:fr07oc09-107]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60749; File No. SR-CBOE-2009-068]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing of a Proposed Rule Change To Amend the
$1 Strike Program To Allow Low-Strike LEAPS

September 30, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on September 16, 2009, the Chicago Board Options Exchange,
Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities
and Exchange Commission (the ``Commission'') the proposed rule change
as described in Items I, II, and III 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 amend the $1 Strike Program. The text of
the proposed rule change is available on the Exchange's Web site
(http://www.cboe.org/Legal), at the Office of the Secretary, CBOE and
at the Commission.

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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The purpose of the proposed rule change is to expand the $1 Strike
Program (``Program'') in a limited fashion to allow CBOE to list new
series in $1 intervals up to $5 in long-term option series (``LEAPS'')
in up to 200 option classes on individual stocks.\3\ Currently, under
the Program, CBOE may not list LEAPS at $1 strike price intervals for
any class selected for the Program. CBOE also is restricted from
listing any series that would result in strike prices being $0.50
apart, unless the series are part of the $.50 Strike Program.\4\ (See
CBOE Rule 5.5.01.)
---------------------------------------------------------------------------

    \3\ Under CBOE Rule 5.8, LEAPS expire from 12-39 months from the
time they are listed.
    \4\ On September 15, 2009, CBOE filed SR-CBOE-2009-069 for
immediate effectiveness, which filing establishes a $.50 Strike
Program.
---------------------------------------------------------------------------

    CBOE believes that this proposal is appropriate and will allow
investors to establish option positions that are better tailored to
meet their investment objectives, vis-[agrave]-vis credit risk, using
deep out-of-the-money put options. Deep out-of-the money put options
are viewed as a viable, liquid alternative to OTC-traded credit default
swaps (``CDS''). These options do not possess the negative
characteristics associated with CDS, namely, lack of transparency,
insufficient collateral requirements, and inefficient trade processing.
Moreover, deep out-of-the money put options and CDS are functionally
similar, as there is a high correlation between low-strike put prices
and CDS spreads.\5\
---------------------------------------------------------------------------

    \5\ More information is available on this trading strategy at
CBOE's Web site at http://www.cboe.com/Institutional/DOOM.aspx.
---------------------------------------------------------------------------

    CBOE notes that its proposal is limited in scope, as $1 strikes in
LEAPS may only be listed up to $5 and in only up to 200 option classes.
As is currently the case, CBOE would not list series with $1.00
intervals within $0.50 of an existing $2.50 strike price in the same
series. As a result, CBOE does not believe that this proposal will
cause a significant increase in quote traffic.
    Moreover, as the SEC is aware, CBOE has adopted various quote
mitigation strategies in an effort to lessen the growth rate of
quotations. When it expanded the Program several months ago, CBOE
included a delisting policy that would be applicable with regard to
this proposed expansion.\6\ CBOE and the other options exchanges
amended the Options Listing Procedures Plan (``OLPP'') in 2008 to
impose a minimum volume threshold of 1,000 contracts national average
daily volume per underlying class to qualify for an additional year of
LEAP series.\7\ Most recently, CBOE, along with the other options
exchanges, amended the OLPP

to adopt objective, exercise price range limitations applicable to
equity option classes, options on ETFs and options on trust issued
receipts.\8\ CBOE believes that these price range limitations will have
a meaningful quote mitigation impact. CBOE also notes that it recently
delisted 216 option classes as part of its mandatory class delisting
policy.\9\
---------------------------------------------------------------------------

    \6\ The delisting policy includes a provision that states CBOE
may grant member requests to add strikes and/or maintain strikes in
series of options classes traded pursuant to the Program that are
eligible for delisting.
    \7\ See SEC Release No. 34-58630 (September 24, 2008), approving
Amendment No. 2 to the OLPP.
    \8\ See SEC Release No. 34-60531 (August 19, 2009), approving
Amendment No. 3 to the OLPP. CBOE's proposal to list $1 strikes in
LEAPs to $5 would not be subject to the exercise price range
limitations contained in new paragraph (3)(g)(ii) of the OLPP.
    \9\ See CBOE Information Circular IC09-172.
---------------------------------------------------------------------------

    The margin requirements set forth in Chapter XII of the Exchange's
rules and the position and exercise requirements set forth in Rule 4.11
and Rule 4.12 will continue to apply to these new series, and no
changes are being proposed to those requirements by this rule change.
    With regard to the impact on system capacity, CBOE has analyzed its
capacity and represents that it and the Options Price Reporting
Authority have the necessary systems capacity to handle the additional
traffic associated with the listing and trading of an expanded number
of series as proposed by this filing.
2. Statutory Basis
    The Exchange believes the rule proposal is consistent with the
Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations under the Act applicable to a national securities exchange
and, in particular, the requirements of Section 6(b) of the Act.\10\
Specifically, the Exchange believes that the proposed rule change is
consistent with the Section 6(b)(5) Act \11\ requirements that the
rules of an exchange be designed to promote just and equitable
principles of trade, to prevent fraudulent and manipulative acts and,
in general, to protect investors and the public interest. The Exchange
believes that the listing of the $1 strike price in LEAPS series will
benefit investors by giving them more flexibility to closely tailor
their investment decisions.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b).
    \11\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    CBOE 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.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be 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 e-mail to<EMAIL_ADDRESS>Please include
File No. SR-CBOE-2009-068 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 No. SR-CBOE-2009-068. This file
number should be included on the subject line if e-mail 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 changes 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 inspection and
copying in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of CBOE. 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-CBOE-2009-068 and should be
submitted on or before October 28, 2009.
---------------------------------------------------------------------------

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-24079 Filed 10-6-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 196 (Wednesday, October 10, 2018)]
[Notices]
[Pages 51020-51022]
[FR Doc No: 2018-21909]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84349; File No. SR-NYSE-2018-42]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Rule 7.14, Clearance and Settlement

October 3, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that on September 20, 2018, New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 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 amend Rule 7.14, Clearance and Settlement,
to remove language that is inconsistent with the Exchange's Price List.
The proposed rule change is available on the Exchange's website 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend Rule 7.14, Clearance and Settlement,
to remove language that was inadvertently included when the rule was
first adopted and that is inconsistent with the Exchange's Price List.
The Exchange adopted Rule 7.14 as part of a proposed rule change to
adopt rules for trading UTP securities on Pillar, the Exchange's new
trading technology platform.\4\ Rule 7.14 was based on similar rules of
its affiliate, NYSE Arca, Inc. (``NYSE Arca'') Rule 7.14-E and adopted
by the Exchange without any substantive differences.\5\ Rule 7.14
applies only to trading in UTP Securities. Paragraph (c) of Rule 7.14
states that ``[e]ach clearing firm must be admitted to the Exchange as
a member organization by meeting the qualification requirements set
forth in Rule 2.'' Paragraph (c) of Rule 7.14 also includes language
that exempts clearing firms from paying the regular member organization
fee \6\ where that clearing firm became a member organization for the
sole purpose of acting as a clearing firm on the Exchange. This
language was inadvertently included when Rule 7.14 was adopted and is
inconsistent with the Exchange's Price List, which does not include
language exempting clearing only member organizations from the fee's
application.\7\ The Exchange notes that no such exemption exists in the
Exchange's rule governing the trading of NYSE-listed securities.
Therefore, the Exchange proposes to remove the following phrase from
the first sentence of Exchange Rule 7.14(c): ``provided, however, if
the clearing firm has become a member organization for the sole purpose
of acting as a clearing firm on the Exchange, such clearing firm need

not pay the regular member organization fee''.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release Nos. 76803; (December
30, 2015), 81 FR 536 (January 6, 2016) (SR-NYSE-2015-67); and 81225
(July 27, 2017), 82 FR 36033 (August 2, 2017) (SR-NYSE-2017-35).
    \5\ Id.
    \6\ The ``regular membership organization fee'' referred to in
Exchange Rule 7.14(c) is referred to as a Trading Licenses fee in
the Exchange's Price List.
    \7\ In accordance with the Price list, the Exchange charges all
member organizations a Trading License fee on an annual basis. All
member organizations with 10 or more trading licenses are charged a
fee or $50,000 for the first trading license held by the member
organization unless they qualify for a reduced rate. See the
Exchange's Price List on pages 33-34 available at https://www.nyse.com/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf (dated
September 4, 2018).
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposal is consistent with Section
6(b) of the Act,\8\ in general, and furthers the objectives of Sections
6(b)(5) of the Act,\9\ in particular, because it is designed to promote
just and equitable principles of trade, remove impediments to, and
perfect the mechanisms of, a free and open market and a national market
system and, in general, to protect investors and the public interest.
The Exchange believes that the proposed rule change would remove
impediments to, and perfect the mechanisms of, a free and open market
and a national market system and, in general, protect investors and the
public interest because it would remove language from Exchange Rule
7.14(c) that was inadvertently included when the rule was adopted and
that is inconsistent with the Exchange's Price List. The proposed rule
change would delete language from Rule 7.14(c) that incorrectly exempts
clearing only member organizations from the Trading License fee and
would, therefore, remove an inconsistency between Rule 7.14 and the
Exchange's Price List. Rule 7.14 applies only to trading in UTP
Securities. No member organizations currently acts solely as a clearing
firm for UTP Securities and, therefore, no member organization would be
affected by the proposed rule change. The proposed rule change should
avoid potential confusion about the applicability of the Trading
License fee should a member organization seek to act solely as a
clearing firm on the Exchange in UTP Securities. Lastly, the Exchange
notes that no such exemption exists in the Exchange's rule governing
the trading of NYSE-listed securities. Therefore, the proposed rule
change would allow for the consistent application of the Trading
License fee among member organizations that act solely as clearing
firms in NYSE-listed and UTP securities.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange also believes that the proposed rule change is
consistent with Sections 6(b)(4) of the Act \10\ because it provides
for the equitable allocation of reasonable dues, fees, and other
charges among its members, issuers and other persons using its
facilities and does not unfairly discriminate between customers,
issuers, brokers or dealers. The proposed rule change is equitable,
reasonable, and not unfairly discriminatory because it would clarify
the application of the Trading License fee and apply it equally to
member organizations that act solely as a clearing firm in UTP and
NYSE-listed securities.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    For these reasons, the Exchange believes that the proposal is
consistent with the Act.

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

    In accordance with Section 6(b)(8) of the Act,\11\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. The proposed rule change is not designed to have a
competitive impact. It is simply intended to amend the Exchange's rules
to remove language from Exchange Rule 7.14(c) that was inadvertently
included when the rule was adopted and that is inconsistent with the
Exchange's Price List. It is not intended to address any competitive
issues or to attract additional order flow the Exchange.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \12\ and Rule 19b-4(f)(6) thereunder.\13\
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 and Rule 19b-
4(f)(6)(iii) thereunder.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \13\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \14\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b4(f)(6)(iii),\15\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest.
---------------------------------------------------------------------------

    \14\ 17 CFR 240.19b-4(f)(6).
    \15\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    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 under
Section 19(b)(2)(B) \16\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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-NYSE-2018-42 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-NYSE-2018-42. 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 we do
not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number SR-
NYSE-2018-42, and should be submitted on or before October 31, 2018.
---------------------------------------------------------------------------

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-21909 Filed 10-9-18; 8:45 am]
 BILLING CODE P


[Federal Register Volume 83, Number 190 (Monday, October 1, 2018)]
[Notices]
[Pages 49442-49445]
[FR Doc No: 2018-21232]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84282; File No. SR-NYSEArca-2018-69]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend a
Representation Relating to the Redemption Procedures Applicable to the
Sprott Physical Gold and Silver Trust

September 25, 2018.
    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 September 14, 2018, 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 self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 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 amend a representation relating to the
redemption procedures applicable to the Sprott Physical Gold and Silver
Trust (``Trust''), as contained in the rule change filed with and
approved by the Securities and Exchange Commission (``Commission'')
relating to listing and trading of ``Units'' of the Trust on the
Exchange. Units of the Trust are currently listed and traded on the
Exchange under NYSE Arca Rule 8.201-E. The proposed rule change is
available on the Exchange's website 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Commission has approved a proposed rule change relating to
listing and trading on the Exchange of Units of the Trust under NYSE
Arca Rule 8.201-E (``Commodity-Based Trust Shares'').\4\ The Exchange
proposes to amend a representation relating to the procedure for the
redemption of Units of the Trust for gold and silver as contained in
the Prior Releases. The Trust's Units commenced trading on the Exchange
on January 16, 2018.
---------------------------------------------------------------------------

    \4\ See, Securities Exchange Act Release Nos. 82116 (November
17, 2107), 82 FR 55898 (November 24, 2107) (SR-NYSEArca-2017-131)
(Notice of Filing of Proposed Rule Change to List and Trade Shares
of the Sprott Physical Gold and Silver Trust under NYSE Arca Rule
8.201-E) (``Prior Notice''); 82448 (January 5, 2018), 83 FR 1428
(January 11, 2018) (SR-NYSEArca-2017-131) (Notice of Filing of
Amendment No. 2 and Order Approving on an Accelerated Basis a
Proposed Rule Change, as Modified by Amendment No. 2, to List and
Trade Shares of the Sprott Physical Gold and Silver Trust under NYSE
Arca Rule 8.201-E) (``Prior Order'' and, together with the Prior
Notice, the ``Prior Releases'').
---------------------------------------------------------------------------

    The manager of the Trust is Sprott Asset Management LP
(``Manager'').\5\ The Trust custodian for the Trust's physical gold and
silver bullion is the Royal Canadian Mint (``Gold and Silver
Custodian''-). [sic]
---------------------------------------------------------------------------

    \5\ On January 16, 2018, the Trust filed with the Commission a
registration statement on Form 8-A under the Exchange Act relating
to the Trust (File No. 001-38346) (``Registration Statement''). The
description of the operation of the Trust herein is based, in part,
on the Registration Statement.
---------------------------------------------------------------------------

Change to Procedure for Redemption of Units for Gold and Silver
    The Prior Releases stated that if a ``Bullion Redemption Notice''
\6\ was received by the Transfer Agent from a Unitholder no later than
4:00 p.m., Eastern Time, on the 15th day of the month (or, if such day
is not a business day, then on the immediately following day that is a
business day), the amount of physical gold and silver bullion specified
in the Bullion Redemption Notice would be received by armored
transportation service carrier for delivery to the Unitholder
approximately 10 business days after the end of that month.
---------------------------------------------------------------------------

    \6\ As stated in the Prior Releases, a Unitholder that owns a
sufficient number of Units who desires to exercise redemption
privileges for physical gold and silver bullion must do so by
instructing his, her or its broker, who must be a direct or indirect
participant of CDS Clearing and Depository Services Inc. or The
Depository Trust Company, to deliver to the Transfer Agent on behalf
of the Unitholder a written notice (``Bullion Redemption Notice'')
of the Unitholder's intention to redeem Units for physical gold and
silver bullion.
---------------------------------------------------------------------------

    The Prior Notice stated that ``[t]he armored transportation service
carrier will receive physical gold and silver bullion in connection
with a redemption of Units approximately 10 business days after the end
of the month in which the Bullion Redemption Notice is processed.'' The
Exchange proposes to delete the preceding statement in accordance with
a pending amendment to the Trust Agreement (the ``Amendment'').\7\ The
Manager represents that the actual timing of receipt of bullion by the
armored transportation service carrier varies based on the number of
redemption requests received in a given month, the Redemption Amount
per request and the proportion of gold and silver bullion redeemed. The
Manager represents that, in the event of large numbers or volumes of
redemption requests, the Gold and Silver Custodian and the armored
transportation service carrier experience severe constraints in
performing their required actions within the existing time period
(i.e., approximately 10 business days). A high frequency of shipments
in a short period of time places a significant strain on the
operational and security resources necessary to prepare such shipments,
resulting in additional expenses and risk to the Trust and the Gold and
Silver Custodian. The Manager and the Gold and Silver Custodian expect
that the Amendment will decrease operational expenses and risk caused
by the 10 business day term currently provided by the Trust Agreement.
The Manager represents that by mitigating such expenses and risk, it is
anticipated that the Amendment will allow the Gold and Silver Custodian
to continue to provide the Trust with low custody pricing. The
Amendment thereby may result in narrowing of the spread between the
trading price of Units, which price reflects the performance of the
trading prices of gold and silver less the expenses of the Trust's
operations, and the trading prices of gold and silver in accordance
with the Trust's objectives. Pursuant to the terms of the Trust
Agreement and the applicable laws of the Province of Ontario, the
Amendment is being effected on the ground that it provides added
protection or benefit to Unitholders.\8\
---------------------------------------------------------------------------

    \7\ The Commission has previously approved the listing and
trading of other gold-based commodity trusts that include a physical
redemption feature but do not specify any minimum deadline for
physical delivery of the commodity to the redeeming investor
following a redemption request. See, e.g., Securities Exchange Act
Release Nos. 71378 (January 23, 2014), 79 FR 4786 (January 29, 2014)
(SR-NYSEArca-2013-137) (Order Approving a Proposed Rule Change, as
Modified by Amendment No. 1 Thereto, to List and Trade Shares of the
Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.201); 82593
(January 26, 2018), 83 FR 4718 (February 1, 2018) (SR-NYSEArca-2017-
140) (Order Approving a Proposed Rule Change to List and Trade
Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE
Arca Rule 8.201-E).
    \8\ The Trust will file an amendment to the Trust Agreement or
amended and restated Trust Agreement, as appropriate, in Canada on
SEDAR (System for Electronic Document Analysis and Retrieval), the
electronic filing system for the disclosure documents of issuers
across Canada. In addition, a brief description of the amendment
will be included in the Trust's quarterly disclosures. Such filings
or disclosures would be furnished to the Commission under cover of
Form 6-K in accordance with Rules 13a-1 and/or 13a-3 under the
Exchange Act. Pursuant to the terms of the Trust Agreement, a
unitholder vote is not required to effect the amendment.
---------------------------------------------------------------------------

    The Manager represents that the proposed change described above is
consistent with the Trust's investment objective, and will further
assist the Manager to achieve such investment objective. Except for the
change noted above, all other representations made in

the Prior Releases remained unchanged.\9\
---------------------------------------------------------------------------

    \9\ See note 4, supra. All terms referenced but not defined
herein are defined in the Prior Releases.
---------------------------------------------------------------------------

2. Statutory Basis
    The basis under the Exchange Act for this proposed rule change is
the requirement under Section 6(b)(5) \10\ 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.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    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. The Exchange believes that the Amendment may provide
potential benefits to investors by decreasing operational expenses and
risk caused by the 10 business day time frame currently provided by the
Trust Agreement. The Manager represents that by mitigating such
expenses and risk, it is anticipated that the Amendment will allow the
Gold and Silver Custodian to continue to provide the Trust with low
custody pricing and may result in the narrowing of the spread between
the trading price of Units, which price reflects the performance of the
trading prices of gold and silver less the expenses of the Trust's
operations, and the trading prices of gold and silver in accordance
with the Trust's objectives.
    The Manager represents that the proposed changes described above
are consistent with the Trust's investment objective, and will further
assist the Manager to achieve such investment objective. The Manager
also represents that all unitholders will be subject to the Amendment;
that the Manager has determined that the Amendment will provide added
protection or benefit to unitholders; and that the Amendment is being
proposed to mitigate the practical constraints associated with the high
volume of redemption requests.
    Except for the change noted above, all other representations made
in the Prior Releases remained unchanged.

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 purposes of the Exchange Act. The Exchange
believes the proposed rule change, by decreasing the Trust's
operational expenses and risk relating to redemptions, will enhance
competition among issues of Commodity-Based Trust Shares relating to
physical gold and silver.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \11\ and Rule 19b-4(f)(6) thereunder.\12\
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 and Rule 19b-
4(f)(6)(iii) thereunder.\13\
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \12\ 17 CFR 240.19b-4(f)(6).
    \13\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \14\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\15\ 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 Exchange states that
waiver of the 30-day operative delay is consistent with the protection
of investors and the public interest because the Commission has
previously approved the listing and trading of other gold-based
commodity trusts that include a physical redemption feature but do not
specify any minimum deadline for physical delivery of the commodity to
the redeeming investor following a redemption request,\16\ and the
proposed rule change may provide potential benefits to investors by
decreasing operational expenses and risk caused by the 10 business day
timeframe (as described above) currently provided by the Trust
Agreement. In addition, the Exchange represents that, in the absence of
large numbers or volumes of redemption requests or other factors
causing delay, the armored transportation service carrier will
typically receive physical gold and silver bullion in accordance with
the 10 business day time frame contained in the Prior Notice, and the
Commission notes that Units of the Trust have commenced trading on the
Exchange. The Commission believes that waiver of the 30-day operative
delay is consistent with the protection of investors and the public
interest for these reasons. Accordingly, the Commission hereby waives
the 30-day operative delay and designates the proposed rule change
operative upon filing.\17\
---------------------------------------------------------------------------

    \14\ 17 CFR 240.19b-4(f)(6).
    \15\ 17 CFR 240.19b-4(f)(6)(iii).
    \16\ See note 7, supra.
    \17\ 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).
---------------------------------------------------------------------------

    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 under
Section 19(b)(2)(B) \18\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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-NYSEArca-2018-69 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-NYSEArca-2018-69. 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 a.m. and 3
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 we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEArca-2018-69, and should be
submitted on or before October 22, 2018.
---------------------------------------------------------------------------

    \19\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-21232 Filed 9-28-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 206 (Thursday, October 24, 2013)]
[Notices]
[Pages 63521-63522]
[FR Doc No: 2013-24849]

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

SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.

Extension:
    Regulations 13D and 13G; Schedules 13D and 13G. OMB Control No.
3235-0145, SEC File No. 270-137.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
    Schedules 13D and 13G are filed pursuant to Sections 13(d) and
13(g) of the Securities Exchange Act and Regulations 13D and 13G
thereunder to report beneficial ownership of equity securities
registered under Section 12 of the Exchange Act. Regulations 13D and
13G provide investors, the subject issuers, and market participants
with information about the accumulation of equity securities that may
have the potential to change or influence control of an issuer.
Schedules 13D and 13G are filed by persons, including small entities,
to report their ownership of more than 5% of a class of equity
securities registered under Section 12. We estimate that it takes
approximately 14.5 burden hours to prepare a Schedule 13D and that it
is filed by approximately 1,777 respondents. In addition, we estimate
that 25% of the burden hours is carried internally by the respondent
for a total annual reporting burden of 6,442 hours.
    We estimate that it takes approximately 12.4 burden hours to
prepare Schedule 13G and that it is filed by approximately 6,882
respondents. We estimate that 25% of the burden hours is carried
internally by the respondent for a total annual reporting burden of
21,334 hours.

    Written comments are invited on: (a) Whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Please direct your written comments to Thomas Bayer, Director/Chief
Information Officer, Office of Information Technology, Securities and
Exchange Commission, 100 F Street NE., Washington DC. 20549.

    Dated: October 18, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-24849 Filed 10-23-13; 8:45 am]
BILLING CODE 8011-01-P