[Federal Register Volume 87, Number 72 (Thursday, April 14, 2022)]
[Notices]
[Pages 22264-22269]
[FR Doc No: 2022-07955]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-94654; File No. SR-FINRA-2022-009]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend
Certain FINRA Rules To Permit, and in Some Instances Require,
Electronic Service and Filing of Documents in Disciplinary and Other
Proceedings and Appeals

April 8, 2022.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'' or ``Exchange Act'') \1\ and Rule 19b-4 thereunder,\2\ notice
is hereby given that on April 6, 2022, the Financial Industry
Regulatory Authority, Inc. (``FINRA'') filed with the Securities and
Exchange Commission (``SEC'' or ``Commission'') the proposed rule
change as described in Items I, II, and III below, which Items have
been prepared by FINRA. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend FINRA Rules 1012, 1015, 6490, 9132,
9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and
9630 to permit, and in some instances require, electronic service and
filing of documents in disciplinary and other proceedings and appeals.
    The text of the proposed rule change is available on FINRA's
website at http://www.finra.org, at the principal office of FINRA 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, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    Several of FINRA's rules regarding method of service and filing
have been amended temporarily to permit, and in some instances require,
electronic filing and service during the period in which FINRA's
operations have been impacted by the COVID-19 pandemic.\3\ These
temporary amendments pertain to disciplinary proceedings before the
Office of Hearing Officers (OHO), and to appeals before the National
Adjudicatory Council (NAC), among other types of administrative
proceedings.\4\ However, the temporary amendments do not permit
electronic service of an initial complaint on a respondent. FINRA did
not temporarily change the method of serving the initial complaint due
to heightened fair process concerns.\5\ Likewise, the proposed rule
change would not change how initial complaints are served. The only
permissible methods of serving the

initial complaint are by hand, mail or courier.\6\
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    \3\ See Securities Exchange Act Release No. 88917 (May 20,
2020), 85 FR 31832 (May 27, 2020) (Notice of Filing and Immediate
Effectiveness of File No. SR-FINRA-2020-015); Securities Exchange
Act Release No. 89055 (June 12, 2020), 85 FR 36928 (June 18, 2020)
(Notice of Filing and Immediate Effectiveness of File No. SR-FINRA-
2020-017); Securities Exchange Act Release No. 89423 (July 29,
2020), 85 FR 47278 (August 4, 2020) (Notice of Filing and Immediate
Effectiveness of File No. SR-FINRA-2020-022); Securities Exchange
Act Release No. 90619 (December 9, 2020), 85 FR 81250 (December 15,
2020) (Notice of Filing and Immediate Effectiveness of File No. SR-
FINRA-2020-042); Securities Exchange Act Release No. 91495 (April 7,
2021), 86 FR 19306 (April 13, 2021) (Notice of Filing and Immediate
Effectiveness of File No. SR-FINRA-2021-006); Securities Exchange
Act Release No. 93758 (December 13, 2021), 86 FR 71695 (December 17,
2021) (Notice of Filing and Immediate Effectiveness of File No. SR-
FINRA-2021-031); Securities Exchange Act Release No. 94430 (March
16, 2022), 87 FR 16262 (March 22, 2022) (Notice of Filing and
Immediate Effectiveness of File No. SR-FINRA-2022-004).
    \4\ The filings to establish and extend the temporary amendments
involving electronic service and filing also included additional
temporary amendments to provide extensions of time to FINRA staff,
respondents and other parties in connection with certain
adjudicatory and review processes. See Securities Exchange Act
Release No. 88917 (May 20, 2020), 85 FR 31832 (May 27, 2020) (Notice
of Filing and Immediate Effectiveness of File No. SR-FINRA-2020-
015). For example, under original Rule 6490(e), the time to appeal
was seven calendar days, and a subcommittee was required to convene
once each calendar month to consider all appeals received during the
prior month. Under the temporary amendments to Rule 6490(e), the
time to appeal was extended to 30 calendar days, and the time for
the subcommittee to convene was extended to once every 90 days. The
time frames under the proposed rule change are reverting back to
their original form, so the timing requirements under the proposed
rule change are the same as they were under the original rule.
    \5\ See 85 FR 31832, supra note 3.
    \6\ See FINRA Rule 9134(a).
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    FINRA is proposing to make the temporary amendments regarding
electronic service and filing permanent, with some modifications. FINRA
believes that advances in technology and its availability have made
filing and service more efficient under the temporary amendments than
under the original rules.\7\ In addition, FINRA believes that operating
under the temporary amendments since May 2020 has demonstrated that
electronic service and filing is beneficial for parties, panelists and
FINRA staff. FINRA further notes that the SEC also amended its rules in
November 2020 to require electronic filing and service of documents in
its administrative proceedings.\8\ FINRA further believes that the
proposed rule change will similarly improve and modernize FINRA's
operations.
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    \7\ For ease of reference in this filing, FINRA refers to the
pre-pandemic rules as ``original rules'' and to the temporary
changes to the original rules as ``temporary amendments.'' Some of
the original rules were amended while the temporary amendments were
in effect. Those amendments to the original rules have been
incorporated into the temporary amendments. See, e.g., FINRA Rule
9321 (amended by SR-FINRA-2020-011, eff. April 15, 2021).
    \8\ See Amendments to the Commission's Rules of Practice,
Securities Exchange Act Release No. 90442 (November 17, 2020), 85 FR
86464 (File No. S7-18-15) (December 30, 2020) (codified at 17 CFR
201 (2020)).
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Background
    The FINRA Rule 1000, 6400, 9100, 9300, 9520, 9550 and 9600 Series
contain filing, service and other procedural requirements. The
temporary amendments to these rules allowed, and in some instances
required, FINRA (in its capacity as an Adjudicator) to serve certain
documents on parties by electronic mail (``email'') and required
parties to file or serve documents by email, unless the parties agreed
to an alternative method of service.\9\
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    \9\ See supra note 3.
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    The proposed rule change includes provisions to allow, and in some
instances require, FINRA to serve certain documents on parties by email
and require parties to file or serve documents by email, unless another
method of service is ordered by the Adjudicator. Several of the
proposed rule changes differ from the temporary amendments, which
required email service unless the parties agreed to an alternative
method.\10\ FINRA has observed that a more effective approach would be
to require email service unless the Adjudicator orders otherwise. As
discussed further below, the proposal will allow all parties who lack
the ability to use or access email to request relief to use an
alternative method of service upon a showing of good cause. But unlike
the temporary amendments, the parties' agreement to use an alternative
method of service would be insufficient unless the parties also
obtained an order from the Adjudicator permitting use of the
alternative method of service.
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    \10\ See FINRA Rules 6490(e), 9133(b), 9146(l), 9524(a)(3) and
9559(h).
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    In addition, to support the transition to email service and filing,
FINRA proposes to require parties in OHO proceedings to file and serve
all parties with their current email address and contact information at
the time of their first appearance, and to file and serve any change in
email address or contact information during the course of the
proceeding.
Proposed Rule Change To Allow or Require Email Filing and Service
    FINRA rules, with few exceptions, do not provide for service by
email.\11\ The proposed rule change would permit FINRA to serve
documents other than the initial complaint by email among various other
methods of service, such as personal service, mail and courier, and to
provide that service by email is deemed complete upon sending.\12\
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    \11\ Prior to the temporary amendments, FINRA permitted service
by email under some of its original rules. For example, FINRA Rule
6490(d)(5) (Processing of Company-Related Actions; Procedures for
Reviewing Submissions; Notice Issuance) permits a notice under that
provision to be issued by facsimile or email, or pursuant to Rule
9134. Rule 9134 does not permit service by email, however.
    \12\ FINRA sometimes serves documents in its capacity as the
Adjudicator. In other instances, FINRA is a party, for example, in
its capacity as the Department of Enforcement.
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    FINRA has elected email service whenever possible while the
temporary amendments have been in effect, and it is FINRA's intention
to continue to do so under the proposed rule change. If FINRA has
knowledge that the address used for service is not current or not
functional (i.e., FINRA receives a bounce back or other message
indicating that there was a failure to deliver the email), FINRA will
use other permissible methods of service until it can verify the
party's email address.\13\ FINRA notes that, in most cases, FINRA and
the relevant party, or their counsel, will have already engaged in
communications prior to the service of documents or other information.
Accordingly, in most cases, FINRA will already have information
regarding the relevant party, or their counsel's, preferred method of
service.
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    \13\ As indicated in the proposed rule text, FINRA will consider
service by email complete upon sending of the relevant document or
other information. This is consistent with service by mail under the
original rules and service by email under the temporary amendments.
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    Further, to the extent an applicant, respondent or other party
lacks the ability to use or access technology needed to file, serve or
accept service by email, FINRA intends to provide reasonable
accommodations to them. The process for requesting an alternative
method of service or filing will be posted to FINRA's website, as well
as explained in the Notice of Complaint and in the Code and Guide
letter.\14\ If a party shows good cause, the Adjudicator will order
that filing or service occur by hard copy.
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    \14\ When the Department of Enforcement files an initial
complaint on a respondent, the Notice of Complaint tells the
respondent how to file the answer and other documents with OHO. In
addition, once OHO receives an initial complaint, it sends a Code
and Guide letter to each respondent to notify them of the complaint.
That letter also includes instructions on how to file with OHO.
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    The proposed rule change to amend the FINRA Rule 1000, 6400, 9100,
9300, 9520, 9550 and 9600 Series is substantially the same as the
temporary amendments currently in effect unless otherwise noted, below.
    The FINRA Rule 1000 Series (Member Application and Associated
Person Registration) governs, among other things, the process for (i)
applying for FINRA membership; (ii) FINRA members to seek approval of a
change in ownership, control or business operations, and (iii) an
applicant to request that FINRA's appellate body, the NAC, review a
FINRA decision rendered under the Rule 1000 Series. In connection with
these processes, applicants and FINRA are required to file or serve
certain documents using the prescribed methods set forth in FINRA Rule
1012(a), which do not include email.\15\ FINRA proposes to permanently
amend Rule 1012(a)(4) to permit FINRA to serve documents under the Rule
1000 Series by email and to amend Rule 1015(f)(1),\16\ which requires
the NAC to serve a notice of a hearing before the NAC by facsimile or
overnight courier, to allow service of the notice by email.\17\ The
proposed rule

change would also amend Rule 1012(a)(3) to require applicants to file
an application or any document or information requested under the Rule
1000 Series by email except where FINRA has otherwise prescribed an
alternative filing process, while permitting the applicant to also file
a requested document or information by another method if the Department
and the Applicant agree.\18\
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    \15\ FINRA Rule 1012(a) (General Provisions; Filing by Applicant
or Service by FINRA) governs the filing and service requirements for
the Rule 1000 Series.
    \16\ FINRA Rule 1015(f) (Review by National Adjudicatory
Council; Hearing).
    \17\ In an effort to streamline processes and avoid duplication,
FINRA is also proposing to amend Rule 1015(a) to eliminate the
requirement that the applicant simultaneously file by first-class
mail a copy of the request for review pursuant to Rule 1015(a) to
the district office where the applicant filed its application.
    \18\ FINRA is also proposing a non-substantive change to delete
the word ``electronic'' from the description of the ``alternative
filing process'' because it is superfluous.
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    FINRA Rule 6490 codifies the requirements in Exchange Act Rule 10b-
17 for issuers of a class of publicly traded securities to provide
timely notice to FINRA of certain corporate actions (e.g., dividend or
other distribution of cash or securities, stock split or reverse split,
rights or subscription offering). FINRA reviews related documentation
and, under certain circumstances, the documentation may not be
processed if it is deemed deficient. Rule 6490(e) sets forth the
process for appealing such a determination.\19\ The proposed rule
change would require the requesting party to file an appeal by email
unless an alternative method of service is ordered by the
Adjudicator.\20\
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    \19\ FINRA Rule 6490(e) (Processing of Company-Related Actions;
Request for an Appeal to Subcommittee of Uniform Practice Code
Committee).
    \20\ FINRA is also proposing several non-substantive, technical
changes including, for example, deleting the parenthetical
references to the numerals ``3'' and ``7,'' which originally
followed those words in FINRA Rule 6490(e). As noted supra note 4,
the time frames under the proposed rule change are reverting back to
their original form, so the time to appeal and for appellate review
under the proposed rule change are the same as they were under the
original rule.
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    The FINRA Rule 9000 Series, among other things, sets forth the
procedure for FINRA proceedings for disciplining a member, associated
person or formerly associated person. The Rule 9100 Series is of
general applicability to all proceedings set forth in the Rule 9000
Series, unless a rule specifically provides otherwise. Rules
9132(b),\21\ 9133(b),\22\ and 9146(l) \23\ provide that the documents
and other information governed by those rules be served pursuant to
Rule 9134, which permits service on the parties using the following
methods: (1) Personal service, (2) mail, or (3) courier. Rule 9134 does
not permit service by email. The proposed rule change would amend Rule
9132(b) to allow FINRA to serve the relevant documents or information
by email, and Rules 9133(b) and 9146(l) to require parties to serve
documents by email, unless an alternative method of service is ordered
by the Adjudicator.
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    \21\ FINRA Rule 9132(b) (Service of Orders, Notices, and
Decisions by Adjudicator; How Served).
    \22\ FINRA Rule 9133(b) (Service of Papers Other Than
Complaints, Orders, Notices or Decisions; How Served).
    \23\ FINRA Rule 9146(l) (Motions; General).
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    In addition, to support the transition to email service and filing,
FINRA proposes to amend Rule 9135 to add paragraph (d), which would
require parties in OHO proceedings to file and serve the parties with
their current email address and contact information at the time of
their first appearance, and to file and serve any change in email
address or contact information during the course of the proceeding.
Based on the experience of operating under the temporary amendments,
FINRA believes this proposed rule change, which was not part of the
temporary amendments, will help ensure that documents are successfully
sent from and received at a valid email address. It will also ensure
that all participants, including FINRA, applicants, respondents and any
other parties, have accurate contact information for all parties.
    The FINRA Rule 9300 Series sets forth the procedures for review of
disciplinary proceedings by the NAC and FINRA Board and for
applications for SEC review. FINRA Rules 9321,\24\ 9341(c),\25\
9349(c),\26\ and 9351(e) \27\ require FINRA to serve documents in
connection with those proceedings. Service under those rules is
governed by Rule 9134, which does not permit email as a method of
service. FINRA proposes to permanently amend Rules 9321, 9341(c),
9349(c), and 9351(e) to allow for email as a method of service.
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    \24\ FINRA Rule 9321 (Transmission of Record).
    \25\ FINRA Rule 9341(c) (Oral Argument; Notice Regarding Oral
Argument).
    \26\ FINRA Rule 9349(c) (National Adjudicatory Council Formal
Consideration; Decision; Issuance of Decision After Expiration of
Call for Review Period).
    \27\ FINRA Rule 9351(e) (Discretionary Review by FINRA Board;
Issuance of Decision After Expiration of Call for Review Period).
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    The FINRA Rule 9520 Series sets forth the procedures for
eligibility proceedings and review of those proceedings by the NAC and
FINRA Board. Rules 9522(a)(4),\28\ 9524(a)(3)(A) and (B),\29\
9524(b)(3),\30\ and 9525(e) \31\ require FINRA to serve documents in
connection with those proceedings, but do not allow for email as a
method of service. The proposed rule change would permanently amend
those rules to allow for email as a method of service. Further, under
the proposed change to Rule 9524(a)(3)(A) and (B), the disqualified
member or sponsoring member would be required to serve documents and
the exhibit and witness lists by email unless an alternative method of
service is ordered by the Adjudicator.\32\
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    \28\ FINRA Rule 9522(a)(4) (Initiation of Eligibility
Proceeding; Member Regulation Consideration; Service).
    \29\ FINRA Rule 9524(a)(3)(A) and (B) (National Adjudicatory
Council Consideration; Transmission of Documents).
    \30\ FINRA Rule 9524(b)(3) (National Adjudicatory Council
Consideration; Issuance of Decision After Expiration of Call for
Review Period).
    \31\ FINRA Rule 9525(e) (Discretionary Review by the FINRA
Board; Issuance of Decision).
    \32\ FINRA is also proposing a non-substantive, technical change
to replace the numeral ``10'' with the word ``ten'' in Rule
9524(a)(3)(B).
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    The FINRA Rule 9550 Series sets forth the procedures for expedited
proceedings and the ability of the NAC to call for review a proposed
decision prepared under the Rule 9550 Series. Rule 9559(h)(2) \33\ sets
forth the timing and method of service requirements for the parties'
exchange of proposed exhibit and witness lists in advance of an
expedited proceeding.\34\ Rule 9559(q)(2) \35\ requires the NAC to
serve its decision when it issues one and Rule 9559(q)(5) requires the
NAC to serve the decision on the parties and all members with which the
respondent is associated. Rule 9559(q)(2) and (5) do not allow for
email as a method of service. FINRA proposes to permanently amend Rule
9559(h)(2) to require FINRA to serve its exhibit and witness lists by
email, unless an alternative method of service is ordered by the
Adjudicator. The proposed rule change would amend Rule 9559(q)(2) and
(5) to allow for email as a method of service.
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    \33\ FINRA Rule 9559(h) (Hearing Procedures for Expedited
Proceedings Under the Rule 9550 Series; Transmission of Documents).
Rule 9559(h) currently permits email as a method of service.
    \34\ As with the proposed rule change to amend Rule 1015(a)
noted supra note 17, FINRA proposes to amend Rule 9559(h) to also
eliminate the requirements in Rule 9559(h)(1) and (2) that, if the
specified documents are served by facsimile or email, they must also
be served by either overnight courier or personal delivery.
    \35\ FINRA Rule 9559(q) (Hearing Procedures for Expedited
Proceedings Under the Rule 9550 Series; Call for Review by the
National Adjudicatory Council).
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    The FINRA Rule 9600 Series sets forth the procedures for members to
seek exemptive relief from a variety of FINRA rules. Rule 9630(e)(1)
and (2) \36\ require the NAC to serve its decision pursuant to Rule
9134, which does not allow for email as a method of service. The
proposed rule change would amend Rule 9630(e) to allow for email as a
method of service.
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    \36\ FINRA Rule 9630(e) (Procedures for Exemptions; Appeal;
Decision).
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    As discussed in detail in Item 3(b), FINRA believes the proposal
will modernize the rules and make service

and filing more efficient and effective. Email technology is widely
available, and use of electronic methods of service and filing is
common practice in the courts and other regulatory agencies, including
the SEC.\37\ At the same time, the proposal provides for alternative
methods of service for parties who lack the ability to use or access
technology needed to send or receive documents electronically.
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    \37\ See supra note 8.
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    FINRA will announce the effective date of the proposed rule change
in a Regulatory Notice.\38\
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    \38\ FINRA intends to minimize any gap between the expiration of
the temporary amendments on electronic service and filing and the
implementation date of this proposed rule change.
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2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\39\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change is also
consistent with Section 15A(b)(8) of the Act,\40\ which requires, among
other things, that FINRA rules provide a fair procedure for the
disciplining of members and persons associated with members.
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    \39\ 15 U.S.C. 78o-3(b)(6).
    \40\ 15 U.S.C. 78o-3(b)(8).
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    FINRA believes that the proposed rule change protects investors and
the public interest by requiring use of broadly available technology to
make service and filing processes more efficient and effective. FINRA's
disciplinary and eligibility proceedings and other review processes
serve a critical role in providing investor protection and maintaining
fair and orderly markets by, for example, sanctioning misconduct and
preventing further customer harm by members and associated persons.
    The proposed rule change promotes efficiency in these processes by
permitting electronic service and filing in most instances. To ensure
that documents are effectively sent and received, FINRA is proposing to
require parties to provide and update their contact information,
including their email address, during the course of a proceeding. These
amendments reduce the reliance on paper documents in favor of more
efficient electronic formats. FINRA believes adopting permanent rules
on electronic service and filing is especially important as hybrid and
remote work become more common.
    At the same time, the proposed rule change includes safeguards to
ensure fairness. For example, there are procedures in place for persons
who lack the ability to use or access technology necessary to send or
receive documents electronically. Such parties will have the ability to
request relief from the Adjudicator to file or serve documents by
another method. Based on FINRA's experience of operating under the
temporary amendments, which have permitted electronic service and
filing since mid-2020, FINRA anticipates that requests to use non-
electronic methods of service will be rare. In addition, the proposed
rule change balances the interests of fairness and efficiency. As
discussed, service of the initial complaint will continue to occur by
hand, mail or courier, rather than by electronic means, thus ensuring
there is satisfactory notice and fair process.
    Thus, the proposed rule change represents a significant step toward
modernizing the service and filing processes in a manner that will
protect investors and the public interest by promoting efficiency while
preserving fair process.

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

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act.
Economic Impact Assessment
    FINRA has undertaken an economic impact assessment, as set forth
below, to analyze the regulatory need for the proposed rule change, its
potential economic impacts, including anticipated costs, benefits, and
distributional and competitive effects, relative to the current
baseline, and the alternatives FINRA considered in assessing how best
to meet FINRA's regulatory objectives.
Regulatory Need
    Several of FINRA's rules regarding method of service and filing
have been amended temporarily to permit, and in some circumstances
require, electronic filing and service during the period in which
FINRA's operations have been impacted by the COVID-19 pandemic.\41\ As
stated earlier, the proposed rule change is intended to make these
temporary amendments permanent considering the positive experience of
operating while the temporary amendments have been in effect. The
implementation of those temporary amendments suggests that advances in
technology and its availability have made filing and service more
efficient under the temporary amendments than under the original rules.
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    \41\ See supra note 3.
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Economic Baseline
    The economic baseline for the proposed rule change consists of the
original rules together with the experience gained by broker-dealers,
their associated persons, and FINRA in complying with the temporary
amendments to the original rules. As discussed above, FINRA Rules 1000,
6400, 9100, 9300, 9520, 9550 and 9600 Series set forth filing and
service requirements pertaining to expedited and disciplinary
proceedings before OHO and to appeals before the NAC, among other types
of FINRA proceedings. These rules, with few exceptions, do not allow
FINRA to use email or require others to use email to meet certain
filing and service requirements. FINRA temporarily amended these rules
to permit, and in some instances require, electronic filing and
service.
    The proposed rule change is expected to affect parties to
disciplinary proceedings before OHO and to appeals before the NAC.
FINRA thus has collected information detailing the number of new cases
filed in OHO and NAC proceedings and the number of respondents in
association with these proceedings in the past three years. The numbers
are presented below. Note that ``Registered Rep'' includes both current
and former registered representatives and the numbers of new OHO
filings include both expedited and disciplinary proceedings before OHO.
The numbers show that the majority of respondents in OHO filings and
NAC appeals consist of current and former registered
representatives.\42\
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    \42\ The proposal also amends filing and service requirements
for eligibility proceedings under FINRA Rule 9522(a)(4) and for
appeals of determinations regarding the documentation of certain
corporate actions under FINRA Rule 6490(e). There were 22
eligibility proceedings in 2018 and 14 in 2019; there have been no
appeals of determinations under Rule 6490(e) since the temporary
requirements came into effect in May 2020.

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                                                                       2020            2019            2018
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OHO Filings.....................................................              69              95              90
OHO Respondents: Firms Only.....................................               2               7               9
OHO Respondents: Registered Rep Only............................              65              85              76
OHO Respondents: Both Firms and Registered Rep..................               2               3               5
NAC Appeals.....................................................              13              17              22
NAC Respondents: Firms Only.....................................               2               2               3
NAC Respondents: Registered Rep Only............................               9              11              15
NAC Respondents: Both Firms and Registered Rep..................               2               4               4
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Economic Impacts
    The proposed rule change will directly impact current and former
member firms and associated persons, including registered
representatives. With limited exceptions, these individuals would be
applicants, respondents, or other related parties to disciplinary
proceedings before OHO and to appeals before the NAC. The proposed rule
change will not directly impact the customers of those firms.
    Parties in relevant proceedings will benefit from savings on time
and money on printing, shipping, and storage of paper documents as
filing and serving paper copies will generally not be required
following the proposed rule change. The proposed rule change would also
improve the overall efficiency of FINRA's operations in collecting,
preserving, and distributing documents to parties in these proceedings
relative to the original rules. Such benefits are anticipated to accrue
to firms and individuals as well as to FINRA in its capacity as an
adjudicator. In particular, FINRA believes that the benefits to member
firms from the proposal will likely be larger for those using hybrid
and remote work models or in situations where access to physical office
locations is limited or restricted.
    The extent of the cost savings is likely not uniform across parties
and cannot be estimated in aggregate for two reasons. First, FINRA does
not know the frequencies of filing and service and the size of the
documents in association with relevant proceedings. The expected cost
savings will likely be greater for parties that file and serve large
documents more frequently. Second, FINRA does not know how parties
agreed to serve documents, by email, paper, or other alternative
methods, during the pre-pandemic period.
    Certain parties may bear incremental burdens over pre-pandemic
filing and service practices. FINRA does not know the extent to which,
under the proposed rule change, certain parties will incur some costs
to scan documents. Anecdotally, FINRA understands that this group is
small. The proposals to have a valid email address and to require
filing by email are not expected to impose significant new costs
because anecdotal evidence suggests that this method of filing was
already adopted by most parties to OHO and NAC proceedings before the
pandemic.\43\ FINRA notes that OHO and the NAC have not received any
complaints regarding the temporary amendments on method of service and
filing during the pandemic. FINRA also notes that the SEC recently
finalized a rule to require electronic filing and service of documents
in SEC administrative proceedings.\44\ The Commission received only
seven comments on the proposed rule and reported that commenters
generally supported electronic filing.\45\
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    \43\ It can be difficult to assess potential cost increases
following the proposal to require service by email because FINRA
does not know the extent to which parties agreed to service by email
during the pre-pandemic period.
    \44\ See supra note 8.
    \45\ See supra note 8. The comments are available at https://www.sec.gov/comments/s7-19-15/s71915.shtml.
---------------------------------------------------------------------------

    The proposal will likely impose a higher cost on parties who have
limited access to the internet and to any hardware and software that
may be involved in processing the documents. For example, it is
unlikely that member firms or current registered representatives would
face these challenges, but former registered representatives may. There
have been a few such individuals in recent proceedings before OHO and
the NAC.\46\ The proposal will allow reasonable accommodations for such
individuals. Service of an initial complaint on a respondent would not
be subject to the proposed rule change on electronic service and
filing, mitigating any risk that a respondent would be unaware of the
complaint.
---------------------------------------------------------------------------

    \46\ For example, over the year 2020, there were 65 OHO filings
with registered representatives as the sole respondents. Among them,
21 OHO filings had former registered representatives as respondents.
In addition, there were 27 and 26 OHO filings, respectively, with
former registered representatives as respondents in year 2019 and
2018.
---------------------------------------------------------------------------

    The overall benefits and costs of the proposal will depend on the
expected volume of the relevant proceedings and the number of
respondents associated with these proceedings. As described earlier,
there have been only a limited number of new cases or appeals filed
annually in OHO and NAC proceedings in the past three years. The
majority of these cases or appeals involved only one respondent. Based
on these historical numbers, the overall economic impact is likely to
be small.
Alternatives Considered
    In developing the proposal, FINRA sought to preserve the
efficiencies in filing and service practices that were achieved during
the pandemic. No significant alternatives to these requirements were
considered.

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

    Written comments were neither solicited nor received.

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

    Within 45 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 or disapprove 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 email to [email protected]. Please include
File Number SR-FINRA-2022-009 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-FINRA-2022-009. 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 such filing also will be available for inspection
and copying at the principal office of FINRA. 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-FINRA-2022-009 and should be submitted
on or before May 5, 2022.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\47\
---------------------------------------------------------------------------

    \47\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2022-07955 Filed 4-13-22; 8:45 am]
BILLING CODE 8011-01-P


			  UNITED STATES OF AMERICA

		        DEPARTMENT OF TRANSPORTATION

			  OFFICE OF THE SECRETARY

			          WASHINGTON, D.C.

Issued by the Department of Transportation on February 19, 2004

NOTICE OF ACTION TAKEN -- DOCKETS OST-2000-7490

________________________________________________________________________
__________________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Applicant:  Emirates							Date Filed:  February 12, 2004

Relief requested:  Amend existing exemption authority to the extent
necessary to conduct (1) all-cargo services between the United States
and any point or points; and (2) charters between any point or points in
the United States and any point or points not in the United States,
provided that, except with respect to cargo charters, such service
constitutes part of a continuous operation that includes service to the
United Arab Emirates (U.A.E.) for the purpose of carrying local traffic
between the U.A.E. and the United States.

If renewal, date and citation of last action:  Amends authority granted
July 1, 2003, in this docket

Applicant representative:  Jeffrey A. Manley & David Heffernan (202)
663-6000

DOT Analyst:  Gordon H. Bingham<PHONE_NUMBER>

Pleadings:  None filed

DISPOSITION

Action:  Approved							Action date:  February 19, 2004

(We acted on Emirates’ request in less than the full 15-day period for
filing answers with the consent of all parties served.)

Effective dates of authority granted:  February 19, 2004-July 1, 2005
(coextensive with the authority granted Emirates on July 1, 2003, in
this docket).

Basis for approval (bilateral agreement/reciprocity):  April 13, 1999,
U.S.-U.A.E. Air Transport Agreement

Except to the extent exempted/waived, this authority is subject to the
terms, conditions, and limitations indicated:  X  Standard exemption
conditions (attached)

Special conditions/Partial grant/Denial basis/Remarks: None

Action taken by:   Paul L. Gretch, Director

		      Office of International Aviation

________________________________________________________________________
_________

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) the applicant was qualified to perform the
proposed operations; (2) our action was consistent with Department
policy; (3) grant of the authority was consistent with the public
interest; and (4) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
To the

extent not granted/deferred/dismissed, we denied all requests in the
referenced Docket.  We may amend, modify, or revoke the authority
granted in this Notice at any time without hearing at our discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR §
385.30, may file their petitions within seven (7) days after the date of
issuance of this Notice.  This action was effective when taken, and the
filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

http://dms.dot.gov//reports/reports_aviation.asp

				Attachment

Foreign Carrier Conditions

In the conduct of the operations authorized, the foreign carrier
applicant(s) shall:

(1)  Not conduct any operations unless it holds a currently effective
authorization from its homeland for such operations, and it has filed a
copy of such authorization with the Department;

(2)  Comply with all applicable requirements of the Federal Aviation
Administration, including, but not limited to, 14 CFR Parts 129, 91, and
36, and with all applicable U.S. Government requirements concerning
security.  To assure compliance with all applicable U.S. Government
requirements concerning security, the holder shall, before commencing
any new service (including charter flights) from a foreign airport that
would be the holder’s last point of departure for the United States,
contact its Principal Security Inspector (PSI) to advise the PSI of its
plans and to find out whether the Transportation Security Administration
has determined that security is adequate to allow such airport(s) to be
served;

(3)  Comply with the requirements for minimum insurance coverage
contained in 14 CFR Part 205, and, prior to the commencement of any
operations under this authority, file evidence of such coverage, in the
form of a completed OST Form 6411, with the Federal Aviation
Administration’s Program Management Branch (AFS-260), Flight Standards
Service (any changes to, or termination of, insurance also shall be
filed with that office);

(4)  Not operate aircraft under this authority unless it complies with
operational safety requirements at least equivalent to Annex 6 of the
Chicago Convention;

(5)  Conform to the airworthiness and airman competency requirements of
its Government for international air services;

(6)  Except as specifically exempted or otherwise provided for in a
Department Order, comply with the requirements of 14 CFR Part 203,
concerning waiver of Warsaw Convention liability limits and defenses;

(7)  Agree that operations under this authority constitute a waiver of
sovereign immunity, for the purposes of 28 U.S.C. 1605(a), but only with
respect to those actions or proceedings instituted against it in any
court or other tribunal in the United States that are: (a)  based on its
operations in international air transportation that, according to the
contract of carriage, include a point in the United States as a point of
origin, point of destination, or agreed stopping place, or for which the
contract of carriage was purchased in the United States; or (b)  based
on a claim under any international agreement or treaty cognizable in any
court or other tribunal of the United States.  In this condition, the
term "international air transportation" means "international
transportation" as defined by the Warsaw Convention, except that all
States shall be considered to be High Contracting Parties for the
purpose of this definition;

(8)  Except as specifically authorized by the Department, originate or
terminate all flights to/from the United States in its homeland;

(9)  Comply with the requirements of 14 CFR Part 217, concerning the
reporting of scheduled, nonscheduled, and charter data;

(10) If charter operations are authorized, except as otherwise provided
in the applicable aviation agreement, comply with the Department's rules
governing charters (including 14 CFR Parts 212 and 380); and

(11) Comply with such other reasonable terms, conditions, and
limitations required by the public interest as may be prescribed by the
Department, with all applicable orders or regulations of other U.S.
agencies and courts, and with all applicable laws of the United States.

This authority shall not be effective during any period when the holder
is not in compliance with the conditions imposed above.  Moreover, this
authority cannot be sold or otherwise transferred without explicit
Department approval under Title 49 of the U.S. Code.

  See also Notice of Action Taken dated January 23, 2004, removing the
code share or wet lease condition from the authorities granted Emirates
on July 1, 2003, in this docket.


[Federal Register: January 24, 2008 (Volume 73, Number 16)]
[Notices]
[Page 4202-4204]
[DOCID:fr24ja08-67]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

January 15, 2008.
    Take notice that the Commission received the following electric
corporate filings:
    Docket Numbers: EC08-21-001.
    Applicants: Northern Indiana Public Service Company.
    Description: Supplement To The Application of Northern Indiana
Public Service Company.
    Filed Date: 01/09/2008.
    Accession Number: 20080109-5154.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 22, 2008.

    Docket Numbers: EC08-35-000.
    Applicants: Aircraft Services Corporation; Smoky Hills Wind Farm,
LLC.
    Description: Smoky Hills Wind Farm, LLC submits an application
seeking authorization for the acquisition by TexKan Wind of Smoky, LLC.
    Filed Date: 01/08/2008.
    Accession Number: 20080110-0026.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 29, 2008.
    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG08-30-000.
    Applicants: Kelson Energy III LLC.
    Description: Notice of Self-Certification of Exempt Wholesale
Generator Status of Kelson Energy III LLC.
    Filed Date: 01/14/2008.
    Accession Number: 20080114-5083.
    Comment Date: 5 p.m. Eastern Time on Monday, February 04, 2008.
    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER96-1361-012; ER98-4138-008; ER99-2781-010; ER98-
3096-014; ER01-202-007; ER00-1770-016; ER02-453-009; ER04-472-006;
ER07-903-001; ER05-1054-002.
    Applicants: Atlantic City Electric Company; Potomac Electric Power
Company; Delmarva Power & Light Company; Pepco Energy Services, Inc;
Potomac Power Resources, LLC; Conectiv Energy Supply, Inc.; Conectiv
Atlantic Generation, LLC; Conectiv Delmarva Generation LLC; Conectiv
Bethlehem, LLC; Fauquier Landfill Gas, LLC; Bethlehem Renewable Energy,
LLC; Eastern Landfill Gas, LLC Description: Atlantic City Electric Co
et al submit a Change of Status under FERC Order No. 652 & 18 CFR
Section 35.27.
    Filed Date: 01/10/2008.
    Accession Number: 20080110-5086.
    Comment Date: 5 p.m. Eastern Time on Thursday, January 31, 2008.

    Docket Numbers: ER98-4159-010; ER04-268-007; ER06-398-004; ER06-
399-004.
    Applicants: Duquesne Light Company; Duquesne Power, L.P.; Duquesne
Keystone, LLC; Duquesne Conemaugh, LLC.
    Description: Notice of Affiliate Treatment for Purposes of
Affiliate Restrictions in 18 CFR 35.39 of Duquesne Light Company, et
al.
    Filed Date: 01/09/2008.
    Accession Number: 20080109-5111.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER99-1005-008.
    Applicants: Kansas City Power & Light Company.
    Description: Application to amend market-based rate tariff of
Kansas City Power & Light Company.
    Filed Date: 01/10/2008.
    Accession Number: 20080114-0035.
    Comment Date: 5 p.m. Eastern Time on Thursday, January 31, 2008.

    Docket Numbers: ER05-1052-003.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool Inc submits its refund report
demonstrating its compliance with the refund directives of the October
4 Order.
    Filed Date: 12/31/2007.
    Accession Number: 20080102-0248.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 22, 2008.

    Docket Numbers: ER06-615-017; ER02-1656-035; ER07-1257-001; EL05-
146-006; EL08-20-000.
    Applicants: California Independent System Operator Corporation.
    Description: California Independent System Operator Corp submits
their instant filing, in compliance with FERC's 12/20/07 Order.
    Filed Date: 12/28/2007.
    Accession Number: 20080110-0206.
    Comment Date: 5 p.m. Eastern Time on Friday, January 18, 2008.

    Docket Numbers: ER07-546-010.
    Applicants: ISO New England, Inc.
    Description: EnerNOC's Request for Expedited Consideration and
Limited Waiver of Qualification Process Reimbursement Deposit Due Date
under Market Rule 1.
    Filed Date: 01/11/2008.
    Accession Number: 20080111-5073.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 22, 2008.

    Docket Numbers: ER07-1392-001.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits First Revised Service Agreement 357
et al for Long-Term Firm Point-to-Point Transmission Service with PPM
Energy Inc.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0109.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER08-40-002
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, LLC responds to FERC's 12/10/07
deficiency letter re an executed interconnection service agreement with
Conectiv Delmarva Generation et al.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0111.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER08-92-001.
    Applicants: Virginia Electric and Power Company.
    Description: Virginia Electric and Power Company dba Dominion
Virginia Power submits its Responses to FERC Staff's 12/19/07
Deficiency Letter and on 1/11/08 submit an errata to this filing.
    Filed Date: 01/10/2008; 01/11/08.
    Accession Number: 20080114-0034.
    Comment Date: 5 p.m. Eastern Time on Thursday, January 31, 2008.

    Docket Numbers: ER08-129-001.
    Applicants: Southern Operating Companies.
    Description: Southern Company Services Inc agent for Alabama Power
Co et al submits a form of notice of amendment in accordance with the
questions posed by FERC.

    Filed Date: 01/10/2008.
    Accession Number: 20080114-0033.
    Comment Date: 5 p.m. Eastern Time on Thursday, January 31, 2008.

    Docket Numbers: ER08-212-001.
    Applicants: NSTAR Electric Company.
    Description: NSTAR Electric Company submits an executed Amendment 1
to the Interconnection Agreement, designated as Rate Schedule FERC 230,
to become effective 1/13/08.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0008.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER08-314-001.
    Applicants: Bicent (California) Malburg LLC.
    Description: Bicent (California) Malburg LLC submits its 12/7/07
application for market-based rate authority etc.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0108.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 22, 2008.

    Docket Numbers: ER08-351-000.
    Applicants: Edison Sault Electric Company.
    Description: Edison Sault Electric Co submits Supplemental
Agreement 10 to the contract with Clover land Electric Cooperative,
Inc.
    Filed Date: 12/19/2007.
    Accession Number: 20071221-0158.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 09, 2008.

    Docket Numbers: ER08-428-000.
    Applicants: Southern California Edison Company.
    Description: Southern California Edison Company submits the Amended
and Restated Cactus Avenue Wholesale Distribution Load Interconnection
Facilities Agreement 100 with the City of Moreno Valley.
    Filed Date: 01/08/2008.
    Accession Number: 20080110-0007.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 29, 2008.

    Docket Numbers: ER08-429-000.
    Applicants: Midwest Independent Transmission System Operator Inc.
    Description: Midwest Independent Transmission System Op Inc.
submits amended & restated large generator interconnection agreement,
First Revised Service Agreement 1849 under its FERC Electric Tariff,
Third Revised Volume 1.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0011.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER08-430-000.
    Applicants: Public Service Company of New Mexico.
    Description: Public Service Company of New Mexico submits an
executed long-term firm point-to-point transmission service agreement
with Aragone Wind LLC.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0009.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER08-431-000.
    Applicants: American Electric Power Service Corporation.
    Description: AEP Operating Companies submits fifth revision to the
Interconnection and Local Delivery Agreement with the Blue Ridge Power
Authority.
    Filed Date: 01/09/2008.
    Accession Number: 20080110-0010.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 30, 2008.

    Docket Numbers: ER08-432-000.
    Applicants: Kentucky Power Company.
    Description: Kentucky Power Company submits its Revised Sheet 10 et
al to its FERC Electric Tariff 52.
    Filed Date: 01/10/2008.
    Accession Number: 20080114-0037.
    Comment Date: 5 p.m. Eastern Time on Thursday, January 31, 2008.

    Docket Numbers: ER08-433-000.
    Applicants: Midwest Independent Transmission System.
    Description: Midwest Independent Transmission System Operator Inc
submits its Transmission to Transmission Interconnection Agreement
among Hossier Energy Rural Electric Cooperative Inc et al.
    Filed Date: 01/10/2008.
    Accession Number: 20080114-0036.
    Comment Date: 5 p.m. Eastern Time on Thursday, January 31, 2008.

    Docket Numbers: ER08-434-000.
    Applicants: Southern California Edison Company.
    Description: Southern California Edison Company submits a revised
rate sheet to the Amended and Restated Huntington Beach Generating
Station Radial Lines Agreement with AES Huntington Beach LLC.
    Filed Date: 01/11/2008.
    Accession Number: 20080114-0032.
    Comment Date: 5 p.m. Eastern Time on Friday, February 01, 2008.

    Docket Numbers: ER08-435-000.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: Midwest Independent Transmission System Operator Inc
submits proposed revisions to its Open Access Transmission and Energy
Markets Tariff.
    Filed Date: 01/11/2008.
    Accession Number: 20080114-0031.
    Comment Date: 5 p.m. Eastern Time on Friday, February 01, 2008.

    Docket Numbers: ER08-436-000.
    Applicants: Mirant Power Purchase, LLC.
    Description: Mirant Power Purchase, LLC submits a notice of
cancellation of FERC Electric Tariff, Original Volume 1, effective 3/9/
06.
    Filed Date: 01/11/2008.
    Accession Number: 20080114-0408.
    Comment Date: 5 p.m. Eastern Time on Friday, February 01, 2008.

    Docket Numbers: ER08-437-000.
    Applicants: Mountainview Power Company LLC.
    Description: Mountainview Power Company, LLC submits support for an
updated cost of capital for use in billings under the Power Purchase
Agreement with Southern California Edison Co, effective 1/1/08.
    Filed Date: 01/11/2008.
    Accession Number: 20080114-0418.
    Comment Date: 5 p.m. Eastern Time on Friday, February 01, 2008.

    Take notice that the Commission received the following electric
securities filings:
    Docket Numbers: ES08-24-000.
    Applicants: Startrans IO, L.L.C.
    Description: Startrans IO, LLC's Application Under Section 204 of
the Federal Power Act For Authority To Issue Securities and Request for
Expedited Consideration.
    Filed Date: 01/11/2008.
    Accession Number: 20080111-5052.
    Comment Date: 5 p.m. Eastern Time on Friday, February 01, 2008.
    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. 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. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov.
 To facilitate electronic service, persons with Internet

access who will eFile a document and/or be

listed as a contact for an intervenor must create and validate an
eRegistration account using the eRegistration link. Select the eFiling
link to log on and submit the intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
 [FR Doc. E8-1154 Filed 1-23-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 87 (Friday, May 4, 2018)]
[Proposed Rules]
[Pages 19656-19659]
[FR Doc No: 2018-09436]

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

Coast Guard

33 CFR Part 100

[Docket Number USCG-2018-0209]
RIN 1625-AA08

Special Local Regulations for Marine Events, Delaware River;
Philadelphia, PA

AGENCY: Coast Guard, DHS.

ACTION: Notice of Proposed Rulemaking.

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SUMMARY: The Coast Guard is proposing to establish a special local
regulation on the waters of the Delaware River in Philadelphia,
Pennsylvania. The regulation would restrict vessel traffic operations
on a portion of the Delaware River during the Tall Ships Parade of Sail
event that is taking place on May 24, 2018, from 12:00 noon to 6:00
p.m. This regulation is necessary to protect the surrounding public and
vessels from the hazards associated with a parade of sail.

DATES: Comments and related material must be received by the Coast
Guard on or before May 11, 2018.

ADDRESSES: You may submit comments identified by docket number USCG-
2018-0209 using the Federal eRulemaking Portal at http://www.regulations.gov. See the ``Public Participation and Request for
Comments'' portion of the SUPPLEMENTARY INFORMATION section for further
instructions on submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email Lieutenant (Junior Grade) Kiley Relf, U.S. Coast Guard,
Sector Delaware Bay, Chief Waterways Management Division, Coast Guard;
telephone<PHONE_NUMBER>, email [email protected].

SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
COTP Captain of the Port
DHS Department of Homeland Security
FR Federal Register
NPRM Notice of proposed rulemaking
Sec.  Section
U.S.C. United States Code

II. Background, Purpose, and Legal Basis

    The sponsor for the Sail Philadelphia marine event submitted an
application for a marine event permit that will take place from May 24,
2018, through May 28, 2018. The event includes a tall ships parade from
noon to 6 p.m. on May 24, 2018. The COTP Delaware Bay has determined
that potential hazards associated with the parade would be a safety
concern for anyone intending to participate in this event or for
vessels that operate within the waters where this event will be held.
    The purpose of this proposed rulemaking is to ensure the safety of
vessels and persons during the tall ships' parade on the navigable
waters of the Delaware River in Philadelphia, Pennsylvania. The Coast
Guard proposes this rulemaking under authority in 33 U.S.C. 1233.

III. Discussion of Proposed Rule

    The COTP Delaware Bay, proposes the establishment of a special
local regulation on specified waters of the Delaware River, adjacent to
Philadelphia, Pennsylvania, bounded in the west by the Pennsylvania
shoreline, bounded in the east by the eastern edge of the navigation
channel, bounded in the South by the Walt Whitman Bridge, and bounded
on the north by the Benjamin Franklin Bridge. In addition, the special
local regulation includes all waters of the Delaware River South of the
Benjamin Franklin Bridge to an east-west line from the northern end of
Wiggins Marina in Camden, New Jersey, (39[deg]56'32'' N and
075[deg]07'56'' W) to the Pennsylvania shoreline. The special local
regulation will be effective and enforced during the tall ships parade
from noon through 6 p.m. on May 24, 2018. Access to the regulated area
will be restricted during the specified date and time.
    A fleet of spectator vessels is anticipated to gather nearby to
view the marine event. Due to the need for vessel control during the
marine event, vessel traffic will temporarily be restricted to provide
safety of participants, spectators and transiting vessels. The Coast
Guard will apply the provisions of 33 CFR 100.501(c) to the above
specified locations during the enforcement period. Vessels may not
enter the regulated area unless they receive permission from the
designated representative.
    The Coast Guard will have a marine event patrol, as described in 33
CFR 100.40(a), to the event. Additionally, a Patrol Commander will be
assigned to oversee the patrol. The marine event patrol and Patrol
Commander may be contacted on VHF-FM Channel 16. During the enforcement
period, the Coast Guard Patrol Commander may forbid and control the
movement of all vessels in the regulated area. When hailed or signaled
by the marine event patrol vessel or Patrol Commander, a vessel within
the regulated area shall immediately comply with the directions given.
Failure to do so may result in expulsion from the regulated area,
citation for failure to comply, or both. The Coast Guard Patrol
Commander may terminate the event, or the operation of any vessel
participating in the event, at any time he or she deems it necessary
for the protection of life or property. Coast Guard Sector Delaware Bay
will notify the public by a broadcast notice to mariners at least one
hour prior to the times of enforcement. Additionally a broadcast notice
to marines will notify mariners of the termination of the Special Local
Regulation.

IV. Regulatory Analyses

    We developed this proposed rule after considering numerous statutes
and Executive orders related to rulemaking. Below we summarize our
analyses based on a number of these statutes and Executive orders and
we discuss First Amendment rights of protestors.

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. Executive Order 13771 directs agencies to control
regulatory costs through a budgeting process. This NPRM has not been
designated a ``significant regulatory action,'' under Executive Order
12866. Accordingly, the NPRM has not been reviewed by the Office of
Management and Budget (OMB), and pursuant to OMB guidance it is exempt
from the requirements of Executive Order 13771.
    Although this regulation will restrict access to the regulated
area, the effect of this proposed rule will not be significant because:
(i) The Coast Guard will make extensive notification of the regulated
area to the maritime public via maritime advisories so mariners can
alter their plans accordingly; (ii) vessels may still be permitted to
transit through the regulated area with the permission of the
designated representative on a case-by-case basis; and (iii) this rule
will be enforced for only the duration of the tall ships parade, a six
hour event.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this
proposed rule would not have a significant economic impact on a
substantial number of small entities.
    While some owners or operators of vessels intending to transit the
regulated area may be small entities, for the reasons stated above in
IV.A above, this proposed rule would not have a significant economic
impact on any vessel owner or operator.
    If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rule would have
a significant economic impact on it, please submit a comment (see
ADDRESSES) explaining why you think it qualifies and how and to what
degree this rule would economically affect it.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule. If the rule would affect
your small business, organization, or governmental jurisdiction and you
have questions concerning its provisions or options for compliance,
please contact the person listed in the FOR FURTHER INFORMATION CONTACT
section. The Coast Guard will not retaliate against small entities that
question or complain about this proposed rule or any policy or action
of the Coast Guard.

C. Collection of Information

    This proposed rule would not call for a new collection of
information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520).

D. Federalism and Indian Tribal Governments

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has 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. We have
analyzed this proposed rule under that Order and have determined that
it is consistent with the fundamental federalism principles and
preemption requirements described in Executive Order 13132.
    Also, this proposed rule does not have tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes. If
you believe this proposed rule has implications for federalism or
Indian tribes, please contact the person listed in the FOR FURTHER
INFORMATION CONTACT section.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this proposed rule would not
result in such an expenditure, we do discuss the effects of this rule
elsewhere in this preamble.

F. Environment

    We have analyzed this proposed rule under Department of Homeland
Security Directive 023-01 and Commandant Instruction M16475.1D, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (42 U.S.C. 4321-4370f), and have made a preliminary
determination that this action is one of a category of actions that do
not individually or cumulatively have a significant effect on the human
environment. This proposed rule involves a special local regulation
lasting less than 7 hours that would prohibit entry into portions of
the Delaware River in order to promote public and maritime safety
during a tall ships parade. Normally such actions are categorically
excluded from further review under paragraph L61 of Appendix A, Table 1
of DHS Instruction Manual 023-01-001-01, Rev. 01. Supporting
documentation is available in the docket where indicated under
ADDRESSES. We seek any comments or information that may lead to the
discovery of a significant environmental impact from this proposed
rule.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places, or vessels.

V. Public Participation and Request for Comments

    We view public participation as essential to effective rulemaking,
and will consider all comments and material received during the comment
period. Your comment can help shape the outcome of this rulemaking. If
you submit a comment, please include the docket number for this
rulemaking, indicate the specific section of this document to which
each comment applies, and provide a reason for each suggestion or
recommendation.
    We encourage you to submit comments through the Federal eRulemaking
Portal at http://www.regulations.gov. If your material cannot be
submitted using http://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions.
    We accept anonymous comments. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided. For more about privacy and the
docket, visit http://www.regulations.gov/privacyNotice.
    Documents mentioned in this NPRM as being available in the docket,
and all public comments, will be in our online docket at http://www.regulations.gov and can be viewed by following that website's
instructions. Additionally, if you go to the online docket and sign up
for email alerts, you will be notified when comments are posted or a
final rule is published.

List of Subjects in 33 CFR Part 100

    Marine safety, Navigation (water), Reporting and recordkeeping
requirements, Waterways.

    For the reasons discussed in the preamble, the Coast Guard proposes
to amend 33 CFR part 100 as follows:

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

0
1. The authority citation for part 100 continues to read as follows:

    Authority:  33 U.S.C 1233, 33 CFR 1.05-1.
0
2. Add temporary Sec.  100.T05-0209, to read as follows:

Sec.  100.T05-0209   Special Local Regulations For Marine Events,
Delaware River; Philadelphia, PA.

    (a) Regulated areas. All waters of the Delaware River, adjacent to
Philadelphia, Pennsylvania, bounded in the west by the Pennsylvania
shoreline, bounded in the east by the eastern edge of the navigation
channel as depicted on U.S. Nautical Chart 12313 or U.S. Electronic
Nautical Chart US5PA12M, bounded in the south by the Walt Whitman
Bridge, and bounded on the north by the Benjamin Franklin Bridge. In
addition, the special local regulation includes all waters of the
Delaware River south of the Benjamin Franklin Bridge to an east-west
line from the northern end of Wiggins Marina in Camden, New Jersey,
(39[deg]56'32'' N and 075[deg]07'56'' W) to the Pennsylvania shoreline.
The coordinates for both areas are based on datum WGS 84.
    (b) Definitions. (1) As used in this section, Captain of the Port
means the Commander, Sector Delaware Bay or any Coast Guard
commissioned, warrant, or petty officer who has been authorized by the
Captain of the Port to act on his behalf.
    (2) Coast Guard Patrol Commander. A Patrol Commander (PATCOM) is a
commissioned, warrant, or petty officer of the Coast Guard who has been
designated by the respective Coast Guard Sector--Captain of the Port to
enforce these regulations.
    (3) Official patrol. Any vessel assigned or approved by the
respective Captain of the Port with a commissioned, warrant, or petty
officer on board and displaying a Coast Guard ensign.
    (4) Spectators. All persons and vessels not registered with the
event sponsor as participants or official patrol vessels.
    (c) Regulations. (1) Controls on vessel movement. The PATCOM or
designated marine event patrol may forbid and control the movement of
all vessels in the regulated area(s). When hailed or signaled by an
official patrol vessel, a vessel in these areas shall immediately
comply with the directions given. Failure to do so may result in
expulsion from the area, citation for failure to comply, or both.

    (2) Directions, instructions, and minimum speed necessary. The
operator of any vessel in the regulated area shall:
    (i) Stop the vessel immediately when directed to do so by any
Official Patrol and then proceed only as directed.
    (ii) All persons and vessels shall comply with the instructions of
the Official Patrol.
    (iii) Vessel operators may request permission to enter and transit
through a regulated area by contacting the PATCOM on VHF-FM channel 16.
When authorized to transit through the regulated area, vessels shall
proceed at the minimum speed necessary to maintain a safe course that
minimizes wake near the race course or marine event area.
    (d) Enforcement Period. This rule will be enforced from noon
through 6 p.m. on May 24, 2018, unless cancelled earlier by the Captain
of the Port once all operations are completed.

    Dated: April 30, 2018.
Scott. E. Anderson,
Captain, U.S. Coast Guard, Captain of the Port Delaware Bay.
[FR Doc. 2018-09436 Filed 5-3-18; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 79, Number 229 (Friday, November 28, 2014)]
[Rules and Regulations]
[Pages 70785-70787]
[FR Doc No: 2014-27995]

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

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2014-0971; Directorate Identifier 2014-SW-055-AD;
Amendment 39-18035; AD 2014-24-02]
RIN 2120-AA64

Airworthiness Directives; Agusta S.p.A. Helicopters

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

ACTION: Final rule; request for comments.

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

SUMMARY: We are superseding Airworthiness Directive (AD) 2014-07-51 for
AgustaWestland S.p.A. Model AB139 and AW139 helicopters with certain
main rotor (M/R) rotating scissors installed. AD 2014-07-51 required
repetitively inspecting the M/R rotating scissors for play of the lower
half scissor spherical bearing (bearing) and removing the bearing if
there was play beyond allowable limits. AD 2014-07-51 also required
removing all affected bearings. AD 2014-07-51 was prompted by reports
of certain bearings dislodging from certain M/R rotating scissors. This
new AD retains the requirements of AD 2014-07-51, expands the
applicability, and requires installing a special nut. These actions are
intended to detect excessive play of the bearing and prevent failure of
the M/R rotating scissors and subsequent loss of control of the
helicopter.

DATES: This AD becomes effective December 15, 2014.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of December 15,
2014.
    The Director of the Federal Register approved the incorporation by
reference of certain other publications listed in this AD as of August
20, 2014 (79 FR 45329, August 5, 2014).
    We must receive comments on this AD by January 27, 2015.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Docket: Go to http://www.regulations.gov. Follow the online instructions for sending your
comments electronically.
     Fax:<PHONE_NUMBER>.
     Mail: Send comments to the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
     Hand Delivery: Deliver to the ``Mail'' address between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

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 AD, the European Aviation Safety
Agency (EASA) AD, any incorporated by reference service information,
the economic evaluation, any comments received, and other information.
The street address for the Docket Operations Office (telephone 800-647-
5527) is in the ADDRESSES section. Comments will be available in the AD
docket shortly after receipt.
    For service information identified in this AD, contact
AgustaWestland, Product Support Engineering, Via del Gregge, 100, 21015
Lonate Pozzolo (VA) Italy, ATTN: Maurizio D'Angelo; telephone 39-0331-
664757; fax 39 0331-664680; or at http://www.agustawestland.com/technical-bulletins. You may review the referenced service information
at the FAA, Office of the Regional Counsel, Southwest Region, 2601
Meacham Blvd., Room 663, Fort Worth, Texas 76137.

FOR FURTHER INFORMATION CONTACT: Robert Grant, Aviation Safety
Engineer, Safety Management Group, FAA, 2601 Meacham Blvd., Fort Worth,
Texas 76137; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety, and we did not provide you with notice and an opportunity to
provide your comments prior to it becoming effective. However, we
invite you to participate in this rulemaking by submitting written
comments, data, or views. We also invite comments relating to the
economic, environmental, energy, or federalism impacts that resulted
from adopting this AD. The most helpful comments reference a specific
portion of the AD, explain the reason for any recommended change, and
include supporting data. To ensure the docket does not contain
duplicate comments, commenters should send only one copy of written
comments, or if comments are filed electronically, commenters should
submit them only one time. We will file in the docket all comments that
we receive, as well as a report summarizing each substantive public
contact with FAA personnel concerning this rulemaking during the
comment period. We will consider all the comments we receive and may
conduct additional rulemaking based on those comments.

Discussion

    On March 27, 2014, we issued Emergency AD (AD) 2014-07-51. AD 2014-
07-51 was published in the Federal Register as a Final rule; request
for comments on August 5, 2014, at 79 FR 45329. AD 2014-07-51 applied
to Agusta Model AB139 and AW139 helicopters with certain serial-
numbered M/R rotating scissors or with a M/R rotating scissors with
certain serial-numbered bearings. AD 2014-07-51 required repetitively
inspecting the M/R rotating scissors for play of the bearing every 5
hours time-in-service (TIS) and, if there was play beyond allowable
limits, removing the affected bearing. AD 2014-07-51 also required
removing all affected bearings within 50 hours TIS. AD 2014-07-51 was
prompted by reports of certain bearings dislodging from certain M/R
rotating scissors, as advised by EASA in its Emergency AD No. 2014-
0073-E, dated March 20, 2014.

Actions Since AD 2014-07-51 Was Issued

    After we issued AD 2014-07-51, AgustaWestland issued Bollettino
Tecnico No. 139-392, dated September 23, 2014 (BT 139-392), for Model
AB139 and AW139 helicopters. BT 139-392 specifies installing a
``special'' nut to prevent the bearing from dislodging and performing
an interim inspection to monitor the bearing in service.
    EASA subsequently issued Emergency AD No. 2014-0215-E, dated
September 24, 2014, which supersedes EASA Emergency AD No. 2014-0073-E,
to correct an unsafe condition for AgustaWestland S.p.A and
AgustaWestland Philadelphia Corporation Model AB139 and AW139
helicopters. EASA advises of additional reports of early excessive play
in the bearings and a report of a chipped bearing liner. These
additional reports involve bearings that were not part of the specific
bearings referenced in EASA AD No. 2014-0073-E. As a result, EASA AD
No. 2014-0215-E expands the applicability to all M/R rotating scissors
with the applicable part number, requires repetitive inspections, and
requires installation of a ``special'' nut in accordance with BT 139-
392.

FAA's Determination

    These helicopters have been approved by the aviation authority of
Italy and are

approved for operation in the United States. Pursuant to our bilateral
agreement with Italy, EASA, its technical representative, has notified
us of the unsafe condition described in the EASA AD. We are issuing
this AD because we evaluated all information provided by EASA and
determined the unsafe condition exists and is likely to exist or
develop on other helicopters of these same type designs.

Related Service Information

    AgustaWestland issued AW139 Document Code 39-C-62-31-00-00A-286C-A,
issue 001, dated August 6, 2012, for Model AB139 and AW139 helicopters
to specify a detailed inspection of the fixed swashplate and rotating
scissors.
    AgustaWestland also issued Bollettino Tecnico No. 139-368, dated
March 19, 2014 (BT 139-368), for Model AB139 and AW139 helicopters with
M/R rotating scissors, part number (P/N) 3G6230A00733 either with
certain serial numbers or which have been repaired with the
installation of certain serial-numbered bearings, P/N 3G6230V00654. BT
139-368 also applies to affected parts kept in stock. BT 139-368 was
issued to identify and replace potentially defective bearings caused by
a supplier quality issue.
    AgustaWestland later issued BT 139-392 for Model AB139 and AW139
helicopters with M/R rotating scissors P/N 3G6230A00733 installed. BT
139-392 specifies inspections to monitor the bearings and provides
procedures for the installation of special nut, P/N 3G6230A06851, to
reinforce the installation of each bearing.

AD Requirements

    This AD retains and clarifies the inspections of the M/R rotating
scissors for damage and play of the bearing, but changes the inspection
interval. This AD requires replacing the nut with a special nut, which
lengthens the time for repetitively inspecting the M/R rotating
scissors for damage and play of the bearing. This AD also retains the
requirement to remove certain serial-numbered rotating scissors and
certain serial-numbered bearings from service. Lastly, this AD states
the design holder's name as Agusta S.p.A. instead of AgustaWestland
S.p.A. as specified by the current FAA type certificate.

Differences Between This AD and the EASA AD

    The EASA AD does not retain all of the requirements of its
superseded AD, while this AD does retain the prior AD requirements. The
EASA AD specifies some compliance terms within calendar time, while
this AD does not. The EASA AD requires contacting AW139 Product Support
Engineering, and this AD does not.

Interim Action

    We consider this AD to be an interim action. If final action is
later identified, we might consider further rulemaking.

Costs of Compliance

    We estimate that this AD affects 102 helicopters of U.S. Registry.
We estimate that operators may incur the following costs in order to
comply with this AD. Labor costs are estimated at $85 per work-hour.
Visually inspecting the M/R rotating scissors for damage and play
requires a minimal amount of time, for a nominal cost per inspection.
Performing the detailed inspection for bearing play requires about 1
work-hour for a cost of $85 per inspection. Removing a bearing requires
about 2 work-hours and $808 in parts, for a total replacement cost of
$978 per bearing. Installing the special nuts requires about 1 work-
hour and $920 in parts, for a total modification cost of $1,005 per
helicopter or $102,510 for the U.S. fleet.
    According to AgustaWestland's service information, some of the
costs of this AD may be covered under warranty, thereby reducing the
cost impact on affected individuals. We do not control warranty
coverage by AgustaWestland. Accordingly, we have included all costs in
our cost estimate.

FAA's Justification and Determination of the Effective Date

    Providing an opportunity for public comments prior to adopting
these AD requirements would delay implementing the safety actions
needed to correct this known unsafe condition. Therefore, we find that
the risk to the flying public justifies waiving notice and comment
prior to the adoption of this rule because the unsafe condition can
adversely affect the controllability of the helicopter and some of the
required corrective actions must be accomplished within 5 hours TIS and
thereafter every 24 hours for certain helicopters. Other required
corrective actions in this AD must be accomplished within 25, 50, and
100 hours TIS; however, these helicopters are generally high-usage
aircraft and could reach these compliance times within a very short
calendar time.
    Since an unsafe condition exists that requires the immediate
adoption of this AD, we determined that notice and opportunity for
public comment before issuing this AD are impracticable and contrary to
the public interest and that good cause exists for making this
amendment effective in less than 30 days.

Authority for This Rulemaking

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

Regulatory Findings

    We determined that this AD will not have federalism implications
under Executive Order 13132. This AD will not have a substantial direct
effect on the States, on the relationship between the national
Government and the States, or on the distribution of power and
responsibilities among the various levels of government.
    For the reasons discussed, I certify that this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979);
    3. Will not affect intrastate aviation in Alaska to the extent that
it justifies making a regulatory distinction; 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.
    We prepared an economic evaluation of the estimated costs to comply
with this AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by removing Airworthiness Directive (AD)
2014-07-51, Amendment 39-17902 (79 FR 45329, August 5, 2014), and
adding the following new AD:

2014-24-02 Agusta S.p.A. (Agusta): Amendment 39-18035; Docket No.
FAA-2014-0971; Directorate Identifier 2014-SW-055-AD.

(a) Applicability

    This AD applies to Agusta Model AB139 and AW139 helicopters with
main rotor (M/R) rotating scissors part number (P/N) 3G6230A00733,
with a lower half scissors spherical bearing (bearing) P/N
3G6230V00654 installed, certificated in any category.

(b) Unsafe Condition

    This AD defines the unsafe condition as excessive play of the
bearing in the M/R rotating scissors. This condition could result in
failure of the M/R rotating scissors and subsequent loss of control
of the helicopter.

(c) Affected ADs

    This AD supersedes AD 2014-07-51, Amendment 39-17902 (79 FR
45329, August 5, 2014).

(d) Effective Date

    This AD becomes effective December 15, 2014.

(e) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless it has already been
accomplished prior to that time.

(f) Required Actions

    (1) For helicopters with the M/R rotating controls installed
without special nut P/N 3G6230A06851, within 5 hours time-in-service
(TIS), and thereafter before the first flight of each day or at
intervals not exceeding 24 hours, whichever occurs later; and for
helicopters with the M/R rotating controls installed with special
nut P/N 3G6230A06851, within 25 hours TIS, and thereafter at
intervals not exceeding 25 hours TIS:
    (i) Visually inspect the M/R rotating scissors for damage using
a light source and a magnifying glass, paying particular attention
to the bearings. Some examples of damage are shown in Figures 4
through 8 of AgustaWestland Bollettino Tecnico No. 139-392, dated
September 23, 2014 (BT 139-392). If there is damage, before further
flight, remove the bearing.
    (ii) Inspect the M/R rotating scissors for play of each bearing,
paying particular attention to the bearing staking condition, by
manually moving the lower half scissor along the axis of the
spherical bearing. Refer to Figure 1 of BT 139-392. If there is
play, before further flight, accomplish a detailed inspection of the
M/R rotating scissors in accordance with steps 9.1 through 12.9 of
AgustaWestland AW139 Document Code 39-C-62-31-00-00A-286C-A,
Rotating control installation--Fixed swashplate and rotating
scissors--Detailed inspection, issue 001, dated August 6, 2012. Any
play beyond allowable limits requires removing the bearing before
further flight.
    (2) Within 50 hours TIS from August 20, 2014, remove any bearing
from a M/R rotating scissors with serial numbers (S/N) listed in
Table 1 of AgustaWestland Bolletino Tecnico No. 139-368, dated March
19, 2014 (BT 139-368), on which the bearing has never been replaced;
or from a M/R rotating scissors on which the bearing was replaced
with a bearing with a S/N listed in Table 2 of BT 139-368.
    (3) Within 100 hours TIS, install special nut P/N 3G6230A06851
in accordance with steps 5.1. through 6., Part II, of the Compliance
Instructions, of BT 139-392.
    (4) Prior to installing a M/R rotating scissors with a S/N
listed in Table 1 of BT 139-368, replace the bearing and re-identify
the M/R rotating scissors in accordance with paragraphs 4.2 through
4.4., Part II, of the Compliance Instructions of BT 139-368.
    (5) Do not install a bearing with a S/N listed in Table 2 of BT
139-368 into any M/R rotating scissors.

(g) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Safety Management Group, FAA, may approve AMOCs
for this AD. Send your proposal to: Robert Grant, Aviation Safety
Engineer, Safety Management Group, FAA, 2601 Meacham Blvd., Fort
Worth, Texas 76137; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, we suggest that you
notify your principal inspector, or lacking a principal inspector,
the manager of the local flight standards district office or
certificate holding district office, before operating any aircraft
complying with this AD through an AMOC.

(h) Additional Information

    The subject of this AD is addressed in European Aviation Safety
Agency (EASA) Emergency AD 2014-0215-E, dated September 24, 2014.
You may view the EASA AD on the Internet at http://www.regulations.gov by searching for and locating it in Docket No.
FAA-2014-0971.

(i) Subject

    Joint Aircraft Service Component (JASC) Code: 6200, M/R System.

(j) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (3) The following service information was approved for IBR on
December 15, 2014.
    (i) AgustaWestland Bollettino Tecnico No. 139-392, dated
September 23, 2014.
    (ii) Reserved.
    (4) The following service information was approved for IBR on
August 20, 2014 (79 FR 45329, August 5, 2014).
    (i) AgustaWestland Bollettino Tecnico No. 139-368, dated March
19, 2014.
    (ii) AgustaWestland AW139 Document Code 39-C-62-31-00-00A-286C-
A, Rotating control installation--Fixed swashplate and rotating
scissors--Detailed inspection, issue 001, dated August 6, 2012.
    (5) For AgustaWestland, Product Support Engineering, Via del
Gregge, 100, 21015 Lonate Pozzolo (VA) Italy, ATTN: Maurizio
D'Angelo; telephone 39 0331-664757; fax 39 0331-664680; or at http://www.agustawestland.com/technical-bulletins.
    (6) You may view this service information at FAA, Office of the
Regional Counsel, Southwest Region, 2601 Meacham Blvd., Room 663,
Fort Worth, Texas 76137. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>.
    (7) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Fort Worth, Texas, on November 17, 2014.
Kim Smith,
Directorate Manager, Rotorcraft Directorate, Aircraft Certification
Service.
[FR Doc. 2014-27995 Filed 11-26-14; 8:45 am]
BILLING CODE 4910-13-P