[Federal Register Volume 77, Number 250 (Monday, December 31, 2012)]
[Notices]
[Pages 77174-77176]
[FR Doc No: 2012-31415]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68534; File No. SR-Phlx-2012-143]

Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Relating to
Extension of the Exchange's Penny Pilot Program and Replacement of
Penny Pilot Issues That Have Been Delisted

December 21, 2012.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on December 20, 2012, NASDAQ OMX Phlx, LLC (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I and II below, which Items have been prepared by the Exchange.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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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

    The Exchange is filing with the Commission a proposal to: extend
through June 30, 2013, the Penny Pilot Program in options classes in
certain issues (``Penny Pilot'' or ``Pilot''), and to change the date
when delisted classes may be replaced in the Penny Pilot.\3\
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    \3\ The Penny Pilot was established in January 2007 and was last
extended in June 2012. See Securities Exchange Act Release Nos.
55153 (January 23, 2007), 72 FR 4553 (January 31, 2007) (SR-Phlx-
2006-74) (notice of filing and approval order establishing Penny
Pilot); and 67326 (June 29, 2012), 77 FR 40126 (July 6, 2012) (SR-
Phlx-2012-86) (notice of filing and immediate effectiveness
extending the Penny Pilot through December 31, 2012).
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    The Exchange requests that the Commission waive the 30-day
operative delay period contained in Exchange Act Rule 19b-4(f)(6)(iii)
\4\ to the extent needed for timely industry-wide implementation of the
proposal. [GPO FOLLOW LIT]
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    \4\ 17 CFR 240.19b-4(f)(6)(iii).
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    Proposed new language is italicized and proposed deleted language
is [bracketed].

NASDAQ OMX PHLX Rules

Options Rules

* * * * *
    Rule 1034. Minimum Increments
    (a) Except as provided in sub-paragraphs (i)(B) and (iii) below,
all options on stocks, index options, and Exchange Traded Fund Shares
quoting in decimals at $3.00 or higher shall have a minimum increment
of $.10, and all options on stocks and index options quoting in
decimals under $3.00 shall have a minimum increment of $.05.
    (i)(A) No Change.
    (B) For a pilot period scheduled to expire [December 31, 2012]June
30, 2013 (the ``pilot''), certain options shall be quoted and traded on
the Exchange in minimum increments of $0.01 for all series in such
options with a price of less than $3.00, and in minimum increments of
$0.05 for all series in such options with a price of $3.00 or higher,
except that options overlying the PowerShares QQQ Trust
(``QQQQ'')[supreg], SPDR S&P 500 Exchange Traded Funds

(``SPY''), and iShares Russell 2000 Index Funds (``IWM'') shall be
quoted and traded in minimum increments of $0.01 for all series
regardless of the price. A list of such options shall be communicated
to membership via an Options Trader Alert (``OTA'') posted on the
Exchange's web site.
    The Exchange may replace any pilot issues that have been delisted
with the next most actively traded multiply listed options classes that
are not yet included in the pilot, based on trading activity for the
six month period beginning [December]June 1, [2011]2012, and ending
[May 31]November 30, 2012. The replacement issues may be added to the
pilot on the second trading day following [July]January 1, [2012]2013.
    (C) No Change.
    (ii)-(iv) No Change.
* * * * *[/FOLLOW LIT]
    The text of the proposed rule change is available on the Exchange's
Web site at http://nasdaqomxphlx.cchwallstreet.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The purpose of this filing is to amend Phlx Rule 1034 to: extend
the Penny Pilot through June 30, 2013, and to change the date when
delisted classes may be replaced in the Penny Pilot.
    Under the Penny Pilot, the minimum price variation for all
participating options classes, except for the Nasdaq-100 Index Tracking
Stock (``QQQQ''), the SPDR S&P 500 Exchange Traded Fund (``SPY'') and
the iShares Russell 2000 Index Fund (``IWM''), is $0.01 for all
quotations in options series that are quoted at less than $3 per
contract and $0.05 for all quotations in options series that are quoted
at $3 per contract or greater. QQQQ, SPY and IWM are quoted in $0.01
increments for all options series. The Penny Pilot is currently
scheduled to expire on December 31, 2012.
    The Exchange proposes to extend the time period of the Penny Pilot
through June 30, 2013, and to provide revised dates for adding
replacement issues to the Penny Pilot. The Exchange proposes that any
Penny Pilot Program issues that have been delisted may be replaced on
the second trading day following January 1, 2013. The replacement
issues will be selected based on trading activity for the six month
period beginning June 1, 2012, and ending November 30, 2012.\5\
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    \5\ The replacement issues will be announced to the Exchange's
membership via an Options Trader Alert (OTA) posted on the
Exchange's web site.
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    This filing does not propose any substantive changes to the Penny
Pilot Program; all classes currently participating in the Penny Pilot
will remain the same and all minimum increments will remain unchanged.
The Exchange believes the benefits to public customers and other market
participants who will be able to express their true prices to buy and
sell options have been demonstrated to outweigh the potential increase
in quote traffic.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \6\ in general, and furthers the objectives of Section
6(b)(5) of the Act \7\ in particular, in that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, and to
remove impediments to and perfect the mechanism of a free and open
market and a national market system. In particular, the proposed rule
change, which extends the Penny Pilot for an additional six months
through June 30, 2013, will enable public customers and other market
participants to express their true prices to buy and sell options for
the benefit of all market participants. The Exchange is also changing
the date for replacing Penny Pilot issues that were deleted.
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    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. To the contrary, this
proposal is pro-competitive because it allows Penny Pilot issues to be
traded on the Exchange.

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

    No written comments were either solicited or received.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \8\ and Rule 19b-4(f)(6) thereunder.\9\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act \10\ and Rule 19b-
4(f)(6)(iii) thereunder.\11\
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    \8\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \9\ 17 CFR 240.19b-4(f)(6).
    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6)(iii).
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    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative prior to 30 days after the date of the filing.\12\
However, pursuant to Rule 19b-4(f)(6)(iii),\13\ the Commission may
designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission believes
that waiving the 30-day operative delay is consistent with the
protection of investors and the public interest because doing so will
allow the Pilot Program to continue without interruption in a manner
that is consistent with the Commission's prior approval of the
extension and expansion of the Pilot Program and will allow the

Exchange and the Commission additional time to analyze the impact of
the Pilot Program.\14\ Accordingly, the Commission designates the
proposed rule change as operative upon filing with the Commission.\15\
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    \12\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this pre-filing requirement.
    \13\ 17 CFR 240.19b-4(f)(6)(iii).
    \14\ See Securities Exchange Act Release No. 61061 (November 24,
2009), 74 FR 62857 (December 1, 2009) (SR-NYSEArca-2009-44). See
also supra note 3.
    \15\ For purposes only of waiving the operative delay for this
proposal, the Commission has considered the proposed rule's impact
on efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2012-143 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2012-143. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-Phlx-2012-143 and should be
submitted on or before January 22, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
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    \16\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-31415 Filed 12-28-12; 8:45 am]
BILLING CODE 8011-01-P


 Based on the other database improvements expected this year as a result of an internal Lean Event we held a couple weeks ago on our annual registration program, I believe we could have this function by the end of 2020.

-Bennet

From: Simcox, Alison<EMAIL_ADDRESS>Sent: Monday, February 24, 2020 10:09 AM To: Leon, Bennet<EMAIL_ADDRESS>Subject: RE: question on VT 2015 ozone ISIP submittal

Thanks.  When do you anticipate completion of the cross-check function of your database?

Alison

From: Leon, Bennet<EMAIL_ADDRESS>Sent: Monday, February 24, 2020 10:06 AM To: Simcox, Alison<EMAIL_ADDRESS>Subject: RE: question on VT 2015 ozone ISIP submittal

Hi Alison,

You asked for an update on the electronic database that the Vermont air division created and began using in 2017.  Implementation of the database was a success as it has merged permit information such as annual allowable emissions, annual registered emissions, and compliance information for air contaminant sources in one location.  The ability to cross-check allowable emissions with annual registered emissions automatically within the database is still in development.

Please let me know if you need additional information.

-Bennet

From: Simcox, Alison<EMAIL_ADDRESS>Sent: Tuesday, February 18, 2020 12:51 PM To: Leon, Bennet<EMAIL_ADDRESS>Subject: RE: question on VT 2015 ozone ISIP submittal

EXTERNAL SENDER: Do not open attachments or click on links unless you recognize and trust the sender. Hi Bennet, Can you confirm this?  Not to rush you, but this is the final detail we need to go forward with our proposal to approve your SIP.

Thanks. Alison

From: Leon, Bennet<EMAIL_ADDRESS>Sent: Thursday, February 06, 2020 9:27 AM To: Simcox, Alison<EMAIL_ADDRESS>Subject: RE: question on VT 2015 ozone ISIP submittal

Hi Alison, I'm in the process of confirming my information and will get back to you soon. -Bennet

From: Simcox, Alison<EMAIL_ADDRESS>Sent: Monday, February 3, 2020 3:58 PM To: Leon, Bennet<EMAIL_ADDRESS>Subject: RE: question on VT 2015 ozone ISIP submittal

EXTERNAL SENDER: Do not open attachments or click on links unless you recognize and trust the sender. Sorry for the garbled 2[nd] sentence.  It should have read:  We included the following statement in our notice for your 2012 PM2.5 I-SIP.

From: Simcox, Alison  Sent: Monday, February 03, 2020 3:56 PM To: 'Leon, Bennet'<EMAIL_ADDRESS>Subject: RE: question on VT 2015 ozone ISIP submittal

Hi Bennet, I'm in the process of taking action on your 2015 ozone I-SIP & transport SIP.  We included that following statement in our notice for your 2012 PM2.5 I-SIP is true.  Could you give me an update on this e-database and confirm that it will be used to correlate emissions data with permit conditions, etc.?

"VT DEC reports that it is in the process of setting up an integrated electronic database that will merge all air contaminant source information across permitting, compliance and registration programs, so that information concerning permit conditions, annual emissions data, and compliance data will be accessible in one location for a particular air contaminant source. The database will be capable of correlating certain emissions data with permit conditions and other applicable standards electronically, where feasible, to allow VT DEC to complete this correlation more efficiently and accurately."

Thanks, Alison

Alison Simcox, PhD US EPA Region 1 Air Quality Branch Boston, MA 02109 617-918-1684

From: Leon, Bennet<EMAIL_ADDRESS>Sent: Wednesday, November 20, 2019 2:32 PM To: Simcox, Alison<EMAIL_ADDRESS>Garcia, Ariel<EMAIL_ADDRESS>Hamjian, Lynne<EMAIL_ADDRESS>Rogan, John<EMAIL_ADDRESS>Mackintosh, David<EMAIL_ADDRESS>Cc: Hales, Heidi<EMAIL_ADDRESS>O'Toole, Megan<EMAIL_ADDRESS>Subject: Vermont 2015 ozone ISIP submittal

Dear EPA colleagues,

Vermont submitted its infrastructure SIP for the 2015 ozone NAAQS through the SPeCS system this afternoon.  I have attached the same submittal to this email for your convenience.  I am broadcasting this message to several in your office with the knowledge that some of you may be out of the office today and in the interest to facilitate a quick turn around for completeness determination.

Please contact me if you have any questions.  Thank you for your attention.

Sincerely,

Bennet H. Leon

DEPARTMENT OF ENVIRONMENTAL CONSERVATION AIR QUALITY and CLIMATE DIVISION (AQCD) SECTION CHIEF  -  AIR QUALITY PLANNING One National Life Drive | Davis (North) 2[nd] Floor | Montpelier, VT  05620-3802  | TEL:<PHONE_NUMBER>  |   http://dec.vermont.gov/air-quality


[Federal Register Volume 76, Number 106 (Thursday, June 2, 2011)]
[Rules and Regulations]
[Pages 31822-31823]
[FR Doc No: 2011-13586]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2010-0608; Airspace Docket No. 10-ACE-6]

Amendment of Class E Airspace; Mosby, MO

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This action amends Class E airspace for Mosby, MO.
Decommissioning of the Mosby non-directional beacon (NDB) at Midwest
National Air Center Airport, Mosby, MO, has made this action necessary
to enhance the safety and management of Instrument Flight Rule (IFR)
operations at the airport.

DATES: Effective date: 0901 UTC, August 25, 2011. The Director of the
Federal Register approves this incorporation by reference action under
1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and
publication of conforming amendments.

FOR FURTHER INFORMATION CONTACT: Scott Enander, Central Service Center,
Operations Support Group, Federal Aviation Administration, Southwest
Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone (817) 321-
7716.

SUPPLEMENTARY INFORMATION:

History

    On January 10, 2011, the FAA published in the Federal Register a
notice of proposed rulemaking to amend Class E airspace for Mosby, MO,
reconfiguring controlled airspace at Midwest National Air Center
Airport (76 FR 1377) Docket No. FAA-2010-0608. Interested parties were
invited to participate in this rulemaking effort by submitting written
comments on the proposal to the FAA. No comments were received. Class E
airspace designations are published in paragraph 6005 of FAA Order
7400.9U dated August 18, 2010, and effective September 15, 2010, which
is incorporated by reference in 14 CFR 71.1. The Class E airspace
designations listed in this document will be published subsequently in
the Order.

The Rule

    This action amends Title 14 Code of Federal Regulations (14 CFR)
part 71 by amending Class E airspace extending upward from 700 feet
above the surface for the Mosby, MO area. Decommissioning of the Mosby
NDB and cancellation of the NDB approach at Midwest National Air Center
Airport has made this action necessary for the safety and management of
IFR operations at the airport.
    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this regulation: (1) Is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under DOT Regulatory Policies and Procedures (44 FR 11034; February 26,
1979); and (3) does not warrant preparation of a regulatory evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that will only affect air traffic procedures and air navigation, it is
certified that this rule, when promulgated, will not have a significant
economic impact on a substantial number of small entities under the
criteria of the Regulatory Flexibility Act.
    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the U.S. Code. Subtitle 1, section 106, describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the agency's authority.
This rulemaking is promulgated under the authority described in
subtitle VII, part A, subpart I, section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it amends controlled airspace at Midwest National Air Center
Airport, Mosby, MO.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (Air).

Adoption of the Amendment

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

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

0
1. The authority citation for 14 CFR part 71 continues to read as
follows:

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

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of the Federal
Aviation

Administration Order 7400.9U, Airspace Designations and Reporting
Points, dated August 18, 2010, and effective September 15, 2010 is
amended as follows:
* * * * *

Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface.

* * * * *

ACE MO E5 Mosby, MO [Amended]

Mosby, Midwest National Air Center Airport, MO
    (Lat. 39[deg]19'57'' N., long. 94[deg]18'35'' W.)

    That airspace extending upward from 700 feet above the surface
within a 6.5-mile radius of Midwest National Air Center Airport.

    Issued in Fort Worth, Texas, on May 23, 2011.
Walter L. Tweedy,
Acting Manager, Operations Support Group, ATO Central Service Center.
[FR Doc. 2011-13586 Filed 6-1-11; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 86, Number 203 (Monday, October 25, 2021)]
[Notices]
[Pages 58965-58969]
[FR Doc No: 2021-23166]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-34400; File No. 812-15274]

Credit Suisse Asset Management, LLC., et al.; Notice of
Application and Temporary Order

October 19, 2021.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Temporary order and notice of application for a permanent order
under section 9(c) of the Investment Company Act of 1940 (``Act'').

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Summary of Application:  Applicants have received a temporary order
(``Temporary Order'') exempting them from section 9(a) of the Act, with
respect to a guilty plea entered on October 19, 2021 (``Guilty Plea''),
by Credit Suisse Securities (Europe) Limited (the ``Pleading Entity''
or ``CSSEL'') in the United States District Court for the Eastern
District of New York (the ``District Court'') in connection with a plea
agreement (``Plea Agreement'') between the Pleading Entity and the
United States Department of Justice (``DOJ''), until the Commission
takes final action on an application for a permanent order (the
``Permanent Order,'' and with the Temporary Order, the ``Orders'').
Applicants also have applied for a Permanent Order.

Applicants:  CSSEL, Credit Suisse Asset Management, LLC (``CSAM''),
Credit Suisse Asset Management Limited (``CSAML''), Credit Suisse
Securities (USA) LLC (``CSSU,'' and together with CSSEL, CSAM and
CSAML, the ``Applicants'') and Credit Suisse Group AG (``CS
Group'').\1\
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    \1\ CS Group is a party to the application solely for purposes
of making the representations and agreeing to the conditions in the
application that apply to it. For such purpose, it is included in
the term ``Applicants'' solely with respect to such representations
and conditions.

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Filing Date:  The application was filed on October 19, 2021.

Hearing or Notification of Hearing:  An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by emailing the Commission's
Secretary at [email protected] and serving applicants with a
copy of the request, personally or by mail. Hearing requests should be
received by the Commission by 5:30 p.m. on November 15, 2021 and should
be accompanied by proof of service on the applicants, in the form of an
affidavit, or for lawyers, a certificate of service. Pursuant to rule
0-5 under the Act, hearing requests should state the nature of the
writer's interest, any facts bearing upon the desirability of a hearing
on the matter, the reason for the request, and the issues contested.
Persons who wish to be notified of a hearing may request notification
by emailing the Commission's Secretary at [email protected].

ADDRESSES:  The Commission: [email protected]. Applicants:
Roger Machlis, Credit Suisse Asset Management, LLC, Eleven Madison
Avenue, New York, NY 10010.

FOR FURTHER INFORMATION CONTACT:  Kay M. Vobis, Senior Counsel, at
(202) 551-6728 or Trace W. Rakestraw, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: The following is a temporary order and a
summary of the application. The complete application may be obtained
via the Commission's website by searching for the file number, or an
applicant using the Company name box, at http://www.sec.gov/search/search.htm, or by calling<PHONE_NUMBER>.

Applicants' Representations

    1. The Pleading Entity is a limited liability company, incorporated
in the United Kingdom and authorized under the Financial Services and
Markets Act 2000, as amended. The Pleading Entity is an indirect
wholly-owned subsidiary of CSAG (defined below). Its principal activity
is acting as a broker dealer.
    2. CSAM, a limited liability company formed under Delaware law, is
registered as an investment adviser under the Investment Advisers Act
of 1940 (the ``Advisers Act''). CSAM serves as investment adviser
(either as primary investment adviser or as investment sub-adviser) to
each Fund \2\ listed in Part 1 of Appendix A of the application.
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    \2\ The term ``Fund'' as used herein refers to any investment
company that is registered under the Act (``RIC''), employees'
securities companies (``ESC''), investment company that has elected
to be treated as a business development company under the Act
(``BDC'') for which a Covered Person currently provides Fund
Servicing Activities, or, subject to the terms and conditions of the
Orders, may in the future provide Fund Servicing Activities.
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    3. CSAML, a corporation formed under the laws of the United
Kingdom, is registered as an investment adviser under the Advisers Act.
CSAML serves as investment sub-adviser to the Fund listed in Part 2 of
Appendix A of the application.
    4. CSSU, a limited liability company formed under Delaware law, is
registered as a broker-dealer under the Securities Exchange Act of
1934, as amended (the ``Exchange Act''), and as an investment adviser
under the Advisers Act. CSSU serves as principal underwriter to each
Open-End Fund listed in Part 3 of Appendix A of the application.
    5. Each of the above Applicants is either a direct or indirect
wholly owned subsidiary of CS Group (CS Group, together with its
wholly-owned subsidiaries and affiliated entities, ``Credit Suisse'').
Credit Suisse AG (``CSAG'') is a wholly owned subsidiary, and the
principal operating subsidiary, of CS Group, which operates as a
holding company. Both CS Group and CSAG are corporations organized
under the laws of Switzerland.
    6. Currently, CSAM, CSAML and CSSU (together, the ``Fund Servicing
Applicants''), which are affiliates of the Pleading Entity,
collectively serve as investment adviser or investment subadviser to
investment companies

registered under the Act or series of such companies and ESCs and as
principal underwriter to open-end management investment companies
registered under the Act (``Open-End Funds'') (such activities,
collectively, ``Fund Servicing Activities'').\3\ Applicants request
that any relief granted by the Commission pursuant to the application
also apply to any other existing company, other than CS Group and CSAG,
of which the Pleading Entity is an Affiliated Person and to any other
company of which the Pleading Entity may become an Affiliated Person in
the future (together with the Fund Servicing Applicants, the ``Covered
Persons'') with respect to any activity contemplated by section 9(a) of
the Act.\4\
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    \3\ Other than the Fund Servicing Applicants, no existing
company of which the Pleading Entity is an ``affiliated person''
within the meaning of Section 2(a)(3) of the Act (``Affiliated
Person'') currently serves as an investment adviser or depositor of
any RIC, ESC or BDC, or as principal underwriter for any Open-End
Fund, registered unit investment trust (``UIT''), or registered
face-amount certificate company (``FACC'').
    \4\ Covered Persons may, if the Order is granted, in the future
act in any of the capacities contemplated by section 9(a) of the
Act. Any existing or future entities that may rely on the Orders in
the future will comply with the terms and conditions of the
application. CS Group and CSAG do not and will not serve as
investment adviser, depositor or principal underwriter to any RIC,
ESC or BDC and are not a Covered Person.
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    7. On October 19, 2021, the DOJ filed a criminal information (the
``Information'') in the District Court charging the Pleading Entity
with one count of conspiracy to commit wire fraud (18 U.S.C. 1349).
According to the Statement of Facts that served as the basis for the
Plea Agreement (the ``Statement of Facts'') the Pleading Entity,
through its employees, conspired to use U.S. wires and the U.S.
financial system to defraud U.S. and international investors in
connection with three financing transactions involving the Pleading
Entity and Mozambican state-owned enterprises, as further described in
the application (the ``Financing Transactions'').
    8. In connection with the Plea Agreement, the ultimate parent of
the Pleading Entity, CS Group, entered into a Deferred Prosecution
Agreement on October 19, 2021 (the ``DPA'').
    9. Pursuant to the Plea Agreement, the Pleading Entity entered the
Guilty Plea on October 19, 2021 in the District Court to the charge set
out in the Information. Applicants state that, according to the Plea
Agreement, the Pleading Entity agrees, among other things, as follows:
First, the Pleading Entity shall cooperate fully with the DOJ, Criminal
Division, Money Laundering and Asset Recovery Section and Fraud
Section, and the United States Attorney's Office for the Eastern
District of New York (collectively, the ``Offices'') in any and all
matters relating to the conduct described in the Plea Agreement and the
Statement of Facts and other conduct under investigation by the Offices
or any other component of the DOJ at any time during the term of the
DPA (the ``Term'') until the later of the date upon which all
investigations and prosecutions arising out of such conduct are
concluded or the end of the Term. Second, at the request of the
Offices, the Pleading Entity shall also cooperate fully with other
domestic or foreign law enforcement and regulatory authorities and
agencies, as well as the Multilateral Development Banks in any
investigation of the Pleading Entity, CS Group, its affiliates, or any
of its present or former officers, directors, employees, agents, and
consultants, or any other party, in any and all matters relating to the
conduct described in the Plea Agreement and the Statement of Facts and
any other conduct under investigation by the Offices or any other
component of the DOJ. Third, should the Pleading Entity learn during
the Term of any evidence or allegations of conduct that may constitute
a violation of the federal wire fraud statute had the conduct occurred
within the jurisdiction of the United States, the Pleading Entity shall
promptly report such evidence or allegation to the Offices. Fourth, the
Pleading Entity agrees that any fine imposed by the District Court will
be due and payable as specified in Paragraph 19 of the Plea Agreement,
and that any restitution imposed by the District Court will be due and
payable in accordance with the District Court's order. Finally, the
Pleading Entity agrees to commit no further crimes and to work with
Credit Suisse in fulfilling the obligations of Credit Suisse's DPA.
    10. The Applicants expect that the District Court will enter a
judgment against the Pleading Entity (the ``Judgment'') that will
require remedies that are materially the same as set forth in the Plea
Agreement.
    11. In the DPA, CS Group agreed to continue to cooperate fully with
any ongoing DOJ or non-U.S. investigations of the conduct. CS Group
also agreed to continue to make certain enhancements to its existing
compliance program, and to make annual reports to the DOJ about those
enhancements, as set out in Attachment C to the DPA, on an annual basis
for three years.
    12. On October 19, 2020, the SEC instituted cease-and-desist
proceedings against GS Group concerning violations of the books and
records and internal control provisions of the Foreign Corrupt
Practices Act of 1977 and violations of the antifraud provisions of the
Securities Act of 1933 and the Securities Exchange Act of 1934 in
connection with the Financing Transactions, as further described in the
application (the ``SEC Order''). The SEC Order includes findings that
CS Group violated sections 17(a)(1), (2) and (3) of the Securities Act,
sections 10(b), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and
rule 10b-5 thereunder. The SEC Order orders CS Group to cease and
desist from committing or causing any violations and any future
violations of those provisions and orders CS Group to pay a civil money
penalty of $65 million, disgorgement of $26,229,233 and prejudgment
interest of $7,822,639.
    13. CS Group and its affiliates have entered into settlement
agreements with other U.S. and non-U.S. regulatory or enforcement
agencies related to the Financing Transactions. These include an order
issued by the U.K. Financial Conduct Authority on October 19, 2021 and
a finding issued by Swiss Financial Market Supervisory Authority on
October 19, 2021.

Applicants' Legal Analysis

    1. Section 9(a)(1) of the Act provides, in pertinent part, that a
person may not serve or act as an investment adviser or depositor of
any registered investment company or as principal underwriter for any
Open-End Fund, UIT, or FACC, if such person within ten years has been
convicted of any felony or misdemeanor, including those arising out of
such person's conduct as a broker, dealer or bank. Section 2(a)(10) of
the Act defines the term ``convicted'' to include a plea of guilty.
Section 9(a)(3) of the Act extends the prohibitions of section 9(a)(1)
to a company, any affiliated person of which has been disqualified
under the provisions of section 9(a)(1). Section 2(a)(3) of the Act
defines ``affiliated person'' to include, among others, any person
directly or indirectly controlling, controlled by, or under common
control with, the other person. The Pleading Entity is an Affiliated
Person of each of the other Applicants within the meaning of section
2(a)(3) of the Act. Therefore, the Applicants state that the Plea
Agreement would result in a disqualification of each Fund Servicing
Applicant for ten years under section 9(a)(3) were they to act in any
of the capacities listed in section 9(a), by effect of a conviction
described in section 9(a)(1).

    2. Section 9(c) of the Act provides that: ``[t]he Commission shall
by order grant [an] application [for relief from the prohibitions of
subsection 9(a)], either unconditionally or on an appropriate temporary
or other conditional basis, if it is established [i] that the
prohibitions of subsection 9(a), as applied to such person, are unduly
or disproportionately severe or [ii] that the conduct of such person
has been such as not to make it against the public interest or the
protection of investors to grant such application.'' Applicants have
filed an application pursuant to section 9(c) seeking a Temporary Order
and a Permanent Order exempting the Fund Servicing Applicants and other
Covered Persons from the disqualification provisions of section 9(a) of
the Act.
    3. Applicants believe they meet the standards for exemption
specified in section 9(c). Applicants assert that (i) the conduct that
served as the basis for the Plea Agreement, the DPA and the SEC Order
(the ``Conduct'') was limited and did not involve any of the Fund
Servicing Applicants. The Conduct similarly did not involve any Fund
with respect to which the Fund Servicing Applicants engage in Fund
Servicing Activities, and none of such Funds ever participated in the
offerings or transactions at issue or acquired the subject securities
or loans in the secondary market; \5\ (ii) application of the statutory
bar would impose significant hardships on the Funds and their
shareholders, (iii) the prohibitions of section 9(a), if applied to the
Fund Servicing Applicants, would be unduly or disproportionately severe
and (iv) the Conduct did not constitute conduct that would make it
against the public interest or protection of investors to grant the
exemption from section 9(a).
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    \5\ Applicants make no representation in respect of the Funds
that were not advised or sub-advised by any of the Fund Servicing
Applicants during the period of the Conduct.
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    4. Applicants represent that the Conduct did not involve any of
Fund Servicing Applicants.\6\ Instead, the Applicants state that the
Conduct occurred as a result of the actions of three employees who are
no longer employed by any Credit Suisse affiliate, as well as a number
of internal control and other failures. The three employees were part
of a wholly separate legal entity, separate business division, and
separate supervisory structure from the Fund Servicing Applicants and
had no connection with or input into the Fund Servicing Applicants'
business. Further, the internal control and other failures that were
part of the Conduct did not involve the Funds Servicing Applicants.
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    \6\ The Pleading Entity does not and will not serve in any of
the capacities described in section 9(a) of the Act.
---------------------------------------------------------------------------

    5. Applicants assert that, in light of the limited scope of the
Conduct, it would be unduly and disproportionately severe to impose a
section 9(a) disqualification on the Fund Servicing Applicants.
Applicants assert that the conduct of the Applicants has not been such
to make it against the public interest or the protection of investors
to grant the exemption from section 9(a).
    6. Applicants assert that neither the protection of investors nor
the public interest would be served by permitting the section 9(a)
disqualifications to apply to the Fund Servicing Applicants because
those disqualifications would deprive the Funds they serve of the
advisory or sub-advisory and underwriting services that shareholders
expected the Funds would receive when they decided to invest in the
Funds. Applicants also assert that the prohibitions of section 9(a)
could operate to the financial detriment of the Funds and their
shareholders, including by causing the Funds to spend time and
resources to engage substitute advisers, subadvisers, and principal
underwriters, which would be an unduly and disproportionately severe
consequence particularly given that no Fund Servicing Applicants and
none of their employees were involved in the Conduct and that the
Conduct did not involve any of the Funds or Fund Servicing Activities.
    7. Applicants assert that if the Fund Servicing Applicants were
barred under section 9(a) from providing investment advisory and
underwriting services to the Funds and were unable to obtain the
requested exemption, the effect on their businesses and employees would
be severe. Applicants state that the Fund Servicing Applicants have
committed substantial capital and other resources to establishing
expertise in advising and sub-advising Funds with a view to continuing
and expanding this business. Similarly, Applicants represent that if
CSSU were barred under section 9(a) from continuing to provide
underwriting services to the Funds and were unable to obtain the
requested exemption, the effect on its current business and employees
would be significant. CSSU has committed substantial resources to
establish expertise in underwriting the securities of the Funds that
are Open-End Funds and to establish distribution arrangements for Open-
End Fund shares. Applicants further state that prohibiting the Fund
Servicing Applicants from engaging in Fund Servicing Activities would
not only adversely affect their business, but would also adversely
affect their employees who are involved in these activities.
    8. Applicants represent that: (i) None of the current or former
directors, officers or employees of Applicants (other than certain
former personnel of the Pleading Entity who were not involved in any of
the Fund Servicing Applicants' Fund Servicing Activities) engaged in
the Conduct; (ii) no current or former director, officer, or employee
of the Pleading Entity or any Covered Person who previously has been or
who subsequently may be identified by the Pleading Entity or any U.S.
or non-U.S. regulatory or enforcement agencies as having been
responsible for the Conduct will be an officer, director, or employee
of any Applicant, CS Group, CSAG, and of any Covered Person; (iii) such
directors, officers, and employees and any other person who otherwise
participated in the Conduct have had no, and will not have any future,
involvement in the Covered Persons' activities in any capacity
described in section 9(a) of the Act; and (iv) because the directors,
officers and employees of Applicants (other than certain former
personnel of the Pleading Entity who were not involved in any of the
Fund Servicing Applicants' Fund Servicing Activities) did not engage in
the Conduct, shareholders of the Funds were not affected any
differently than if those Funds had received services from any other
non-affiliated investment adviser or principal underwriter.
    9. Applicants have agreed that none of CS Group, CSAG, the
Applicants or any of the other Covered Persons will employ the former
employees of the Pleading Entity or any other person who subsequently
may be identified by the Pleading Entity or any U.S. or non-U.S.
regulatory or enforcement agencies as having been responsible for the
Conduct in any capacity without first making a further application to
the Commission pursuant to section 9(c).
    10. Applicants have also agreed that each of CS Group, CSAG,
Applicants, and the Covered Persons will adopt and implement policies
and procedures reasonably designed to ensure that it will comply with
the terms and conditions of the Orders granted under section 9(c).
    11. In addition, each of CS Group, CSAG, Applicants and the Covered
Persons will comply in all material respects with the material terms
and conditions of the Plea Agreement, the DPA and with the material
terms of the SEC Order, and any other orders issued by, or settlements
with, regulatory or

enforcement agencies addressing the Conduct, in each case as such terms
and conditions are applicable to it. In addition, within 30 days of
each anniversary of the Permanent Order (until and including the third
such anniversary), CS Group will submit a certification signed by its
chief executive officer and its chief compliance officer, confirming
that (i) the Pleading Entity has complied with the terms and conditions
of the Plea Agreement in all material respects; (ii) CS Group has
complied with the terms and conditions of the DPA in all material
respects; and (iii) CS Group, CSAG, Applicants and the Covered Persons
have complied with the terms and conditions of the Orders in all
material respects.
    12. Applicants further state that Credit Suisse has undertaken
certain other remedial measures, as described in greater detail in the
application. These include three types of remedial measures in response
to, or that bear on, this matter: (i) Those directly related to the
Conduct or would have applied to the transactions in question; (ii)
those implicating the broader risk management systems and controls
surrounding the relevant business as a whole; and (iii) industry-wide
and multilateral reforms designed to address one or the root causes of
the issues that arose in connection with these transactions. In
connection with the remedial measures, CS Group will submit to
Commission staff (i) a remediation report as described in Section IV.F.
of the application (the ``Remediation Report'') and (ii) a multilateral
remedies report, as described in Section IV.F. of the application (the
``Multilateral Remedies Report'') within 30 days of each anniversary of
the Permanent Order (until and including the third such anniversary).
    13. As a result of the foregoing, the Applicants submit that absent
relief, the prohibitions of section 9(a) would be unduly or
disproportionately severe, and that the Conduct did not constitute
conduct that would make it against the public interest or protection of
investors to grant the exemption.
    14. To provide further assurance that the exemptive relief being
requested in the application would be consistent with the public
interest and the protection of the investors, the Applicants agree that
they will, as soon as reasonably practical, with respect to each of the
Funds for which a Fund Servicing Applicant is the primary adviser,
distribute to the boards of directors or trustees of the Funds
(``Board'') written materials describing the circumstances that led to
the Plea Agreement, as well as any effects on the Funds and the
application.
    15. The written materials will include an offer to discuss the
materials at an in-person meeting with each Board for which Fund
Servicing Applicants provide Fund Servicing Activities, including the
directors who are not ``interested persons'' of the Funds as defined in
section 2(a)(19) of the Act and their independent legal counsel as
defined in rule 0-1(a)(6) under the Act, if any. With respect to each
of the Funds for which a Fund Servicing Applicant is not the primary
investment adviser, the relevant Fund Servicing Applicant will provide
such materials to the Fund's primary investment adviser and offer to
discuss the materials with such primary investment adviser. The
Applicants undertake to provide the Boards with all information
concerning the Plea Agreement and the application as necessary for
those Funds to fulfill their disclosure and other obligations under the
U.S. federal securities laws and will provide them a copy of the
Judgment as entered by the District Court.
    16. Certain of the Applicants and their affiliates have previously
applied for exemptive orders under section 9(c) of the Act, as
described in greater detail in the application.

Applicants' Conditions

    Applicants agree that any order granted by the Commission pursuant
to the application will be subject to the following conditions:
    1. Any temporary exemption granted pursuant to the application will
be without prejudice to, and will not limit the Commission's rights in
any manner with respect to, any Commission investigation of, or
administrative proceedings involving or against, Covered Persons,
including, without limitation, the consideration by the Commission of a
permanent exemption from section 9(a) of the Act requested pursuant to
the application or the revocation or removal of any temporary
exemptions granted under the Act in connection with the application.
    2. None of CS Group, CSAG, Applicants or any of the Covered Persons
will employ the former employees of the Pleading Entity or any other
person who subsequently may be identified by the Pleading Entity or any
U.S. or non-U.S. regulatory or enforcement agencies as having been
responsible for the Conduct in any capacity without first making a
further application to the Commission pursuant to section 9(c).
    3. Each of CS Group, CSAG, Applicants, and the Covered Persons will
adopt and implement policies and procedures reasonably designed to
ensure that it will comply with the terms and conditions of the Orders
applicable to it within 60 days of the date of the Permanent Order, or
with respect to condition four immediately below, such later date or
dates as may be contemplated by the Plea Agreement, the DPA, the SEC
Order, or any other orders issued by regulatory or enforcement agencies
addressing the Conduct.
    4. Each of CS Group, CSAG, Applicants and the Covered Persons will
comply in all material respects with the material terms and conditions
of the Plea Agreement, the DPA, with the material terms of the SEC
Order, and any other orders issued by, or settlements with, regulatory
or enforcement agencies addressing the Conduct, in each case as such
terms and conditions are applicable to it. In addition, within 30 days
of each anniversary of the Permanent Order (until and including the
third such anniversary), CS Group will submit a certification signed by
its chief executive officer and its chief compliance officer,
confirming that (i) the Pleading Entity has complied with the terms and
conditions of the Plea Agreement in all material respects; (ii) CS
Group has complied with the terms and conditions of the DPA in all
material respects; and (iii) CS Group, CSAG, Applicants and the Covered
Persons have complied with the terms and conditions of the Orders in
all material respects. Each such certification will be submitted to the
Chief Counsel of the Commission's Division of Investment Management
with a copy to the Chief Counsel of the Commission's Division of
Enforcement;
    5. Applicants will provide written notification to the Chief
Counsel of the Commission's Division of Investment Management with a
copy to the Chief Counsel of the Commission's Division of Enforcement
of a material violation of the terms and conditions of the Orders
within 30 days of discovery of the material violation. In addition, CS
Group will submit to the Chief Counsel of the Commission's Division of
Investment Management, with a copy to the Chief Counsel of the
Commission's Division of Enforcement, (i) the Remediation Report and
(ii) the Multilateral Remedies Report within 30 days of each
anniversary of the Permanent Order (until and including the third such
anniversary). CS Group's first of each such report will be signed by
its chief executive officer and chief compliance officer.

Temporary Order

    The Commission has considered the matter and finds that Applicants
have made the necessary showing to justify granting a temporary
exemption.
    Accordingly,
    It is hereby ordered, pursuant to section 9(c) of the Act, that the
Covered Persons are granted a temporary exemption from the provisions
of section 9(a), effective as the date of the Guilty Plea, solely with
respect to the Guilty Plea entered into pursuant to the Plea Agreement,
subject to the representations and conditions in the application, until
the Commission takes final action on their application for a permanent
order.

    By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-23166 Filed 10-22-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 113 (Tuesday, June 15, 2021)]
[Notices]
[Pages 31720-31722]
[FR Doc No: 2021-12503]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2020-N-2319]

Evaluation of Study Data Exchange Standards for Submission of
Study Data to the Center for Veterinary Medicine; Request for Comments

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice; request for comments.

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SUMMARY: The Food and Drug Administration (FDA, the Agency, or we) is
soliciting comments on the use of study data exchange standards from
persons involved in study conduct, data collection, data management,
and submission of animal study data intended to support the approval of
new animal drug applications, abbreviated new animal drug applications,
or applications for conditional approval.

DATES: Submit either electronic or written comments on the notice by
September 13, 2021.

ADDRESSES: You may submit comments as follows. Please note that late,
untimely filed comments will not be considered. Electronic comments
must be submitted on or before September 13, 2021. The https://www.regulations.gov electronic filing system will accept comments until
11:59 p.m. Eastern Time at the end of September 13, 2021. Comments
received by mail/hand delivery/courier (for written/paper submissions)
will be considered timely if they are postmarked or the delivery
service acceptance receipt is on or before that date.

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.

     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA- 2020-N-2319 for ``Evaluation of Study Data Exchange Standards for
Submission of Study Data to the Center for Veterinary Medicine.''
Received comments, those filed in a timely manner (see ADDRESSES), will
be placed in the docket and, except for those submitted as
``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday,<PHONE_NUMBER>.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Charles Andres, Center for Veterinary
Medicine (HFV-180), Food and Drug Administration, 7500 Standish Place,
Rockville, MD 20855,<PHONE_NUMBER><EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    For new animal drug applications (NADAs), the FDA requires full
reports of investigations that have been conducted to show a new animal
drug is safe and effective for use (section 512(b)(1)(A) of the Federal
Food, Drug, and Cosmetic Act (FD&C Act) (21 U.S.C. 360b(b)(1)(A))).
Additionally, section 512(n)(1)(E) of the FD&C Act (21 U.S.C.
360b(n)(1)(E)) requires that abbreviated applications for the approval
of a new animal drug (ANADAs) contain information to show that the
generic new animal drug is bioequivalent to the approved new animal
drug. FDA also is authorized to grant conditional approval to certain
new animal drugs. An application for conditional approval must contain
full reports of investigations that have been conducted to show that
the new animal drug is safe and that there is a reasonable expectation
of effectiveness. (See section 571(a)(2)(B) of the FD&C Act (21 U.S.C.
360ccc(a)(2)(B)).) \1\ In addition to the reports of animal studies
conducted to support the safety and effectiveness of a new animal drug,
copies of the underlying study data are submitted to FDA's Center for
Veterinary Medicine (CVM).
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    \1\ Conditional approval allows a sponsor to begin marketing a
new animal drug after demonstrating the safety of the product and
that there is a reasonable expectation of effectiveness, while the
sponsor continues to collect the evidence of effectiveness needed
for the product to receive full approval under section 512 of the
FD&C Act (21 U.S.C. 360b) (i.e., substantial evidence of
effectiveness). Conditional approval is valid for 1 year and can be
renewed by FDA annually for up to a total of 5 years, if the sponsor
shows sufficient progress towards demonstrating substantial evidence
of effectiveness.
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    As part of our continued effort to modernize our information
technology systems and improve efficiency, we have transitioned to an
electronic data format for submission of study data for regulatory
review. Currently, CVM does not require or suggest study data exchange
standards for such submissions. Study data standards are sets of rules
on how particular types of data should be structured, defined,
formatted, or exchanged between computer systems. The lack of
uniformity of submitted electronic data files and the inconsistent use
of terminology across submissions impedes efficiency and complicates
our efforts to display, evaluate, and validate the data using advanced
review and analysis tools. The use of study data exchange standards
would improve the clarity and consistency of our expectations regarding
submission of electronic data files. Additionally, the conformance to
standardized study data format is now being encouraged and implemented
in other parts of the FDA.\2\
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    \2\ https://www.fda.gov/industry/fda-resources-data-standards.
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    Study data exchange standards provide a consistent general
framework for organizing study data, including templates for datasets,
standard or controlled terminology for variables, and standard
calculations for common variables. The Clinical Data Interchange
Standards Consortium (CDISC) is an open, multidisciplinary, nonprofit
organization that has established worldwide industry standards to
support the electronic acquisition, exchange, submission, and archiving
of clinical trial data and metadata for medical and biopharmaceutical
product development.\3\ CDISC facilitates the development of study data
exchange standards as part of a collaboration involving multiple member
organizations, including FDA. Two study data exchange standards
developed by CDISC that CVM is exploring for potential use are the
Standard for Exchange of Nonclinical Data (SEND), a data model
developed to support the exchange of nonclinical tabulated datasets for
toxicology studies conducted in animals, and the Study Data Tabulation
Model (SDTM), a model for exchange of human clinical study data. FDA
accepts both SEND and SDTM study data exchange standards for use in
regulatory submissions.
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    \3\ http://www.cdisc.org.
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    We are inviting comments on the use of study data exchange
standards from persons involved in study conduct, data collection, data
management, and submission of animal study data

intended to support the approval of NADAs, ANADAs, or applications for
conditional approval (for example, animal drug sponsor, test facility,
developer, vendor, user of electronic data capture (EDC) and data
visualization software, or study data quality control (QC) and quality
assurance (QA) specialist).

II. Other Issues for Consideration

    CVM seeks to continuously enhance review efficiency and
interactions with the animal health industry. As part of our continued
effort to engage with the animal health industry, we are interested in
understanding more about the experiences and familiarity of those
involved in animal drug development with the use of data exchange
standards. We specifically request public comment regarding the
questions below. When submitting comments, it would help us if
commenters would identify their animal health industry sector (for
example, animal drug sponsor, test facility, developer, vendor, user of
EDC and data visualization software, or study data QC and QA
specialist). We will consider the comments as we evaluate the potential
use of study data exchange standards for animal studies submitted as
part of the new animal drug approval process.
    1. Which study data exchange standards are you currently using, if
any, for the submission of study data to CVM; and which tools do you
use to review, analyze, or validate the study data?
    2. If study data exchange standards are included as part of your
study data management process, when are they incorporated (for example,
in protocol development, EDC database and case report form development,
post-study processing)?
    3. What are the potential benefits or anticipated challenges to the
animal health industry of harmonizing CVM's data exchange standards
expectations with other FDA Centers' expectations?
    4. What can CVM do to help industry to be more prepared for, or to
reduce the burden of implementing, the use of study data exchange
standards?
    5. What other comments do you have regarding the use of study data
exchange standards for submission of study data to CVM?

    Dated: June 8, 2021.
Lauren K. Roth,
Acting Principal Associate Commissioner for Policy.
[FR Doc. 2021-12503 Filed 6-14-21; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register: June 18, 2008 (Volume 73, Number 118)]
[Rules and Regulations]
[Page 34605-34608]
[DOCID:fr18jn08-2]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2008-0637; Directorate Identifier 2008-NM-078-AD;
Amendment 39-15561; AD 2008-12-17]
RIN 2120-AA64

Airworthiness Directives; Lockheed Model L-1011 Series Airplanes

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

ACTION: Final rule.

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

SUMMARY: The FAA is superseding an existing airworthiness directive
(AD), which applies to all Lockheed Model L-1011 series airplanes. That
AD currently requires an inspection of the fuel level control switch,
the fuel level control switch wiring harness, and the wiring harness
conduit for damage, wear or chafing, broken or missing O-rings, or
indications of electrical arcing. That AD also requires replacement of
a certain conduit in the fuel level control switch wiring harness,
installation of electrical sleeving over the fuel level control switch
wiring harness, and installation of the fuel level control switch that
has been so modified. This new AD requires an inspection of the fuel
level control switch, wiring harnesses, and harness conduit for any
visible damage, wear or chafing, broken or missing O-rings, or
indications of electrical arcing; an inspection to determine the part
number of the wiring harness conduit; and corrective actions if
necessary. This new AD also requires replacing certain sleeving with
new, improved sleeving over the wiring harness of the fuel level
control switch. This AD results from a design review of the fuel tank
systems. We are issuing this AD to prevent chafing of the fuel level
control switch wiring harness, which could cause arcing and result in a
fire in the fuel tank.

DATES: This AD becomes effective July 23, 2008.
    The Director of the Federal Register approved the incorporation by
reference of a certain other publication listed in the AD as of July
23, 2008.
    On June 1, 2001 (66 FR 21072, April 27, 2001), the Director of the
Federal Register approved the incorporation by reference of a certain
service bulletin.

ADDRESSES: For service information identified in this AD, contact
Lockheed Continued Airworthiness Project Office, Attention:
Airworthiness, 86 South Cobb Drive, Marietta, Georgia 30063-0567.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The address for the
Docket Office (telephone<PHONE_NUMBER>) is the Document Management
Facility, U.S. Department of Transportation, Docket Operations, M-30,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Robert A. Bosak, Aerospace Engineer,
Propulsion and Services Branch, ACE-118A, FAA, Atlanta Aircraft

Certification Office, One Crown Center, 1895 Phoenix Boulevard, Suite
450, Atlanta, Georgia 30349; telephone<PHONE_NUMBER>; fax (770) 703-
6097.

SUPPLEMENTARY INFORMATION:

Discussion

    On April 18, 2001, we issued AD 2001-08-21, amendment 39-12198 (66
FR 21072, April 27, 2001), for all Lockheed Model L-1011 series
airplanes. That AD requires a general visual inspection of the fuel
level control switch, the fuel level control switch wiring harness, and
the wiring harness conduit for damage, wear or chafing, broken or
missing O-rings, or indications of electrical arcing. That AD also
requires replacement of a certain conduit in the fuel level control
switch wiring harness, installation of electrical sleeving over the
fuel level control switch wiring harness, and installation of the fuel
level control switch that has been so modified. That AD resulted from a
design review of the fuel tank systems. We issued that AD to prevent
chafing of the fuel level control switch wiring harness, which could
cause arcing and result in a fire in the fuel tank. That AD refers to
the original issue of Lockheed Service Bulletin 093-28-094, dated March
3, 2000, as the appropriate source of service information for
accomplishing the actions required by that AD.

Actions Since Existing AD Was Issued

    Since we issued AD 2001-08-21, we issued a notice of proposed
rulemaking (NPRM) to amend 14 CFR part 39 to include an airworthiness
directive (AD) that would apply to all Lockheed Model L-1011 series
airplanes. That NPRM, Docket No. FAA-2008-0181, was published in the
Federal Register on February 20, 2008 (73 FR 9235). That NPRM proposed
to require revising the FAA-approved maintenance program by
incorporating new airworthiness limitations for fuel tank systems to
satisfy Special Federal Aviation Regulation No. 88 (``SFAR 88'')
requirements. That NPRM also proposed to require the accomplishment of
certain fuel system modifications, the initial inspections of certain
repetitive fuel system limitations (FSLs) to phase in those
inspections, and repair if necessary. One of those FSLs involved
accomplishing the actions specified in Lockheed Service Bulletin 093-
28-094, Revision 1, dated June 23, 2006.
    We gave the public the opportunity to participate in developing
that NPRM, and we received a comment from ATA Airlines requesting that
we revise the NPRM by removing the proposed requirement to accomplish
the FSL specified in Revision 1 of Lockheed Service Bulletin 093-28-
094. The commenter further requested that we instead issue a separate
rulemaking action to supersede AD 2001-08-21 to require the
accomplishment of Revision 1 of the service bulletin. As stated in the
NPRM, AD 2001-08-21 requires the accomplishment of the original issue
of the service bulletin, but more work is necessary for Revision 1 of
the service bulletin. The additional work includes replacing any wiring
harness conduit having part number (P/N) 741652-105 with new conduit
having P/N 741652-121, removing any braided fiberglass sleeving
installed in accordance with the original issue of the service
bulletin, and installing PVC electrical sleeving having P/N PVC-105-2
over the wiring harness of the fuel level control switch.
    We agree that it is more appropriate to supersede AD 2001-08-21 to
require the additional work specified in Revision 1 of the service
bulletin. Therefore, we are issuing this new action to amend 14 CFR
part 39 to include an AD that supersedes AD 2001-08-21. Further, we
also removed the proposed requirement to accomplish the FSL specified
in Revision 1 of the service bulletin from the NPRM, and we issued AD
2008-11-02, amendment 39-15524 (73 FR 29410, May 21, 2008), on May 8,
2008, to require all other actions proposed by the NPRM.

Relevant Service Information

    We have reviewed Revision 1 of Lockheed Service Bulletin 093-28-
094. That service bulletin describes the following procedures:
     Inspecting the fuel level control switch, wiring harness,
and wiring harness conduit for any visible damage, wear or chafing,
broken or missing O-rings, or indications of electrical arcing.
     Verifying the part number of the wiring harness conduit.
     Removing any braided fiberglass sleeving installed in
accordance with the original issue of the service bulletin, and
installing PVC electrical sleeving having P/N PVC-105-2 over the wiring
harness of the fuel level control switch.
     Doing corrective actions if necessary.
    The corrective actions include replacing the fuel level control
switch with a new part if any visible damage, wear or chafing, broken
or missing O-ring, or indication of electrical arcing is found; and
replacing any wiring harness conduit having P/N 741652-103 or -105 with
new conduit having P/N 741652-121.
    The service bulletin also describes procedures for notifying
Lockheed of any discrepancies found during the inspection, and revising
the airplane records and maintenance planning documents to repeat the
inspection at intervals not to exceed 120 months.

FAA's Determination and Requirements of the AD

    We have evaluated all pertinent information and identified an
unsafe condition that is likely to develop on other airplanes of the
same type design. For this reason, we are issuing this AD, which would
supersede AD 2001-08-21 and would retain the requirements of the
existing AD. This AD would also require the following actions:
     A general visual inspection of the fuel level control
switch, wiring harness, and wiring harness conduit for any visible
damage, wear or chafing, broken or missing O-rings, or indications of
electrical arcing, and corrective action as applicable.
     An inspection to determine the part number of the wiring
harness conduit, and corrective action as applicable.
     Replacement of any braided fiberglass sleeving with PVC
electrical sleeving over the wiring harness of the fuel level control
switch.
     A revision to the FAA-approved maintenance program to
incorporate repetitive general visual inspections of the fuel level
control switch, wiring harness, and wiring harness conduit for any
visible damage, wear or chafing, broken or missing O-rings, or
indications of electrical arcing.
    This AD allows accomplishing the revision to the FAA-approved
maintenance program in accordance with later revisions of Lockheed
Service Bulletin 093-28-094 as an acceptable method of compliance if
they are approved by the Manager, Atlanta Aircraft Certification
Office, FAA.

Difference Between This AD and Service Bulletin

    Although Lockheed Service Bulletin 093-28-094, Revision 1,
describes procedures for notifying Lockheed of any discrepancies found
during the inspection, this AD does not require that action.

Clarification of Inspection Terminology

    The ``inspection'' specified in Lockheed Service Bulletin 093-28-
094, Revision 1, is referred to as a ``general visual inspection'' in
this AD. We have included the definition for a general visual
inspection in a note in this AD.

Change to Existing AD

    This AD retains all requirements of AD 2001-08-21. Since AD 2001-
08-21 was issued, the AD format has been revised, and certain
paragraphs have

been rearranged. As a result, the corresponding paragraph identifiers
have changed in this AD, as listed in the following table:

                      Revised Paragraph Identifiers
------------------------------------------------------------------------
                                            Corresponding requirement in
       Requirement in  AD 2001-08-21                   this AD
------------------------------------------------------------------------
paragraph (a).............................  paragraph (f).
paragraph (b).............................  paragraph (g).
------------------------------------------------------------------------

Costs of Compliance

    There are about 108 airplanes of the affected design in the
worldwide fleet. The following table provides the estimated costs, at
an average labor rate of $80 per work hour, for U.S. operators to
comply with this AD.

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Number of U.S.-
             Action                 Work hours         Parts         Cost per       registered      Fleet cost
                                                                     airplane        airplanes
----------------------------------------------------------------------------------------------------------------
Inspection of fuel level control              19            $200          $1,720              63        $108,360
 switch and installation of
 braided fiberglass sleeving
 (required by AD 2001-08-21)....
Inspection of fuel level control               3          41,785          42,025              63       2,647,575
 switch and installation of PVC
 sleeving (new action)..........
Maintenance program revision to                1            None              80              63           5,040
 incorporate repetitive
 inspection (new action)........
----------------------------------------------------------------------------------------------------------------

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

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

0
2. The Federal Aviation Administration (FAA) amends Sec.  39.13 by
removing amendment 39-12198 (66 FR 21072, April 27, 2001) and by adding
the following new airworthiness directive (AD):

2008-12-17 Lockheed: Amendment 39-15561. Docket No. FAA-2008-0637;
Directorate Identifier 2008-NM-078-AD.

Effective Date

    (a) This AD becomes effective July 23, 2008.

Affected ADs

    (b) This AD supersedes AD 2001-08-21.

Applicability

    (c) This AD applies to all Lockheed Model L-1011 series
airplanes, certificated in any category.

    Note 1: This AD requires revisions to certain operator
maintenance documents to include new inspections. Compliance with
these inspections is required by 14 CFR 91.403(c). For airplanes
that have been previously modified, altered, or repaired in the
areas addressed by these inspections, the operator may not be able
to accomplish the inspections described in the revisions. In this
situation, to comply with 14 CFR 91.403(c), the operator must
request approval for an alternative method of compliance (AMOC)
according to paragraph (l) of this AD. The request should include a
description of changes to the required inspections that will ensure
the continued operational safety of the airplane.

Unsafe Condition

    (d) This AD results from a design review of the fuel tank
systems. We are issuing this AD to prevent chafing of the fuel level
control switch wiring harness, which could cause arcing and result
in a fire in the fuel tank.

Compliance

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

Restatement of Requirements of AD 2001-08-21

Inspection, Replacement, and Installation

    (f) Within 18 months after June 1, 2001 (the effective date of
AD 2001-08-21): Verify the part number (P/N) of the wiring harness
conduit and perform a general visual inspection of the fuel level
control switch, the fuel level control switch wiring harness, and
the wiring harness conduit to detect any visible damage, any wear or
chafing, broken or missing O-rings, or indications of electrical
arcing, in accordance with the Accomplishment Instructions in
Lockheed Service Bulletin 093-28-094, dated March 3, 2000; or
Revision 1, dated June 23, 2006.

    Note 2: For the purposes of this AD, a general visual inspection
is defined as: ``A visual examination of an interior or exterior

area, installation, or assembly to detect obvious damage, failure,
or irregularity. This level of inspection is made under normally
available lighting conditions such as daylight, hangar lighting,
flashlight, or drop-light, and may require removal or opening of
access panels or doors. Stands, ladders, or platforms may be
required to gain proximity to the area being checked.''

    (g) Prior to further flight after accomplishment of the
requirements in paragraph (f) of this AD, accomplish the actions
specified in paragraphs (g)(1) and (g)(2), as applicable, in
accordance with the Accomplishment Instructions in Lockheed Service
Bulletin 093-28-094, dated March 3, 2000; or Revision 1, dated June
23, 2006.
    (1) Install sleeving over each fuel level control switch wiring
harness and install the modified fuel level control switch.
    (2) If a conduit with P/N 97590-103 is installed, replace the
conduit with one having P/N 97590-121, install sleeving over each
fuel level control switch wiring harness, and install the modified
fuel level control switch.

New Requirements of This AD

New Inspections, Replacement, and Corrective Actions

    (h) Within 60 months after the effective date of this AD: Do a
general visual inspection of the fuel level control switch, wiring
harness, and wiring harness conduit for any visible damage, wear or
chafing, broken or missing O-rings, or indications of electrical
arcing; do an inspection to determine the part number of the wiring
harness conduit; replace any braided fiberglass sleeving with PVC
electrical sleeving over the wiring harness of the fuel level
control switch; and do all applicable corrective actions; by
accomplishing all of the applicable actions specified in the
Accomplishment Instructions of Lockheed Service Bulletin 093-28-094,
Revision 1, dated June 23, 2006. The corrective actions must be done
before further flight after doing the inspections.

Maintenance Program Revision

    (i) Concurrently with accomplishing the actions specified in
paragraph (h) of this AD: Revise the FAA-approved maintenance
program to incorporate the information specified in Table 1 of this
AD.

                         Table 1.--Fuel System Limitation for Fuel Level Control Switch
----------------------------------------------------------------------------------------------------------------
                Task                   Repetitive Interval        Applicability              Description
----------------------------------------------------------------------------------------------------------------
Airworthiness limitation             120 months............  All airplanes modified  General visual inspection
 instruction (ALI).                                           in accordance with      of the fuel level control
                                                              Lockheed Service        switch, wiring harness,
                                                              Bulletin 093-28-094,    and wiring harness conduit
                                                              Revision 1, dated       for any visible damage,
                                                              June 23, 2006.          wear or chafing, broken or
                                                                                missing O-rings, or
                                                                                indications of electrical
                                                                                arcing, in accordance with
                                                                                Lockheed Service Bulletin
                                                                                093-28-094, Revision 1,
                                                                                dated June 23, 2006.
----------------------------------------------------------------------------------------------------------------

No Alternative Inspections or Inspection Intervals

    (j) After accomplishing the action specified in paragraph (i) of
this AD, no alternative inspections or inspection intervals may be
used unless the inspections or intervals are part of a later
revision of Lockheed Service Bulletin 093-28-094, Revision 1, dated
June 23, 2006, that is approved by the Manager, Atlanta Aircraft
Certification Office (ACO), FAA; or unless the inspections or
intervals are approved as an AMOC in accordance with the procedures
specified in paragraph (l) of this AD.

No Reporting Requirement

    (k) Although Lockheed Service Bulletin 093-28-094, Revision 1,
dated June 23, 2006, specifies notifying Lockheed of any
discrepancies found during the inspection, this AD does not require
that action.

Alternative Methods of Compliance (AMOCs)

    (l)(1) The Manager, Atlanta ACO, FAA, has the authority to
approve AMOCs for this AD, if requested in accordance with the
procedures found in 14 CFR 39.19.
    (2) To request a different method of compliance or a different
compliance time for this AD, follow the procedures in 14 CFR 39.19.
Before using any approved AMOC on any airplane to which the AMOC
applies, notify your appropriate principal inspector (PI) in the FAA
Flight Standards District Office (FSDO), or lacking a PI, your local
FSDO.

Material Incorporated by Reference

    (m) You must use Lockheed Service Bulletin 093-28-094, dated
March 3, 2000; or Lockheed Service Bulletin 093-28-094, Revision 1,
dated June 23, 2006; as applicable; to perform the actions that are
required by this AD, unless the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of Lockheed Service Bulletin 093-28-094,
Revision 1, dated June 23, 2006, in accordance with 5 U.S.C. 552(a)
and 1 CFR part 51.
    (2) On June 1, 2001 (66 FR 21072, April 27, 2001), the Director
of the Federal Register approved the incorporation by reference of
Lockheed Service Bulletin 093-28-094, dated March 3, 2000.
    (3) Contact Lockheed Continued Airworthiness Project Office,
Attention: Airworthiness, 86 South Cobb Drive, Marietta, Georgia
30063-0567, for a copy of this service information. You may review
copies at the FAA, Transport Airplane Directorate, 1601 Lind Avenue
SW., Renton, Washington; or at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call<PHONE_NUMBER>, or go to: http://
www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Renton, Washington, on June 5, 2008.
Michael J. Kaszycki,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. E8-13277 Filed 6-17-08; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 83, Number 94 (Tuesday, May 15, 2018)]
[Notices]
[Pages 22554-22555]
[FR Doc No: 2018-10241]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-221, OMB Control No. 3235-0232]

Proposed Collection; Comment Request

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

Extension:
    Form 1-E, Regulation E

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (the ``Commission'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit this existing collection of information of the Office of
Management and Budget for extension and approval.
    Form 1-E (17 CFR 239.200) under the Securities Act of 1933 (15
U.S.C. 77a et seq.) (``Securities Act'') is the form that a small
business investment company (``SBIC'') or business development company
(``BDC'') uses to notify the Commission that it is claiming an
exemption under Regulation E from registering its securities under the
Securities Act. Rule 605 of Regulation E (17 CFR 230.605) under the
Securities Act requires an SBIC or BDC claiming such an exemption to
file an offering circular with the Commission that must also be
provided to persons to whom an offer is made. Form 1-E requires an
issuer to provide the names and addresses of the issuer, its
affiliates, directors, officers, and counsel; a description of events
which would make the exemption unavailable; the jurisdictions in which
the issuer intends to offer the securities; information about
unregistered securities issued or sold by the issuer within one year
before filing the notification on Form 1-E; information as to whether
the issuer is presently offering or contemplating offering any other
securities; and exhibits, including copies of the rule 605 offering
circular and any underwriting contracts.
    The Commission uses the information provided in the notification on
Form 1-E and the offering circular to determine whether an offering
qualifies for the exemption under Regulation E. The Commission
estimates that, each year, one issuer files one notification on Form 1-
E, together with offering circulars,

with the Commission.\1\ Based on the Commission's experience with
disclosure documents, we estimate that the burden from compliance with
Form 1-E and the offering circular requires approximately 100 hours per
filing. The annual burden hours for compliance with Form 1-E and the
offering circular would be 200 hours (2 responses x 100 hours per
response). Estimates of the burden hours are made solely for the
purposes of the PRA, and are not derived from a comprehensive or even a
representative survey or study of the costs of SEC rules and forms.
---------------------------------------------------------------------------

    \1\ According to Commission records, one issuer filed two
notifications on Form 1-E, together with offering circulars, during
2013 and 2014.
---------------------------------------------------------------------------

    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to Pamela Dyson, Acting
Director/Chief Information Officer, Securities and Exchange Commission,
C/O Remi Pavlik-Simon, 100 F Street NE, Washington, DC 20549; or send
an email to: [email protected].

    Dated: May 9, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-10241 Filed 5-14-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: December 4, 2009 (Volume 74, Number 232)]
[Notices]
[Page 63816]
[DOCID:fr04de09-123]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activity Seeking OMB Approval

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice.

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

SUMMARY: The FAA invites public comments about our intention to request
the Office of Management and Budget's (OMB) revision of a current
information collection. The Federal Register Notice with a 60-day
comment period soliciting comments on the following collection of
information was published on September 2, 2009, vol. 74, no. 169, page
45516. Aeronautical Chart Point of Sale Survey data will be used by the
Federal Aviation Administration to measure management objectives and
analyze customer feedback for ISO-9001.

DATES: Please submit comments by January 4, 2010.

ADDRESSES: Interested persons are invited to submit written comments on
the proposed information collection to the Office of Information and
Regulatory Affairs, Office of Management and Budget. Comments should be
addressed to the attention of the Desk Officer, Department of
Transportation/FAA, and sent via electronic mail to oira_
<EMAIL_ADDRESS>or faxed to<PHONE_NUMBER>, or mailed to the
Office of Information and Regulatory Affairs, Office of Management and
Budget, Docket Library, Room 10102, 725 17th Street, NW., Washington,
DC 20503.

FOR FURTHER INFORMATION CONTACT: Carla Mauney at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Federal Aviation Administration (FAA)

    Title: Aeronautical Chart Point of Sale Survey.
    Type of Request: New collection.
    OMB Control Number: 2120-XXXX.
    Forms(s): There are no FAA forms associated with this collection.
    Affected Public: An estimated 320 Respondents.
    Frequency: This information is collected semi-annually.
    Estimated Average Burden per Response: Approximately 5 minutes per
response.
    Estimated Annual Burden Hours: An estimated 53 hours annually.
    Abstract: Survey data will be used by the Federal Aviation
Administration to measure management objectives and analyze customer
feedback for ISO-9001.
    Comments are invited on: Whether the proposed collection of
information is necessary for the proper performance of the functions of
the Department, including whether the information will have practical
utility; the accuracy of the Department's estimates of the burden of
the proposed information collection ways to enhance the quality,
utility, and clarity of the information to be collected and ways to
minimize the burden of the collection of information on respondents,
including the use of automated collection techniques or other forms of
information technology.

    Issued in Washington, DC, on November 30, 2009.
Carla Mauney,
FAA Information Collection Clearance Officer, IT Enterprises Business
Services Division AES-200.
[FR Doc. E9-28945 Filed 12-3-09; 8:45 am]

BILLING CODE 4910-13-M