[Federal Register Volume 82, Number 111 (Monday, June 12, 2017)]
[Rules and Regulations]
[Pages 26848-26850]
[FR Doc No: 2017-12083]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket Number USCG-2017-0075]
RIN 1625-AA00

Safety Zone; Mill Creek, Hampton, VA

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing a temporary safety zone for
navigable waters within a 170-yard radius of the fireworks barge in
Mill Creek, Hampton, VA. The safety zone is needed to protect persons,
vessels, and the marine environment from potential hazards associated
with fireworks display. Entry of vessels or persons into this zone is
prohibited unless specifically authorized by the Captain of the Port
Hampton Roads.

DATES: This rule is effective from 9 p.m. through 10 p.m. on July 4,
2017.

ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type USCG-
2017-0075 in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rule.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email LCDR Barbara Wilk, Waterways Management Division Chief,
Sector Hampton Roads, U.S. Coast Guard; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

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

II. Background Information and Regulatory History

    The Coast Guard is issuing this temporary rule without prior notice
and opportunity to comment pursuant to authority under section 4(a) of
the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are impracticable, unnecessary, or contrary to the public
interest. Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good
cause exists for not publishing a notice of proposed rulemaking (NPRM)
with respect to this rule because it would be impracticable and
contrary to the public interest to do so as this safety zone must be
established by July 4, 2017, to protect the public from potential
safety hazards associated with the fireworks display.
    We are issuing this rule, and under 5 U.S.C. 553(d)(3), the Coast
Guard finds that good cause exists for making it effective less than 30
days after publication in the Federal Register. Delaying the effective
date of this rule would be contrary to public interest because a safety
zone is needed to

protect the public from the potential safety hazards associated with
the fireworks display. This event is planned by the local community and
accordingly, the public has received advanced notification of this
upcoming event through media outlets and has had time to prepare.

III. Legal Authority and Need for Rule

    The Coast Guard is issuing this rule under authority in 33 U.S.C.
1231. The Captain of the Port (COTP) Hampton Roads has determined that
potential hazards associated with fireworks displays starting July 4,
2017 will be a safety concern for anyone within a 170-yard radius of
fireworks display barge. This rule is needed to protect persons,
vessels, and the marine environment on the navigable waters within the
safety zone during the fireworks display.

IV. Discussion of the Rule

    This rule establishes a safety zone from 9 p.m. through 10 p.m. on
July 4, 2017. The safety zone will cover all navigable waters within
170 yards of fireworks display barge in approximate position latitude
37[deg]00'36'' N., longitude 076[deg]18'26'' W. (NAD 1983). The
duration of the zone is intended to protect persons, vessels, and the
marine environment on these navigable waters during the fireworks
display. No vessel or person will be permitted to enter the safety zone
without obtaining permission from the COTP or a designated
representative.

V. Regulatory Analyses

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

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. Executive Order 13563 emphasizes the importance of
quantifying both costs and benefits, of reducing costs, of harmonizing
rules, and of promoting flexibility. This rule has not been designated
a ``significant regulatory action,'' under Executive Order 12866.
Accordingly, it has not been reviewed by the Office of Management and
Budget.
    This regulatory action determination is based on the size,
location, duration, and time-of-year of the safety zone. Vessel traffic
will be able to safely transit around this safety zone which will
impact a small designated area of Mill Creek in Hampton, VA for one
hour. Further, Mill Creek does not serve as a throughway for any
waterborne transit. The Coast Guard will issue Broadcast Notice to
Mariners via VHF-FM marine channel 16 regarding the safety zone, the
rule allows vessels to request permission from the COTP to enter the
safety zone if deemed safe to do so.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule
will not have a significant economic impact on a substantial number of
small entities.
    While some owners or operators of vessels intending to transit the
safety zone may be small entities, for the reasons stated in section
V.A above, this rule will not have a significant economic impact on any
vessel owner or operator.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT
section.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

C. Collection of Information

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

D. Federalism and Indian Tribal Governments

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

E. Unfunded Mandates Reform Act

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

F. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (42 U.S.C. 4321-4370f), and have determined that
this action is one of a category of actions that do not individually or
cumulatively have a significant effect on the human environment. This
rule involves a safety zone lasting approximately one hour duration
that will prohibit entry within

170 yard radius of fireworks display barge. It is categorically
excluded from further review under paragraph 34(g) of Figure 2-1 of the
Commandant Instruction. A preliminary Record of Environmental
Consideration (REC) supporting this determination is available in the
docket where indicated under ADDRESSES. We seek any comments or
information that may lead to the discovery of a significant
environmental impact from this rule.

G. Protest Activities

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

List of Subjects in 33 CFR Part 165

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

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority: 33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05-1, 6.04-1,
6.04-6, 160.5; Department of Homeland Security Delegation No.
0170.1.

0
2. Add Sec.  165.T05-0075 to read as follows:

Sec.  165.T05-0075   Safety Zone, Mill Creek; Hampton, VA.

    (a) Definitions. For the purposes of this section, Captain of the
Port means the Commander, Sector Hampton Roads. Representative means
any Coast Guard commissioned, warrant or petty officer who has been
authorized to act on the behalf of the Captain of the Port.
Participants mean individuals and vessels involved in explosives
training.
    (b) Locations. The following area is a safety zone: All waters of
Mill Creek, within 170 yard radius of latitude 37[deg]00'36'' N.,
longitude 076[deg]18'26'' W. (NAD 1983).
    (c) Regulations. (1) All persons are required to comply with the
general regulations governing safety zones in Sec.  165.23.
    (2) With the exception of participants, entry into or remaining in
this safety zone is prohibited unless authorized by the Captain of the
Port, Hampton Roads or his designated representatives. All vessels
underway within this safety zone at the time it's implemented are to
depart the zone immediately. The Captain of the Port, Hampton Roads or
representative can be contacted at telephone number<PHONE_NUMBER>. The
Coast Guard and designated security vessels enforcing the safety zone
can be contacted on VHF-FM marine band radio channel 13 (165.65 MHz)
and channel 16 (156.8 MHz).
    (3) This section applies to all persons or vessels that intent to
transit through the safety zone except participants and vessels that
are engaged in the following operations:
    (i) Enforcing laws;
    (ii) Servicing aids to navigation, and
    (iii) Emergency response vessels.
    (4) The U.S. Coast Guard may be assisted in the patrol and
enforcement of the safety zone by Federal, State, and local agencies.
    (d) Enforcement period. This section will be enforced from 9 p.m.
through 10 p.m. on July 4, 2017.

    Dated: June 6, 2017.
Richard J. Wester,
Captain, U.S. Coast Guard, Captain of the Port, Hampton Road.
[FR Doc. 2017-12083 Filed 6-9-17; 8:45 am]
 BILLING CODE 9110-04-P


purposes of the RFA. For purposes of the RFA, under the Exchange Act a
broker or dealer is a small entity if it: (i) had total capital of less
than $500,000 on the date in its prior fiscal year as of which its
audited financial statements were prepared or, if not required to file
audited financial statements, on the last business day of its prior
fiscal year; and (ii) is not affiliated with any person that is not a
small entity.\536\ A transfer agent is a small entity if it: (i)
received less than 500 items for transfer and less than 500 items for
processing during the preceding six months; (ii) transferred items only
of issuers that are small entities; (iii) maintained master shareholder
files that in the aggregate contained less than 1,000 shareholder
accounts or was the named transfer agent for less than 1,000
shareholder accounts at all times during the preceding fiscal year; and
(iv) is not affiliated with any person that is not a small entity.\537\
Under the Investment Company Act, investment companies are considered
small entities if they, together with other funds in the same group of
related funds, have net assets of $50 million or less as of the end of
its most recent fiscal year.\538\ Under the Investment Advisers Act, a
small entity is an investment adviser that: (i) manages less than $25
million in assets; (ii) has total assets of less than $5 million on the
last day of its most recent fiscal year; and (iii) does not control, is
not controlled by, and is not under common control with another
investment adviser that manages $25 million or more in assets, or any
person that has had total assets of $5 million or more on the last day
of the most recent fiscal year.\539\
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    \536\ 17 CFR 240.0-10.
    \537\ Id.
    \538\ 17 CFR 270.0-10.
    \539\ 17 CFR 275.0-7.
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    Based on Commission filings, we estimate that approximately 764
broker-dealers,\540\ 158 transfer agents,\541\ 85 investment
companies,\542\ and 522 registered investment advisers \543\ may be
considered small entities.
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    \540\ Estimate based on FOCUS Report data collected by the
Commission as of September 30, 2022.
    \541\ Estimate based on the number of transfer agents that
reported a value of fewer than 1,000 for items 4(a) and 5(a) on Form
TA-2 for the 2021 annual reporting period (which, was required to be
filed by March 31, 2022).
    \542\ Based on Commission staff approximation that as of June
2022, approximately 43 open-end funds (including 11 exchange-traded
funds), 31 closed-end funds, and 11 business development companies
are small entities. See Tailored Shareholder Reports for Mutual
Funds and Exchange-Traded Funds; Fee Information in Investment
Company Advertisements, Securities Act Release No. 11125 (Oct. 26,
2022) [87 FR 72758-01 (Nov. 25, 2022)].
    \543\ Estimate based on IARD data as of June 30, 2022.
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D. Projected Reporting, Recordkeeping, and Other Compliance
Requirements

    The proposed amendments to Regulation S-P would require covered
institutions to develop incident response programs for unauthorized
access to or use of customer information, as well as imposing a
customer notification obligation in instances where sensitive customer
information was, or is reasonably likely to have been, accessed or used
without authorization. The proposed amendments also would include new
mandatory recordkeeping requirements and language conforming Regulation
S-P's annual privacy notice delivery provisions to the terms of a
statutory exception.
    Under the proposed amendments, covered institutions would have to
develop, implement, and maintain, within their written policies and
procedures designed to comply with Regulation S-P, a program that is
reasonably designed to detect, respond to, and recover from
unauthorized access to or use of customer information, including
customer notification procedures. Such policies and procedures would
also need to require that covered institutions, pursuant to a written
contract between the covered institution and its service providers,
require the service providers to take appropriate measures designed to
protect against unauthorized access to or use of customer information,
including by notifying the covered institution as soon as possible, but
no later than 48 hours after becoming aware of a breach, in the event
of any breach in security that results in unauthorized access to a
customer information system maintained by the service provider, in
order to enable the covered institution to implement its response
program. If an incident were to occur, unless a covered institution has
determined, after a reasonable investigation of the facts and
circumstances of the incident of unauthorized access to or use of
sensitive customer information, that sensitive customer information has
not been, and is not reasonably likely to be, used in a manner that
would result in substantial harm or inconvenience, the covered
institution must provide a clear and conspicuous notice to each
affected individual whose sensitive customer information was, or is
reasonably likely to have been, accessed or used without authorization.
As part of its incident response program, a covered institution may
also enter into a written agreement with its service provider to have
the service provider notify affected individuals on its behalf.
    In addition, covered institutions would be required to make and
maintain specified written records designed to evidence compliance with
these requirements. Such records would be required to be maintained
starting from when the record was made, or from when the covered
institution terminated the use of the written policy or procedure, for
the time periods stated in the amended recordkeeping regulations for
each type of covered institution.\544\
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    \544\ Specifically, the proposal would amend (i) Investment
Company Act rules 31a-1(b) and 31a-2(a) for investment companies
that are registered under the Investment Company Act, (ii) proposed
rule 248.30(d) under Regulation S-P for unregistered investment
companies, (iii) Investment Advisers Act rule 204-2 for investment
advisers, (iv) Exchange Act rule 17a-4 for broker-dealers, and (v)
Exchange Act rule 17Ad-7 for transfer agents.
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    Some covered institutions, including covered institutions that are
small entities, would incur increased costs involved in reviewing and
revising their current safeguarding policies and procedures to comply
with these obligations, including their cybersecurity policies and
procedures. Initially, this would require covered institutions to
develop as part of their written policies and procedures under the
safeguards rule, a program reasonably designed to detect, respond to,
and recover from any unauthorized access to or use of customer
information, including customer notification procedures, in a manner
that provides clarity for firm personnel. Further, in developing these
policies and procedures, covered institutions would need to include
policies and procedures requiring the covered institution, pursuant to
a written contract, to require its service providers to take
appropriate measures that are

designed to protect against unauthorized access to or use of customer
information, including notifying the covered institution as soon as
possible, but no later than 48 hours after becoming aware of a breach,
in the event of any breach in security resulting in unauthorized access
to a customer information system maintained by the service provider, in
order to enable the covered institution to implement its response
program. However, as the Commission recognizes the number and varying
characteristics (e.g., size, business, and sophistication) of covered
institutions, these proposed amendments would help covered institutions
to tailor these policies and procedures and related incident response
program based on the individual facts and circumstances of the firm,
and provide flexibility in addressing the general elements of the
response program requirements based on the size and complexity of the
covered institution and the nature and scope of its activities.
    In addition, the Commission acknowledges that the proposed rule
would impose greater costs on those transfer agents that are registered
with another appropriate regulatory agency, if they are not currently
subject to Regulation S-P, as well as those transfer agents registered
with the Commission who are not currently subject to the safeguards
rule. As discussed above, such costs would include the development and
implementation of necessary policies and procedures, the ongoing costs
of required recordkeeping and maintenance requirements, and, where
necessary, the costs to comply with the customer notification
requirements of the proposed rule. Such costs would also include the
same minimal costs for employee training or establishing clear
procedures for consumer report information disposal that are imposed on
all covered institutions. To the extent that such costs are being
applied to a transfer agent for the first time as a result of new
obligations being imposed, the proposed rule would incur higher present
costs on those transfer agents than those covered institutions that are
already subject to the safeguards rule and the disposal rule.
    To comply with these amendments on an ongoing basis, covered
institutions would need to respond appropriately to incidents that
entail the unauthorized access to or use of customer information. This
would entail carrying out the established response program procedures
to (i) assess the nature and scope of any incident involving
unauthorized access to or use of customer information and identify the
customer information systems and types of customer information that may
have been accessed or used without authorization; (ii) take appropriate
steps to contain and control the incident to prevent further
unauthorized access to or use of customer information; and (iii) notify
each affected individual whose sensitive customer information was, or
is reasonably likely to have been, accessed or used without
authorization, unless the covered institution determines, after a
reasonable investigation of the facts and circumstances of the incident
of unauthorized access to or use of sensitive customer information,
that the sensitive customer information has not been, and is not
reasonably likely to be, used in a manner that would result in
substantial harm or inconvenience.
    Where the covered institution determines notice is required, the
covered institution would need to provide a clear and conspicuous
notice to each affected individual whose sensitive customer information
was, or is reasonably likely to have been, accessed or used without
authorization. This notice would need to be transmitted by a means
designed to ensure that each affected individual can reasonably be
expected to receive actual notice in writing. Further, the covered
institution would need to satisfy the specified content requirements of
that notice,\545\ the preparation of which would incur some incremental
additional costs on covered institutions.
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    \545\ See proposed rule 248.30(b)(4)(iv). In particular, the
covered institution would need to: (i) describe in general terms the
incident and the type of sensitive customer information that was or
is reasonably believed to have been accessed or used without
authorization; (ii) describe what has been done to protect the
sensitive customer information from further unauthorized access or
use; (iii) include, if the information is reasonably possible to
determine at the time the notice is provided, any of the following:
the date of the incident, the estimated date of the incident, or the
date range within which the incident occurred; (iv) include contact
information sufficient to permit an affected individual to contact
the covered institution to inquire about the incident, including the
following: a telephone number (which should be a toll-free number if
available), an email address or equivalent method or means, a postal
address, and the name of a specific office to contact for further
information and assistance; (v) if the individual has an account
with the covered institution, recommend that the customer review
account statements and immediately report any suspicious activity to
the covered institution; (vi) explain what a fraud alert is and how
an individual may place a fraud alert in the individual's credit
reports to put the individual's creditors on notice that the
individual may be a victim of fraud, including identity theft; (vii)
recommend that the individual periodically obtain credit reports
from each nationwide credit reporting company and have information
relating to fraudulent transactions deleted; (viii) explain how the
individual may obtain a credit report free of charge; and (ix)
include information about the availability of online guidance from
the Federal Trade Commission and usa.gov regarding steps an
individual can take to protect against identity theft, a statement
encouraging the individual to report any incidents of identity theft
to the Federal Trade Commission, and include the Federal Trade
Commission's website address where individuals may obtain government
information about identity theft and report suspected incidents of
identity theft.
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    Finally, covered institutions would also face costs in complying
with the new recordkeeping requirements imposed by these amendments
that are incrementally more than those costs covered institutions
already incur from their existing regulatory recordkeeping obligations,
in light of their already existing record retention systems. However,
the Commission has proposed such record maintenance provisions to align
with those most frequently employed as to each covered institution
subject to this rulemaking, partially in an effort to minimize these
costs to firms.
    Overall, incremental costs would be associated with the proposed
amendments to Regulation S-P.\546\ Some proportion of large or small
institutions would be likely to experience some increase in costs to
comply with the proposed amendments if they are adopted.
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    \546\ Covered institutions are currently subject to similar
recordkeeping requirements applicable to other required policies and
procedures. Therefore, covered institutions will generally not need
to invest in new recordkeeping staff, systems, or procedures to
satisfy the new recordkeeping requirements; see supra note 491 and
accompanying text.
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    More specifically, we estimate that many covered institutions would
incur one-time costs related to reviewing and revising their current
safeguarding policies and procedures to comply with these obligations,
including their cybersecurity policies and procedures. Additionally,
some covered institutions, including transfer agents, may incur costs
associated with establishing such policies and procedures as these
amendments require if those covered institutions do not already have
such policies and procedures. We also estimate that the ongoing, long-
term costs associated with the proposed amendments could include costs
of responding appropriately to incidents that entail the unauthorized
access to or use of customer information.
    We encourage written comments regarding this analysis. We solicit
comments as to whether the proposed amendments could have an effect
that we have not considered. We also request that commenters describe
the nature of any impact on small entities and provide empirical data
to support the extent of the impact. In addition, we

solicit comments regarding our proposal to amend Regulation S-P's
annual privacy notice delivery provisions to conform to the terms of a
statutory exception.

E. Duplicative, Overlapping, or Conflicting Federal Rules

    As discussed above, the proposed amendments would impose
requirements that covered institutions develop response programs for
unauthorized access to or use of customer information in the form of
written policies and procedures designed to detect, respond to, and
recover from unauthorized access to or use of customer information,
including customer notification procedures. Covered institutions are
subject to requirements elsewhere under the Federal securities laws and
rules of the self-regulatory organizations that require them to adopt
written policies and procedures that may relate to some similar
issues.\547\ The proposed amendments to Regulation S-P, however, would
not require covered institutions to maintain duplicate copies of
records covered by the rule, and an institution's incident response
program for unauthorized access to or use of customer information would
not have to be maintained in a single location. We preliminarily
believe, therefore, that any duplication of regulatory requirements
would be limited and would not impose significant additional costs on
covered institutions including small entities.\548\ With the exception
of the Banking Agencies' Incident Response Guidance and their
requirements for safeguarding customer information and disposing of
consumer financial report information as they apply to transfer agents
that are registered with another appropriate regulatory agency, we
believe there are no other Federal rules that duplicate, overlap, or
conflict with the proposed reporting requirements.
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    \547\ See, e.g., 15 U.S.C. 80b-4a (requiring each adviser
registered with the Commission to have written policies and
procedures reasonably designed to prevent misuse of material non-
public information by the adviser or persons associated with the
adviser); 17 CFR 270.38a-1(a)(1) (requiring investment companies to
adopt compliance policies and procedures); 275.206(4)-7(a)
(requiring investment advisers to adopt compliance policies and
procedures); Regulation S-ID, 17 CFR part 248, subpart C, (requiring
financial institutions subject to the Commission's jurisdiction with
covered accounts to develop and implement a written identity theft
prevention program that is designed to detect, prevent, and mitigate
identity theft in connection with covered accounts, which must
include, among other things, policies and procedures to respond
appropriately to any red flags that are detected pursuant to the
program); and FINRA Rule 3110 (requiring each broker-dealer to
establish and maintain written procedures to supervise the types of
business it is engaged in and to supervise the activities of
registered representatives and associated persons, which could
include registered investment advisers).
    \548\ See supra section II.G.
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    In the case of transfer agents that are registered with another
appropriate regulatory agency, the proposed rule might be considered
duplicative of or overlapping with the Banking Agencies' Incident
Response Guidance. Specifically, the proposed rule might be considered
to overlap or conflict with the Banking Agencies' Incident Response
Guidance regarding the safeguarding of customer information, disposal
of consumer financial report information, and as to procedures for
customer notification in connection with an incident response program.
    In general, however, the similarities between the proposed
reporting requirements and existing reporting requirements under rules
of the Banking Agencies and the FTC are the result of our statutory
mandate to set standards for safeguarding customer records and
information that are consistent and comparable with the corresponding
standards set by the other agencies.

F. Significant Alternatives

    The Regulatory Flexibility Act directs us to consider significant
alternatives that would accomplish the stated objectives, while
minimizing any significant adverse impact on small entities. In
connection with the proposed amendments, we considered the following
alternatives:
    1. establishing different compliance or reporting standards that
take into account the resources available to small entities;
    2. the clarification, consolidation, or simplification of the
reporting and compliance requirements under the rule for small
entities;
    3. use of performance rather than design standards; and
    4. exempting small entities from coverage of the rule, or any part
of the rule.
    With regard to the first alternative, we have proposed amendments
to Regulation S-P that would continue to permit institutions
substantial flexibility to design safeguarding policies and procedures
appropriate for their size and complexity, the nature and scope of
their activities, and the sensitivity of the personal information at
issue. We nevertheless believe it necessary to propose to require that
covered institutions, regardless of their size, adopt a response
program for incidents of unauthorized access to or use of customer
information, which would include customer notification procedures.\549\
The proposed amendments to Regulation S-P arise from our concern with
the increasing number of information security breaches that have come
to light in recent years, particularly those involving institutions
regulated by the Commission. Establishing different compliance or
reporting requirements for small entities could lead to less favorable
protections for these entities' customers and compromise the
effectiveness of the proposed amendments.
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    \549\ See proposed rule 248.30(b)(3).
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    With regard to the second alternative, the proposed amendments
should, by their operation, simplify reporting and compliance
requirements for small entities. Small covered institutions are likely
to maintain personal information on fewer individuals than large
covered institutions, and they are likely to have relatively simple
personal information systems. The proposed amendments would not
prescribe specific steps a covered institution must take in response to
a data breach, but instead would give the institution flexibility to
tailor its policies and procedures to its individual facts and
circumstances. The proposed amendments therefore are intended to give
covered institutions the flexibility to address the general elements in
the response program based on the size and complexity of the
institution and the nature and scope of its activities. Accordingly,
the requirements of the proposed amendment already would be simplified
for small entities. In addition, the requirements of the proposed
amendments could not be further simplified, or clarified or
consolidated, without compromising the investor protection objectives
the proposed amendments are designed to achieve.
    With regard to the third alternative, the proposed amendments are
design based. Rather than specifying the types of policies and
procedures that an institution would be required to include in its
response program, the proposed amendments would require a response
program that is reasonably designed to detect, respond to, and recover
from both unauthorized access to and unauthorized use of customer
information. With respect to the specific requirements regarding
notifications in the event of a data breach, we have proposed that
institutions provide only the information that seems most relevant for
an affected customer to know in order to assess adequately the
potential damage that could result from the breach and to develop an
appropriate response.

    Finally, with regard to alternative four, we preliminarily believe
that an exemption for small entities would not be appropriate. Small
entities are as vulnerable as large ones to the types of data security
breach incidents we are trying to address. In this regard, the specific
elements we have proposed must be considered and incorporated into the
policies and procedures of all covered institutions, regardless of
their size, to mitigate the potential for fraud or other substantial
harm or inconvenience to investors. Exempting small entities from
coverage of the proposed amendments or any part of the proposed
amendments could compromise the effectiveness of the proposed
amendments and harm investors by lowering standards for safeguarding
investor information maintained by small covered institutions.
Excluding small entities from requirements that would be applicable to
larger covered institutions also could create competitive disparities
between large and small entities, for example by undermining investor
confidence in the security of information maintained by small covered
institutions.
    We request comment on whether it is feasible or necessary for small
entities to have special requirements or timetables for, or exemptions
from, compliance with the proposed amendments. In particular, could any
of the proposed amendments be altered in order to ease the regulatory
burden on small entities, without sacrificing the effectiveness of the
proposed amendments?

G. Request for Comment

    We encourage the submission of comments with respect to any aspect
of this IRFA. In particular, we request comments regarding:
    121. The number of small entities that may be affected by the
proposed rules and amendments;
    122. The existence or nature of the potential impact of the
proposed rules and amendments on small entities discussed in the
analysis;
    123. How the proposed amendments could further lower the burden on
small entities; and
    124. How to quantify the impact of the proposed rules and
amendments.
    Commenters are asked to describe the nature of any impact and
provide empirical data supporting the extent of the impact. Comments
will be considered in the preparation of the Final Regulatory
Flexibility Analysis, if the proposed rules and amendments are adopted,
and will be placed in the same public file as comments on the proposed
rules and amendments themselves.

VI. Consideration of Impact on the Economy

    For purposes of the Small Business Regulatory Enforcement Fairness
Act of 1996 (``SBREFA''), the Commission must advise OMB whether a
proposed regulation constitutes a ``major'' rule. Under SBREFA, a rule
is considered ``major'' where, if adopted, it results in or is likely
to result in:
    A. An annual effect on the economy of $100 million or more;
    B. A major increase in costs or prices for consumers or individual
industries; or
    C. Significant adverse effects on competition, investment, or
innovation.
    We request comment on whether our proposal would be a ``major
rule'' for purposes of SBREFA. We solicit comment and empirical data
on:
     The potential effect on the U.S. economy on an annual
basis;
     Any potential increase in costs or prices for consumers or
individual industries; and
     Any potential effect on competition, investment, or
innovation.
    Commenters are requested to provide empirical data and other
factual support for their views to the extent possible.

Statutory Authority

    The Commission is proposing to amend Regulation S-P pursuant to
authority set forth in sections 17, 17A, 23, and 36 of the Exchange Act
[15 U.S.C. 78q, 78q-1, 78w, and 78mm], sections 31 and 38 of the
Investment Company Act [15 U.S.C. 80a-30 and 80a-37], sections 204,
204A and 211 of the Investment Advisers Act [15 U.S.C. 80b-4, 80b-4a
and 80b-11], section 628(a) of the FCRA [15 U.S.C. 1681w(a)], and
sections 501, 504, 505, and 525 of the GLBA [15 U.S.C. 6801, 6804, 6805
and 6825].

List of Subjects

17 CFR Parts 240, 270, and 275

    Reporting and recordkeeping requirements; Securities.

17 CFR Part 248

    Brokers, Consumer protection, Dealers, Investment advisers,
Investment companies, Privacy, Reporting and recordkeeping
requirements, Securities, Transfer agents.

Text of Proposed Amendments

    For the reasons set out in the preamble, the Securities and
Exchange Commission proposes to amend 17 CFR chapter II as follows:

PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934

0
1. The authority citation for part 240 continues to read, in part, as
follows:

    Authority:  15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f,
78g, 78i, 78j, 78j-1, 78j-4, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o,
78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll,
78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, and 7201
et seq., and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18
U.S.C. 1350; Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub.
L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise
noted.
* * * * *
    Section 240.17a-14 is also issued under Public Law 111-203, sec.
913, 124 Stat. 1376 (2010);
* * * * *
    Section 240.17Ad-7 is also issued under 15 U.S.C. 78b, 78q, and
78q-1.;
* * * * *
0
2. Amend Sec.  240.17a-4 by adding paragraphs (e)(13) and (e)(14) to
read as follows:

Sec.  240.17a-4  Records to be preserved by certain exchange members,
brokers and dealers.

* * * * *
    (e) * * *
    (13) Reserved.
    (14)(i) The written policies and procedures required to be adopted
and implemented pursuant to Sec.  248.30(b)(1) until three years after
the termination of the use of the policies and procedures;
    (ii) The written documentation of any detected unauthorized access
to or use of customer information, as well as any response to, and
recovery from such unauthorized access to or use of customer
information required by Sec.  248.30(b)(3) for three years from the
date when the records were made;
    (iii) The written documentation of any investigation and
determination made regarding whether notification is required pursuant
to Sec.  248.30(b)(4), including the basis for any determination made,
as well as a copy of any notice transmitted following such
determination, for three years from the date when the records were
made;
    (iv) The written policies and procedures required to be adopted and
implemented pursuant to Sec.  248.30(b)(5)(i) until three years after
the termination of the use of the policies and procedures;
    (v) The written documentation of any contract or agreement entered
into pursuant to Sec.  248.30(b)(5) until three years after the
termination of such contract or agreement; and

    (vi) The written policies and procedures required to be adopted and
implemented pursuant to Sec.  248.30(c)(2) until three years after the
termination of the use of the policies and procedures;
* * * * *
0
3. Amend Sec.  240.17Ad-7 by revising the section heading and adding
paragraphs (j) and (k) to read as follows:

Sec.  240.17ad-7  (Rule 17Ad-7) Record retention.

* * * * *
    (j) [Reserved].
    (k) Every registered transfer agent shall maintain in an easily
accessible place:
    (1) The written policies and procedures required to be adopted and
implemented pursuant to Sec.  248.30(b)(1) for no less than three years
after the termination of the use of the policies and procedures;
    (2) The written documentation of any detected unauthorized access
to or use of customer information, as well as any response to, and
recovery from such unauthorized access to or use of customer
information required by Sec.  248.30(b)(3) for no less than three years
from the date when the records were made;
    (3) The written documentation of any investigation and
determination made regarding whether notification is required pursuant
to Sec.  248.30(b)(4), including the basis for any determination made,
as well as a copy of any notice transmitted following such
determination, for no less than three years from the date when the
records were made;
    (4) The written policies and procedures required to be adopted and
implemented pursuant to Sec.  248.30(b)(5)(i) until three years after
the termination of the use of the policies and procedures;
    (5) The written documentation of any contract or agreement entered
into pursuant to Sec.  248.30(b)(5) until three years after the
termination of such contract or agreement; and
    (6) The written policies and procedures required to be adopted and
implemented pursuant to Sec.  248.30(c)(2) for no less than three years
after the termination of the use of the policies and procedures.

PART 248--REGULATIONS S-P, S-AM, AND S-ID

0
4. The authority citation for part 248 continues to read, in part, as
follows:

    Authority:  15 U.S.C. 78q, 78q-1, 78o-4, 78o-5, 78w, 78mm, 80a-
30, 80a-37, 80b-4, 80b-11, 1681m(e), 1681s(b), 1681s-3 and note,
1681w(a)(1), 6801-6809, and 6825; Pub. L. 111-203, secs. 1088(a)(8),
(a)(10), and sec. 1088(b), 124 Stat. 1376 (2010).
* * * * *
0
5. Amend Sec.  248.2 by revising paragraph (c) to read as follows:

Sec.  248.2  Model privacy form: rule of construction.

* * * * *
    (c) Substituted compliance with CFTC financial privacy rules by
futures commission merchants and introducing brokers. Except with
respect to Sec.  248.30(c), any futures commission merchant or
introducing broker (as those terms are defined in the Commodity
Exchange Act (7 U.S.C. 1, et seq.)) registered by notice with the
Commission for the purpose of conducting business in security futures
products pursuant to section 15(b)(11)(A) of the Securities Exchange
Act of 1934 (15 U.S.C. 78o(b)(11)(A)) that is subject to and in
compliance with the financial privacy rules of the Commodity Futures
Trading Commission (17 CFR part 160) will be deemed to be in compliance
with this part.
0
6. Amend Sec.  248.5 by revising the first sentence of paragraph
(a)(1), and adding paragraph (e).

    The revision and addition read as follows:

Sec.  248.5  Annual privacy notice to customers required.

    (a)(1) General rule. Except as provided by paragraph (e) of this
section, you must provide a clear and conspicuous notice to customers
that accurately reflects your privacy policies and practices not less
than annually during the continuation of the customer relationship.
Annually means at least once in any period of 12 consecutive months
during which that relationship exists. You may define the 12-
consecutive-month period, but you must apply it to the customer on a
consistent basis.
* * * * *
    (e) Exception to annual privacy notice requirement. (1) When
exception available. You are not required to deliver an annual privacy
notice if you:
    (i) Provide nonpublic personal information to nonaffiliated third
parties only in accordance with Sec. Sec.  248.13, 248.14, or 248.15;
and
    (ii) Have not changed your policies and practices with regard to
disclosing nonpublic personal information from the policies and
practices that were disclosed to the customer under Sec.  248.6(a)(2)
through (5) and (9) in the most recent privacy notice provided pursuant
to this part.
    (2) Delivery of annual privacy notice after financial institution
no longer meets the requirements for exception. If you have been
excepted from delivering an annual privacy notice pursuant to paragraph
(e)(1) of this section and change your policies or practices in such a
way that you no longer meet the requirements for that exception, you
must comply with paragraph (e)(2)(i) or (e)(2)(ii) of this section, as
applicable.
    (i) Changes preceded by a revised privacy notice. If you no longer
meet the requirements of paragraph (e)(1) of this section because you
change your policies or practices in such a way that Sec.  248.8
requires you to provide a revised privacy notice, you must provide an
annual privacy notice in accordance with the timing requirement in
paragraph (a) of this section, treating the revised privacy notice as
an initial privacy notice.
    (ii) Changes not preceded by a revised privacy notice. If you no
longer meet the requirements of paragraph (e)(1) of this section
because you change your policies or practices in such a way that Sec.
248.8 does not require you to provide a revised privacy notice, you
must provide an annual privacy notice within 100 days of the change in
your policies or practices that causes you to no longer meet the
requirement of paragraph (e)(1) of this section.
    (iii) Examples.
    (A) You change your policies and practices in such a way that you
no longer meet the requirements of paragraph (e)(1) of this section
effective April 1 of year 1. Assuming you define the 12-consecutive-
month period pursuant to paragraph (a) of this section as a calendar
year, if you were required to provide a revised privacy notice under
Sec.  248.8 and you provided that notice on March 1 of year 1, you must
provide an annual privacy notice by December 31 of year 2. If you were
not required to provide a revised privacy notice under Sec.  248.8, you
must provide an annual privacy notice by July 9 of year 1.
    (B) You change your policies and practices in such a way that you
no longer meet the requirements of paragraph (e)(1) of this section,
and so provide an annual notice to your customers. After providing the
annual notice to your customers, you once again meet the requirements
of paragraph (e)(1) of this section for an exception to the annual
notice requirement. You do not need to provide additional annual notice
to your customers until such time as you no longer meet the
requirements of paragraph (e)(1) of this section.

0
7. Amend Sec.  248.17 by, in paragraph (b), replacing the words
``Federal Trade Commission'' with ``Consumer Financial Protection
Bureau''; and replacing the words ``Federal Trade Commission's'' with
``Consumer Financial Protection Bureau's.''
0
8. Revise Sec.  248.30 to read as follows:

Sec.  248.30  Procedures to safeguard customer information, including
response programs for unauthorized access to customer information and
customer notice; disposal of customer information and consumer
information.

    (a) Scope of information covered by this section. The provisions of
this section apply to all customer information in the possession of a
covered institution, and all consumer information that a covered
institution maintains or otherwise possesses for a business purpose, as
applicable, regardless of whether such information pertains to
individuals with whom the covered institution has a customer
relationship, or pertains to the customers of other financial
institutions and has been provided to the covered institution.
    (b) Policies and procedures to safeguard customer information.
    (1) General requirements. Every covered institution must develop,
implement, and maintain written policies and procedures that address
administrative, technical, and physical safeguards for the protection
of customer information.
    (2) Objectives. These written policies and procedures must be
reasonably designed to:
    (i) Ensure the security and confidentiality of customer
information;
    (ii) Protect against any anticipated threats or hazards to the
security or integrity of customer information; and
    (iii) Protect against unauthorized access to or use of customer
information that could result in substantial harm or inconvenience to
any customer.
    (3) Response programs for unauthorized access to or use of customer
information. Written policies and procedures in paragraph (b)(1) of
this section must include a program reasonably designed to detect,
respond to, and recover from unauthorized access to or use of customer
information, including customer notification procedures. This response
program must include procedures for the covered institution to:
    (i) Assess the nature and scope of any incident involving
unauthorized access to or use of customer information and identify the
customer information systems and types of customer information that may
have been accessed or used without authorization;
    (ii) Take appropriate steps to contain and control the incident to
prevent further unauthorized access to or use of customer information;
and
    (iii) Notify each affected individual whose sensitive customer
information was, or is reasonably likely to have been, accessed or used
without authorization in accordance with paragraph (b)(4) of this
section unless the covered institution determines, after a reasonable
investigation of the facts and circumstances of the incident of
unauthorized access to or use of sensitive customer information, that
the sensitive customer information has not been, and is not reasonably
likely to be, used in a manner that would result in substantial harm or
inconvenience.
    (4) Notifying affected individuals of unauthorized access or use.
(i) Notification obligation. Unless a covered institution has
determined, after a reasonable investigation of the facts and
circumstances of the incident of unauthorized access to or use of
sensitive customer information, that sensitive customer information has
not been, and is not reasonably likely to be, used in a manner that
would result in substantial harm or inconvenience, the covered
institution must provide a clear and conspicuous notice to each
affected individual whose sensitive customer information was, or is
reasonably likely to have been, accessed or used without authorization.
The notice must be transmitted by a means designed to ensure that each
affected individual can reasonably be expected to receive actual notice
in writing.
    (ii) Affected individuals. If an incident of unauthorized access to
or use of customer information has occurred or is reasonably likely to
have occurred, but the covered institution is unable to identify which
specific individuals' sensitive customer information has been accessed
or used without authorization, the covered institution must provide
notice to all individuals whose sensitive customer information resides
in the customer information system that was, or was reasonably likely
to have been, accessed or used without authorization.
    (iii) Timing. A covered institution must provide the notice as soon
as practicable, but not later than 30 days, after becoming aware that
unauthorized access to or use of customer information has occurred or
is reasonably likely to have occurred unless the Attorney General of
the United States informs the covered institution, in writing, that the
notice required under this rule poses a substantial risk to national
security, in which case the covered institution may delay such a notice
for a time period specified by the Attorney General of the United
States, but not for longer than 15 days. The notice may be delayed for
an additional period of up to 15 days if the Attorney General of the
United States determines that the notice continues to pose a
substantial risk to national security.
    (iv) Notice contents. The notice must:
    (A) Describe in general terms the incident and the type of
sensitive customer information that was or is reasonably believed to
have been accessed or used without authorization;
    (B) Describe what has been done to protect the sensitive customer
information from further unauthorized access or use;
    (C) Include, if the information is reasonably possible to determine
at the time the notice is provided, any of the following: the date of
the incident, the estimated date of the incident, or the date range
within which the incident occurred;
    (D) Include contact information sufficient to permit an affected
individual to contact the covered institution to inquire about the
incident, including the following: a telephone number (which should be
a toll-free number if available), an email address or equivalent method
or means, a postal address, and the name of a specific office to
contact for further information and assistance;
    (E) If the individual has an account with the covered institution,
recommend that the customer review account statements and immediately
report any suspicious activity to the covered institution;
    (F) Explain what a fraud alert is and how an individual may place a
fraud alert in the individual's credit reports to put the individual's
creditors on notice that the individual may be a victim of fraud,
including identity theft;
    (G) Recommend that the individual periodically obtain credit
reports from each nationwide credit reporting company and have
information relating to fraudulent transactions deleted;
    (H) Explain how the individual may obtain a credit report free of
charge; and
    (I) Include information about the availability of online guidance
from the Federal Trade Commission and usa.gov regarding steps an
individual can take to protect against identity theft, a statement
encouraging the individual to report any incidents of identity theft to
the Federal Trade Commission, and include the Federal Trade
Commission's website address where individuals may obtain government
information about identity theft and report suspected incidents of
identity theft.

    (5) Service providers. (i) A covered institution's response program
prepared in accordance with paragraph (b)(3) of this section must
include written policies and procedures requiring the institution,
pursuant to a written contract between the covered institution and its
service providers, to require the service providers to take appropriate
measures that are designed to protect against unauthorized access to or
use of customer information, including notification to the covered
institution as soon as possible, but no later than 48 hours after
becoming aware of a breach, in the event of any breach in security
resulting in unauthorized access to a customer information system
maintained by the service provider to enable the covered institution to
implement its response program.
    (ii) As part of its incident response program, a covered
institution may enter into a written agreement with its service
provider to notify affected individuals on its behalf in accordance
with paragraph (b)(4) of this section.
    (c) Disposal of consumer information and customer information. (1)
Standard. Every covered institution, other than notice-registered
broker-dealers, that maintains or otherwise possesses customer
information or consumer information for a business purpose must
properly dispose of the information by taking reasonable measures to
protect against unauthorized access to or use of the information in
connection with its disposal.
    (2) Written policies, procedures, and records. Every covered
institution, other than notice-registered broker-dealers, must adopt
and implement written policies and procedures that address the proper
disposal of consumer information and customer information according to
the standard identified in paragraph (c)(1) of this section.
    (3) Relation to other laws. Nothing in this paragraph (c) shall be
construed:
    (i) To require any covered institution to maintain or destroy any
record pertaining to an individual that is not imposed under other law;
or
    (ii) To alter or affect any requirement imposed under any other
provision of law to maintain or destroy records.
    (d) Recordkeeping. (1) Every covered institution that is an
investment company under the Investment Company Act of 1940 (15 U.S.C.
80a), but is not registered under section 8 thereof (15 U.S.C. 80a-8),
must make and maintain written records documenting its compliance with
the requirements of paragraphs (b) and (c)(2) of this section.
    (2) In the case of covered institutions described in paragraph
(d)(1) of this section, the records required under paragraphs (b) and
(c)(2) of this section, apart from any policies and procedures
thereunder, must be preserved for a time period not less than six
years, the first two years in an easily accessible place. In the case
of policies and procedures required under paragraphs (b) and (c)(2) of
this section, covered institutions described in paragraph (d)(1) of
this section must maintain a copy of such policies and procedures in
effect, or that at any time within the past six years were in effect,
in an easily accessible place.
    (e) Definitions. As used in this section, unless the context
otherwise requires:
    (1) Consumer information means any record about an individual,
whether in paper, electronic or other form, that is a consumer report
or is derived from a consumer report. Consumer information also means a
compilation of such records. Consumer information does not include
information that does not identify individuals, such as aggregate
information or blind data.
    (2) Consumer report has the same meaning as in section 603(d) of
the Fair Credit Reporting Act (15 U.S.C. 1681a(d)).
    (3) Covered institution means any broker or dealer, any investment
company, and any investment adviser or transfer agent registered with
the Commission or another appropriate regulatory agency (``ARA'') as
defined in section 3(a)(34)(B) of the Securities Exchange Act of 1934.
    (4)(i) Customer has the same meaning as in Sec.  248.3(j) unless
the covered institution is a transfer agent registered with the
Commission or another ARA.
    (ii) With respect to a transfer agent registered with the
Commission or another ARA, customer means any natural person who is a
securityholder of an issuer for which the transfer agent acts or has
acted as a transfer agent.
    (5)(i) Customer information for any covered institution other than
a transfer agent registered with the Commission or another ARA means
any record containing nonpublic personal information as defined in
Sec.  248.3(t) about a customer of a financial institution, whether in
paper, electronic or other form, that is handled or maintained by the
covered institution or on its behalf.
    (ii) With respect to a transfer agent registered with the
Commission or another ARA, customer information means any record
containing nonpublic personal information as defined in Sec.  248.3(t)
identified with any natural person, who is a securityholder of an
issuer for which the transfer agent acts or has acted as transfer
agent, that is handled or maintained by the transfer agent or on its
behalf.
    (6) Customer information systems means the information resources
owned or used by a covered institution, including physical or virtual
infrastructure controlled by such information resources, or components
thereof, organized for the collection, processing, maintenance, use,
sharing, dissemination, or disposition of customer information to
maintain or support the covered institution's operations.
    (7) Disposal means:
    (i) The discarding or abandonment of consumer information or
customer information; or
    (ii) The sale, donation, or transfer of any medium, including
computer equipment, on which consumer information or customer
information is stored.
    (8) Notice-registered broker-dealer means a broker or dealer
registered by notice with the Commission under section 15(b)(11) of the
Securities Exchange Act of 1934 (15 U.S.C. 78o(b)(11)).
    (9)(i) Sensitive customer information means any component of
customer information alone or in conjunction with any other
information, the compromise of which could create a reasonably likely
risk of substantial harm or inconvenience to an individual identified
with the information.
    (ii) Examples of sensitive customer information include:
    (A) Customer information uniquely identified with an individual
that has a reasonably likely use as a means of authenticating the
individual's identity, including
    (1) A Social Security number, official State or government issued
driver's license or identification number, alien registration number,
government passport number, employer or taxpayer identification number;
    (2) A biometric record;
    (3) A unique electronic identification number, address, or routing
code;
    (4) Telecommunication identifying information or access device (as
defined in 18 U.S.C. 1029(e)); or
    (B) Customer information identifying an individual or the
individual's account, including the individual's account number, name
or online user name, in combination with authenticating information
such as information described in paragraph (e)(9)(ii)(A) of this
section, or in combination with similar information that could be used
to gain access to the customer's account such as an access code, a
credit card expiration date, a

partial Social Security number, a security code, a security question
and answer identified with the individual or the individual's account,
or the individual's date of birth, place of birth, or mother's maiden
name.
    (10) Service provider means any person or entity that is a third
party and receives, maintains, processes, or otherwise is permitted
access to customer information through its provision of services
directly to a covered institution.
    (11) Substantial harm or inconvenience means personal injury, or
financial loss, expenditure of effort or loss of time that is more than
trivial, including theft, fraud, harassment, physical harm,
impersonation, intimidation, damaged reputation, impaired eligibility
for credit, or the misuse of information identified with an individual
to obtain a financial product or service, or to access, log into,
effect a transaction in, or otherwise misuse the individual's account.
    (12) Transfer agent has the same meaning as in section 3(a)(25) of
the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(25)).

PART 270--RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

0
9. The authority citation for part 270 continues to read, in part, as
follows:

    Authority:  15 U.S.C. 80a-1 et seq., 80a-34(d), 80a-37, 80a-39,
and Pub. L. 111-203, sec. 939A, 124 Stat. 1376 (2010), unless
otherwise noted.
* * * * *
0
10. Amend Sec.  270.31a-1 by adding paragraph (b)(13) to read as
follows:

Sec.  270.31a-1  Records to be maintained by registered investment
companies, certain majority-owned subsidiaries thereof, and other
persons having transactions with registered investment companies.

* * * * *
    (b) * * *
    (13) Any written records documenting compliance with the
requirements set forth in 248.30(b) and (c)(2).
* * * * *
0
11. Amend Sec.  270.31a-2 by:
0
a. In paragraph (a)(7), removing the period at the end of paragraph and
adding ``; and'' in its place; and
0
b. Adding paragraph (a)(8) to read as follows:

Sec.  270.31a-2  Records to be preserved by registered investment
companies, certain majority-owned subsidiaries thereof, and other
persons having transactions with registered investment companies.

* * * * *
    (a) * * *
    (8) Preserve for a period not less than six years, the first two
years in an easily accessible place, the records required by 270.31a-
1(b)(13) apart from any policies and procedures thereunder and, in the
case of policies and procedures required under 270.31a-1(b)(13),
preserve a copy of such policies and procedures in effect, or that at
any time within the past six years were in effect, in an easily
accessible place.
* * * * *

PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

0
12. The authority citation for part 275 continues to read, in part, as
follows:

    Authority:  15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-
2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, and 80b-11, unless
otherwise noted.
* * * * *
    Section 275.204-2 is also issued under 15 U.S.C. 80b-6.
* * * * *
0
13. Amend Sec.  275.204-2 by adding paragraph (a)(20) to read as
follows:

Sec.  275.204-2  Books and records to be maintained by investment
advisers.

* * * * *
    (a) * * *
    (20) A copy of the written records documenting compliance with the
requirements set forth in Sec.  248.30(b) and (c)(2).
* * * * *

    By the Commission.

    Dated: March 15, 2023.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023-05774 Filed 4-5-23; 8:45 am]
BILLING CODE P


[Federal Register Volume 81, Number 147 (Monday, August 1, 2016)]
[Notices]
[Pages 50594-50596]
[FR Doc No: 2016-18132]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA- 2016-0002]

Qualification of Drivers; Application for Exemptions; Hearing

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), Department
of Transportation.

ACTION: Notice of applications for exemptions; request for comments.

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

SUMMARY: FMCSA announces receipt of applications from 33 individuals
for an exemption from the hearing requirement to operate commercial
motor vehicles (CMVs) in interstate commerce. If granted, the
exemptions would enable these individuals to operate CMVs in interstate
commerce.

DATES: Comments must be received on or before August 31, 2016.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2016-0002 using any of the
following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the on-line instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket numbers for this notice. Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading below
for further information.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The Federal Docket Management System (FDMS) is
available 24 hours each day, 365 days each year. If you want
acknowledgment that we received your comments, please include a self-
addressed, stamped envelope or postcard or print the acknowledgement
page that appears after submitting comments on-line.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

FOR FURTHER INFORMATION CONTACT: Christine A. Hydock, Chief, Medical
Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE., Room W64-113,
Washington, DC 20590-0001. Office hours are 8:30 a.m. to 5 p.m., e.t.,
Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

I. Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
from the Federal Motor Carrier Safety Regulations (FMCSRs) for a 2-year
period if it finds ``such exemption would likely achieve a level of
safety that is equivalent to or greater than the level that would be
achieved absent such exemption.'' The statute also allows the Agency to
renew exemptions at the end of the 2-year period. The 33 individuals
listed in this notice have recently requested such an exemption from
the hearing requirement in 49 CFR 391.41(b) (11), which applies to
drivers of CMVs in interstate commerce. Accordingly, the Agency will
evaluate the qualifications of each applicant to determine whether
granting the exemption will achieve the required level of safety
mandated by statute.
    The physical qualification standard for drivers regarding hearing
found in 49 CFR 391.41(b)(11) states that a person is physically
qualified to drive a CMV if that person

    First perceives a forced whispered voice in the better ear at
not less than 5 feet with or without the use of a hearing aid or, if
tested by use of an audiometric device, does not have an average
hearing loss in the better ear greater than 40 decibels at 500 Hz,
1,000 Hz, and 2,000 Hz with or without a hearing aid when the
audiometric device is calibrated to American National Standard
(formerly ASA Standard) Z24.5--1951.

    This standard was adopted in 1970 and was revised in 1971 to allow
drivers to be qualified under this standard while wearing a hearing
aid, 35 FR 6458, 6463 (April 22, 1970) and 36 FR 12857 (July 3, 1971).

II. Qualifications of Applicants

Priscilla Brakenridge

    Ms. Brakenredge, age 40, holds an operator's license in Illinois.

David Balay Chappelear

    Mr. Chappelear, age 26, holds an operator's license in Texas.

Donald Coen

    Mr. Coen, age 52, holds a class A CDL in New York.

Mathias Conway

    Mr. Mathias, age 56, holds on operator's license in Michigan.

Gary A. Cordano

    Mr. Cordano, age 44, holds a class A CDL in California.

Harvey Culver

    Mr. Culver, age 32, holds a class A CDL in Texas.

Charles DePriest

    Mr. DePriest, age 55, holds an operator's license in Texas.

William R. English

    Mr. English, age 42, holds an operator's license in Texas.

Samuel Fernell

    Mr. Fernell, age 47, holds an operator's license in Ohio.

Richard Fisher

    Mr. Fisher, age 28, holds an operator's license in Pennsylvania.

Russell Fleming

    Mr. Fleming, age 54, holds an operator's license in Georgia.

Ronald Freeze

    Mr. Freeze, age 64, holds a class A CDL in Oklahoma.

Carlos Gonzales

    Mr. Gonzales, age 53, holds an operator's license in Georgia.

Zachary Gullett

    Mr. Gullett, age 22, holds an operator's license in Ohio.

Richard Hoots

    Mr. Hoots, age31, holds an operator's license in Arizona.

Carlos Lee Jackson

    Mr. Jackson, age 53, holds a class A CDL in Texas.

Richard Kahalewai-Campbell

    Mr. Kahalewai, age 34, holds an operator's license in Hawaii.

Randall Lutsey

    Mr. Lutsey, age 52, holds a class A CDL in Pennsylvania.

Reynaldo Martinez

    Mr. Martinez, age 35, holds an operator's license in Texas.

Julio C. Medrano

    Mr. Medrano, age 41, holds an operator's license in Washington.

Keith Miller

    Mr. Miller, age 37, holds a class B CDL in Missouri.

Brian J. Minch

    Mr. Minch, age 31, holds an operator's license in Massachusetts.

Katrina Parker

    Ms Parker, age 31 holds an operator's license in New Jersey.

Walt Pindor

    Mr. Pindor, age 55, holds a class A CDL in Arizona.

Robert Samarian

    Mr. Samarian, age 39, holds an operator's license in Michigan.

D'Nielle Smith

    Ms. Smith, age 32, holds an operator's license in Ohio.

Michael Smith

    Mr. Smith, age 50, holds a class A CDL in Colorado.

Daniel Stroud

    Mr. Stroud, age 50, holds an operator's license in Utah.

Michael Sweet

    Mr. Sweet, age 45, holds a class B CDL in Georgia.

James Watters

    Mr. Watters, age 55, holds an operator's license in Ohio.

Gerald Westfall

    Mr. Westfall, age 67, holds a class A CDL in Pennsylvania.

Derek Zamot

    Mr. Zamot, age 43, holds an operator's license in Florida.
III. Request for Comments
    In accordance with 49 U.S.C. 31136(e) and 31315, FMCSA requests
public comment from all interested persons on the exemption petitions
described in this notice. We will consider all comments received before
the close of business on the closing date indicated in the date section
of the notice.

IV. Submitting Comments

    You may submit your comments and material online or by fax, mail,
or hand delivery, but please use only one of these means. FMCSA
recommends that you include your name and a mailing address, an email
address, or a phone number in the body of your document so that FMCSA
can contact you if there are questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov and
in the search box insert the docket number FMCSA-2016-0002 and click
the search button. When the new screen appears, click on the blue
``Comment Now!'' button on the right hand side of the page. On the new
page, enter information required including the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. If you submit your comments by mail or
hand delivery, submit them in an unbound format, no larger than 8\1/2\
by 11 inches, suitable for

copying and electronic filing. If you submit comments by mail and would
like to know that they reached the facility, please enclose a stamped,
self-addressed postcard or envelope.
    We will consider all comments and material received during the
comment period. FMCSA may issue a final determination any time after
the close of the comment period.

V. Viewing Comments and Documents

    To view comments, as well as any documents mentioned in this
preamble, go to http://www.regulations.gov and in the search box insert
the docket number FMCSA-2016-0002 and click ``Search.'' Next, click
``Open Docket Folder'' and you will find all documents and comments
related to this notice.

    Issued on: July 22, 2016.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2016-18132 Filed 7-29-16; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 83, Number 239 (Thursday, December 13, 2018)]
[Notices]
[Page 64124]
[FR Doc No: 2018-26955]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER19-464-000]

Supplemental Notice That Initial Market-Based Rate Filing
Includes Request for Blanket Section 204 Authorization: Vermillion
Power, L.L.C.

    This is a supplemental notice in the above-referenced Innovative
Vermillion Power, L.L.C.'s application for market-based rate authority,
with an accompanying rate tariff, noting that such application includes
a request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is December 27, 2018.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the website that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: December 7, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-26955 Filed 12-12-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 194 (Tuesday, October 7, 2014)]
[Notices]
[Pages 60503-60505]
[FR Doc No: 2014-23896]

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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. OSHA-2010-0047]

Bloodborne Pathogens Standard; Extension of the Office of
Management and Budget's (OMB) Approval of Information Collection
(Paperwork) Requirements

AGENCY: Occupational Safety and Health Administration (OSHA), Labor.

ACTION: Request for public comments.

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

SUMMARY: OSHA solicits public comments concerning its proposal to
extend the Office of Management and Budget's (OMB) approval of the
information collection requirements specified in the Bloodborne
Pathogens Standard (29 CFR 1910.1030).

DATES: Comments must be submitted (postmarked, sent, or received) by
December 8, 2014.

ADDRESSES:

    Electronically: You may submit comments and attachments
electronically at http://www.regulations.gov, which is the Federal
eRulemaking Portal. Follow the instructions online for submitting
comments.
    Facsimile: If your comments, including attachments, are not longer
than 10 pages you may fax them to the OSHA Docket Office at (202) 693-
1648.
    Mail, hand delivery, express mail, messenger, or courier service:
When using this method, you must submit your comments and attachments
to the OSHA Docket Office, Docket No. OSHA-2010-0047, Occupational
Safety and Health Administration, U.S. Department of Labor, Room N-
2625, 200 Constitution Avenue NW., Washington, DC 20210. Deliveries
(hand, express mail, messenger, and courier service) are accepted
during the Department of Labor's and Docket Office's normal business
hours, 8:15 a.m. to 4:45 p.m., e.t.
    Instructions: All submissions must include the Agency name and OSHA
docket number (OSHA-2010-0047) for the Information Collection Request
(ICR). All comments, including any personal information you provide,
are placed in the public docket without change, and may be made
available online at http://www.regulations.gov. For further information
on submitting comments see the ``Public Participation'' heading in the
section of this notice titled ``SUPPLEMENTARY INFORMATION.''
    Docket: To read or download comments or other material in the
docket, go to http://www.regulations.gov or the OSHA Docket Office at
the address above. All documents in the docket (including this Federal
Register notice) are listed in the http://www.regulations.gov index;
however, some information (e.g., copyrighted material) is not publicly
available to read or download from the Web site. All submissions,
including copyrighted material, are available for inspection and
copying at the OSHA Docket Office. You also may contact Theda Kenney at
the address below to obtain a copy of the ICR.

FOR FURTHER INFORMATION CONTACT: Theda Kenney or Todd Owen, Directorate
of Standards and Guidance, OSHA, U.S. Department of Labor, Room N-3609,
200 Constitution Avenue NW., Washington, DC 20210; telephone (202) 693-
2222.

SUPPLEMENTARY INFORMATION:

I. Background

    The Department of Labor, as part of its continuing effort to reduce
paperwork and respondent (i.e., employer) burden, conducts a
preclearance consultation program to provide the public with an
opportunity to comment on proposed and continuing information
collection requirements in accord with the Paperwork Reduction Act of
1995 (PRA-95) (44 U.S.C. 3506(c)(2)(A)). This program ensures that
information is in the desired format, reporting burden (time and costs)
is minimal, collection instruments are clearly understood, and OSHA's
estimate of the information collection burden is accurate. The
Occupational Safety and Health Act of 1970 (the OSH Act) (29 U.S.C. 651
et seq.) authorizes information collection by employers as necessary or
appropriate for enforcement of the OSH Act or for developing
information regarding the causes and prevention of occupational
injuries, illnesses, and accidents (29 U.S.C. 657). The OSH Act also
requires that OSHA obtain such information with minimum burden upon
employers, especially those operating small businesses, and to reduce
to the maximum extent feasible unnecessary duplication of efforts in
obtaining information (29 U.S.C. 657).
    The information collection requirements specified in the Bloodborne
Pathogens Standard require employers to: develop and maintain exposure
control plans; develop a housekeeping schedule; provide workers with
Hepatitis B Virus (HBV) vaccinations, as well as post-exposure medical
evaluations and follow-ups; maintain medical and training records for
specified periods; and provide OSHA, the National Institute for
Occupational Safety and Health, workers and their authorized
representatives with access to these records, HIV and HBV research
laboratories and production facilities must also adopt or develop, and
review at least once a year, a biosafety manual, and establish and
maintain a sharps injury log for the recording of percutaneous injuries
from contaminated sharps.

II. Special Issues for Comment

    OSHA has a particular interest in comments on the following issues:
     Whether the proposed information collection requirements
are necessary for the proper performance of the Agency's functions,
including whether the information is useful;
     The accuracy of OSHA's estimate of the burden (time and
costs) of the information collection requirements, including the
validity of the methodology and assumptions used;
     The quality, utility, and clarity of the information
collected; and
     Ways to minimize the burden on employers who must comply;
for example, by using automated or other technological information
collection and transmission techniques.

III. Proposed Actions

    The Agency is requesting an adjustment decrease in the number of
burden hours from 14,518,778 to 5,528,994 hours. The Agency updated the
industry profile and estimates that the number of facilities and
workers affected by the Standard has increased. However, the Agency
calculates an overall decrease in burden hours. This is primarily
related to an administrative error found in the previous ICR which
overestimated the burden hours and costs related to healthcare
professional time associated with the Hepatitis B vaccination. Also,
part of the decrease in burden hours is related to the determination
that the training provision of the Standard, although still in effect,
is not considered to be a collection of information. The operation and
maintenance cost increased from $34,342,534 to $46,093,897 due to the
increase in the cost of medical expenses associated with the Standard.
    Type of Review: Extension of a currently approved collection.
    Title: Bloodborne Pathogens Standard (29 CFR 1910.1030).
    OMB Control Number: 1218-0180.
    Affected Public: Business or other for-profits.
    Number of Respondents: 691,669.
    Frequency of Response: On occasion.
    Total Responses: 17,815,712.
    Average Time per Response: Time per response varies from 5 minutes
(.08 hour) to maintain records to 1.5 hours for employees to receive
training or medical evaluations.
    Estimated Total Burden Hours: 5,528,994.
    Estimated Cost (Operation and Maintenance): $46,093,897.

IV. Public Participation--Submission of Comments on This Notice and
Internet Access to Comments and Submissions

    You may submit comments in response to this document as follows:
(1) Electronically at http://www.regulations.gov, which is the Federal
eRulemaking Portal; (2) by facsimile; or (3) by hard copy. All
comments, attachments, and other material must identify the Agency name
and the OSHA docket number (Docket No. OSHA-2010-0047) for this ICR.
You may supplement electronic submissions by uploading document files
electronically. If you wish to mail additional materials in reference
to an electronic or facsimile submission, you

must submit them to the OSHA Docket Office (see the section of this
notice titled ADDRESSES). The additional materials must clearly
identify your electronic comments by your name, date, and docket number
so the Agency can attach them to your comments.
    Because of security procedures, the use of regular mail may cause a
significant delay in the receipt of comments. For information about
security procedures concerning the delivery of materials by hand,
express delivery, messenger, or courier service, please contact the
OSHA Docket Office at<PHONE_NUMBER>, (TTY<PHONE_NUMBER>).
    Comments and submissions are posted without change at http://www.regulations.gov. Therefore, OSHA cautions commenters about
submitting personal information such as social security numbers and
date of birth. Although all submissions are listed in the http://www.regulations.gov index, some information (e.g., copyrighted
material) is not publicly available to read or download from this Web
site. All submissions, including copyrighted material, are available
for inspection and copying at the OSHA Docket Office. Information on
using the http://www.regulations.gov Web site to submit comments and
access the docket is available at the Web site's ``User Tips'' link.
Contact the OSHA Docket Office for information about materials not
available from the Web site, and for assistance in using the Internet
to locate docket submissions.

V. Authority and Signature

    David Michaels, Ph.D., MPH, Assistant Secretary of Labor for
Occupational Safety and Health, directed the preparation of this
notice. The authority for this notice is the Paperwork Reduction Act of
1995 (44 U.S.C. 3506 et seq.) and Secretary of Labor's Order No. 1-2012
(77 FR 3912).

    Signed at Washington, DC, on October 1, 2014.
David Michaels,
 Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2014-23896 Filed 10-6-14; 8:45 am]
BILLING CODE 4510-26-P