[Federal Register Volume 80, Number 235 (Tuesday, December 8, 2015)]
[Notices]
[Pages 76345-76349]
[FR Doc No: 2015-30863]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2015-0344]

Qualification of Drivers; Exemption Applications; Vision

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

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

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SUMMARY: FMCSA announces receipt of applications from 30 individuals
for exemption from the vision requirement in the Federal Motor Carrier
Safety Regulations. They are unable to meet the vision requirement in
one eye for various reasons. The exemptions will enable these
individuals to operate commercial motor vehicles (CMVs) in interstate
commerce without meeting the prescribed vision requirement in one eye.
If granted, the exemptions would enable these individuals to qualify as
drivers of commercial motor vehicles (CMVs) in interstate commerce.

DATES: Comments must be received on or before January 7, 2016. All
comments will be investigated by FMCSA. The exemptions will be issued
the day after the comment period closes.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2015-0344 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 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. If you have questions
regarding viewing or submitting material to the docket, contact Docket
Services, telephone<PHONE_NUMBER>.

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 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.'' FMCSA can renew exemptions at the end of each
2-year period. The 30 individuals listed in this notice have each
requested such an exemption from the vision requirement in 49 CFR
391.41(b)(10), which applies to drivers of CMVs in interstate commerce.
Accordingly, the Agency will evaluate the qualifications of each
applicant to determine whether granting an exemption will achieve the
required level of safety mandated by statute.

II. Qualifications of Applicants

Thomas G. Ashbrook

    Mr. Ashbrook, 63, has had complete loss of vision in his left eye
since childhood. The visual acuity in his right eye is 20/25, and in
his left eye, no light perception. Following an examination in 2015,
his optometrist stated, ``I certify that Tom Ashbrook has sufficient
vision to perform the driving tasks required to operate a commercial
vehicle with full distance correction.'' Mr. Ashbrook reported that he
has driven tractor-trailer combinations for 45 years, accumulating 3.6
million miles. He holds a Class A CDL from New York. His driving record
for the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

Howard D. Barton

    Mr. Barton, 64, has a retinal hole in his left eye due to a
traumatic incident in 2009. The visual acuity in his right eye is 20/
20, and in his left eye, 20/100. Following an examination in 2015, his
optometrist stated, ``It is my professional opinion that Mr. Barton has
more than sufficient vision to perform the driving tasks required to
operate a commercial vehicle.'' Mr. Barton reported that he has driven
straight trucks for 2 years, accumulating 100,000 miles and tractor-
trailer combinations for 46 years, accumulating 5.52 million miles. He
holds a Class A CDL from Indiana. His driving record for the last 3
years shows no crashes and one conviction for a moving violation in a
CMV; he exceeded the speed limit by 10 miles per hour.

Bryan Borrowman

    Mr. Borrowman, 50, has had a chorioretinal scar in his right eye
since 2011. The visual acuity in his right eye is 20/100, and in his
left eye, 20/20. Following an examination in 2015, his optometrist
stated, ``Patient's left visual field compensates well for his right
visual field defect and should not have any problems operating a
commercial vehicle.'' Mr. Borrowman reported that he has driven
tractor-trailer combinations for 9 years, accumulating 1.35 million
miles. He holds a Class A CDL from Utah. His driving record for the
last 3 years shows no crashes and no convictions for moving violations
in a CMV.

George R. Cornell

    Mr. Cornell, 53, has had a retinal detachment in his left eye in
2010. The visual acuity in his right eye is 20/20, and in his left eye,
no light perception. Following an examination in 2015, his optometrist
stated, ``Vision sufficient for commercial vehicle.'' Mr. Cornell
reported that he has driven straight trucks for 5 years, accumulating
50,000 miles, tractor-trailer combinations for 22 years, accumulating
1.1 million miles. He holds a Class A CDL from Ohio. His driving record
for the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

Mr. Bruce J. Dowd

    Mr. Dowd, 60, has been blind in his right eye due to a traumatic
incident in 1964. The visual acuity in his right eye is no light
perception, and in his left eye, 20/15. Following an examination in
2015, his optometrist stated, ``I certify in my medical opinion that
Bruce has sufficient vision to perform the driving tasks required to
operate a heavy vehicle under 26,001 as he has for the past twenty
years.'' Mr. Dowd reported that he has driven straight trucks for 44
years, accumulating 1 million miles. He holds a Class D operator's
license from Connecticut. His driving record for the last 3 years shows
no crashes and no convictions for moving violations in a CMV.

Raul A. Gonzalez

    Mr. Gonzalez, 46, has optic atrophy in his left eye due to a
traumatic incident in childhood. The visual acuity in his right eye is
20/20, and in his left eye, 20/400. Following an examination in 2015,
his optometrist stated, ``He has been functioning successfully as a
commercial driver for many years and nothing has changed to date. He
has proven his ability to continue to function as a driver and we
believe his vision is adequate for that purposes [sic].'' Mr. Gonzalez
reported that he has driven tractor-trailer combinations for 25 years,
accumulating 1.94 million miles. He holds a Class A CDL license from
California. His driving record for the last 3 years shows no crashes
and one conviction for a moving violation in a CMV; he was cited for
stopping on a non-emergency shoulder.

Calvin N. Gregory, Jr.

    Mr. Gregory, 65, has had amblyopia in his right eye since
childhood. The visual acuity in his right eye is 20/200, and in his
left eye, 20/20. Following an examination in 2015, his optometrist
stated, ``Stable amblyopia . . . no impact on horizontal or vertical
visual field . . . OK to operate a commercial vehicle.'' Mr. Gregory,
reported that he has driven straight trucks for 44 years, accumulating
4.4 million miles. He holds a Class A CDL from Maryland. His driving
record for the last 3 years shows no crashes and no convictions for
moving violations in a CMV.

Thomas E. Gross

    Mr. Gross, 59, has a prosthetic left eye due to a traumatic
incident over 45 years ago. The visual acuity in his right eye is 20/
20, and in his left eye, no light perception. Following an examination
in 2015, his ophthalmologist stated, ``I certainly certify that in my
professional medical opinion that he has as he has

had in the past sufficient vision to perform the driving tasks required
to operate a commercial vehicle as he has in the past.'' Mr. Gross
reported that he has driven straight trucks for 40 years, accumulating
200,000 miles. He holds a Class C operator's license from Pennsylvania.
His driving record for the last 3 years shows no crashes and no
convictions for moving violations in a CMV.

Ethan A. Hale

    Mr. Hale, 24, has had a prosthetic left eye due to a traumatic
incident in 2005. The visual acuity in his right eye is 20/15, and in
his left eye, no light perception. Following an examination in 2015,
his optometrist stated, ``The applicant was found to be visually able
to safely operate a commercial motor vehicle.'' Mr. Hale reported that
he has driven straight trucks for 4 years, accumulating 80,000 miles.
He holds a Class DA CDL from Kentucky. His driving record for the last
3 years shows no crashes and one conviction for a moving violation in a
CMV; he was cited for speeding.

Steven G. Hall

    Mr. Hall, 47, has had a macular hole in his left eye since 1990.
The visual acuity in his right eye is 20/20, and in his left eye, 20/
400. Following an examination in 2015, his optometrist stated, ``In my
professional and medical opinion, Mr. Steven Hall has sufficient vision
to perform the driving tasks required to operate a commercial
vehicle.'' Mr. Hall reported that he has driven straight trucks for 3
years, accumulating 234,000 miles, and tractor-trailer combinations for
5 years, accumulating 390,000 miles. He holds a Class A CDL from North
Carolina. His driving record for the last 3 years shows no crashes and
no convictions for moving violations in a CMV.

Jason F. Huddleston

    Mr. Huddleston, 40 has glaucoma in his right eye due to a traumatic
incident in 2003. The visual acuity in his right eye is 20/400, and in
his left eye, 20/20. Following an examination in 2015, his optometrist
stated, ``I certify in my medical opinion that Mr. Jason Huddleston has
sufficient vision to perform the driving tasks required to operate a
commercial vehicle.'' Mr. Huddleston reported that he has driven
straight trucks for 17 years, accumulating 208,080 miles. He holds a
Class C operator's license from Texas. His driving record for the last
3 years shows no crashes and no convictions for moving violations in a
CMV.

David A. Luke

    Mr. Luke, 60, has complete loss of vision due to a traumatic
incident in his right eye since childhood. The visual acuity in his
right eye is no light perception, and in his left eye, 20/20. Following
an examination in 2015, his optometrist stated, ``I have no problem
with his ability to see adequately to drive a commercial vehicle.'' Mr.
Luke reported that he has driven straight trucks for 44 years,
accumulating 22,000 miles, and tractor-trailer combinations for 7
years, accumulating 252,000 miles. He holds a Class A CDL from
Nebraska. His driving record for the last 3 years shows no crashes and
no convictions for moving violations in a CMV.

Raymond J. Mannarino

    Mr. Mannarino, 68, has had a macular pucker in his left eye since
1995. The visual acuity in his right eye is 20/30, and in his left eye,
20/80. Following an examination in 2015, his ophthalmologist stated,
``Certify that as per above, pt [sic] has sufficient vision to perform
commercial driving.'' Mr. Mannarino reported that he has driven
straight trucks for 40 years, accumulating 80,000 miles and tractor-
trailer combinations for 30 years, accumulating 1.2 million miles. He
holds a Class A CDL from New York. His driving record for the last 3
years shows no crashes and no convictions for moving violations in a
CMV.

Samuel T. Mazza, Jr.

    Mr. Mazza, Jr., 35, has had dense anisometropic amblyopia in his
left eye since childhood. The visual acuity in his right eye is 20/20,
and in his left eye, 20/400. Following an examination in 2015, his
optometrist stated, ``Samuel's visual status is stable and unchanged
since I first saw him in 2010, and in my opinion, he is fit to drive a
commercial motor vehicle.'' Mr. Mazza reported that he has driven
straight trucks for 11 years, accumulating 110,000 miles, tractor-
trailer combinations for 11 years, accumulating 220,000 miles. He holds
a Class A CDL from Connecticut. His driving record for the last 3 years
shows no crashes and no convictions for moving violations in a CMV.

Ralph S. Miller

    Mr. Miller, 59, has had a prosthetic right eye due to ocular
melanoma since 1998. The visual acuity in his right eye is no light
perception, and in his left eye, 20/20. Following an examination in
2015, his optometrist stated, ``It is my opinion that Mr. Miller has
sufficient vision to operate a commercial vehicle.'' Mr. Miller
reported that he has driven straight trucks for 35 years, accumulating
350,000 miles. He holds a Class B CDL from West Virginia. His driving
record for the last 3 years shows no crashes and no convictions for
moving violations in a CMV.

John M. Moore

    Mr. Moore, 55, has had amblyopia in his right eye since childhood.
The visual acuity in his right eye is 20/400, and in his left eye, 20/
20. Following an examination in 2015, his optometrist stated, ``This
patient has stable longstanding (since childhood) amblyopia in his
right eye . . . he has sufficient vision to perform the tasks required
to operate a commercial vehicle.'' Mr. Moore reported that he has
driven straight trucks for 35 years, accumulating 875,000 miles, and
tractor-trailer combinations for 35 years, accumulating 35,000 miles.
He holds a Class A CDL from Pennsylvania. His driving record for the
last 3 years shows no crashes and no convictions for moving violations
in a CMV.

Samuel M. Mosman

    Mr. Mosman, 33, has a retinal scar in his left eye due to a
traumatic incident in 2007. The visual acuity in his right eye is 20/
20, and in his left eye, 20/200. Following an examination in 2015, his
ophthalmologist stated, ``Mr. Mosman's Visual [sic] acuity has been
stable since June 2007 . . . Mr. Mosman states that he has driven a
commercial vehicle for 9 years and I believe there is nothing to
interfere with his future driving.'' Mr. Mosman reported that he has
driven straight trucks for 10 years, accumulating 400,000 miles and
tractor-trailer combinations for 8 years, accumulating 520,000 miles.
He holds a Class A CDL license from Washington. His driving record for
the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

Josh D. Nichols

    Mr. Nichols, 37, had his left eye enucleated due to a traumatic
incident in 1993. The visual acuity in his right eye is 20/20, and in
his left eye, no light perception. Following an examination in 2015,
his optometrist stated, ``It is my professional opinion that Joshua D
[sic] Nichols possesses sufficient vision to perform the driving tasks
required to operate a commercial motor vehicle.'' Mr. Nichols reported
that he has driven straight trucks for 15 years, accumulating 450,000
miles. He holds an operator's license from Illinois. His driving record
for the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

John P. Pitts

    Mr. Pitts, 61, has vision loss in his left eye due to ocular nerve
damage in 2009. The visual acuity in his right eye is 20/20, and in his
left eye, counting fingers. Following an examination in 2015, his
optometrist stated, ``In my opinion, John Pitts has sufficient vision
to operate a commercial vehicle.'' Mr. Pitts reported that he has
driven straight trucks for 4 years, accumulating 10,000 miles and
tractor-trailer combinations for 30 years, accumulating 3 million
miles. He holds an operator's license from Arizona. His driving record
for the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

Alexander L. Resh

    Mr. Resh, 24, had an infection and subsequent complete loss of
vision in his right eye due to a traumatic incident in 2013. The visual
acuity in his right eye is no light perception, and in his left eye,
20/20. Following an examination in 2015, his optometrist stated, ``He
has excellent vision in his left eye and should have no difficulty
operating a commercial vehicle.'' Mr. Resh reported that he has driven
straight trucks for 7 years, accumulating 84,000 miles. He holds a
Class C operator's license from Pennsylvania. His driving record for
the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

August Roberts, Jr.

    Mr. Roberts, 68, has had macular degeneration in his left eye since
2010. The visual acuity in his right eye is 20/20, and in his left eye,
20/50. Following an examination in 2015, his optometrist stated, ``I,
Yen Le, OD, certify that Mr. August Roberts have [sic] sufficient
vision to perform the driving tasks required to operate a commercial
vehicle.'' Mr. Roberts reported that he has driven straight trucks for
43 years, accumulating 645,000 miles. He holds a Class A CDL from North
Carolina. His driving record for the last 3 years shows no crashes and
no convictions for moving violations in a CMV.

Phillip D. Satterfield

    Mr. Satterfield, 51, has had toxoplasmosis in his left eye since
birth. The visual acuity in his right eye is 20/20, and in his left
eye, 20/200. Following an examination in 2015, his optometrist stated,
``It is my medical opinion the above-referenced patient does have
sufficient vision to operate a commercial vehicle.'' Mr. Satterfield
reported that he has driven tractor-trailer combinations for 30 years,
accumulating 315,000 miles. He holds a Class A CDL from Georgia. His
driving record for the last 3 years shows no crashes and no convictions
for moving violations in a CMV.

Fred Schmidt

    Mr. Schmidt, 58, has had a prosthetic left eye due to a traumatic
incident at age 11. The visual acuity in his right eye is 20/20, and in
his left eye, no light perception. Following an examination in 2015,
his optometrist stated, ``In my opinion, this patient has sufficient
vision to perform the driving tasks required to operate a commercial
vehicle.'' Mr. Schmidt reported that he has driven straight trucks for
40 years, accumulating 800,000 miles, tractor-trailer combinations for
30 years, accumulating 900,000 miles. He holds a Class AM CDL from
Illinois. His driving record for the last 3 years shows no crashes and
no convictions for moving violations in a CMV.

Robert L. Simpson

    Mr. Simpson, 54, has had optic nerve atrophy in his right eye since
2012 due to a pituitary tumor. The visual acuity in his right eye is
20/200, and in his left eye, 20/20. Following an examination in 2015,
his ophthalmologist stated, ``He does see well enough to drive a
commercial vehicle.'' Mr. Simpson reported that he has driven straight
trucks for 1 year, accumulating 80,000 miles, tractor-trailer
combinations for 15 years, accumulating 1.5 million miles. He holds a
Class A CDL from North Carolina. His driving record for the last 3
years shows no crashes and no convictions for moving violations in a
CMV.

Franklin Tso

    Mr. Tso, 72, has had a corneal scar in his right eye since
childhood. The visual acuity in his right eye is 20/80, and in his left
eye, 20/30. Following an examination in 2015, his ophthalmologist
stated, ``In my professional opinion Mr. Tso has sufficient vision to
perform the driving tasks required to operate a commercial vehicle.''
Mr. Tso reported that he has driven straight trucks for 56 years,
accumulating 3.4 million miles. He holds an operator's license from New
Mexico. His driving record for the last 3 years shows no crashes and 1
conviction for a moving violation in a CMV; he exceeded the speed limit
by 7 mph.

Keith D. Turnbow

    Mr. Turnbow, 61, has had amblyopia in his left eye since childhood.
The visual acuity in his right eye is 20/20, and in his left eye, 20/
400. Following an examination in 2015, his optometrist stated, ``Vision
is sufficient to operate a commercial vehicle.'' Mr. Turnbow reported
that he has driven straight trucks for 41 years, accumulating 1.23
million miles and tractor-trailer combinations for 13 years,
accumulating 1.3 million miles. He holds a Class A CDL from Missouri.
His driving record for the last 3 years shows no crashes and no
convictions for moving violations in a CMV.

James L. Urbach

    Mr. Urbach, 45, has had a chronic rhegmatagenous retinal detachment
in his left eye since 2011. The visual acuity in his right eye is 20/
15, and in his left eye, 20/60. Following an examination in 2015, his
ophthalmologist stated, ``It is my medical opinion that Mr. Urbach
possesses sufficient vision to perform the driving tasks necessary to
operate a commercial vehicle.'' Mr. Urbach reported that he has driven
tractor-trailer combinations for 10 years, accumulating 1.13 million
miles. He holds a Class A CDL from Pennsylvania. His driving record for
the last 3 years shows no crashes and no convictions for moving
violations in a CMV.

Eric C. Weidley

    Mr. Weidley, 39, has had optic neuritis in his right eye since
2009. The visual acuity in his right eye is no light perception, and in
his left eye, 20/20. Following an examination in 2015, his
ophthalmologist stated, ``In my medical opinion, you have sufficient
vision and experience to perform the driving tasks required to operate
a commercial vehicle.'' Mr.Weidley reported that he has driven straight
trucks for 16 years, accumulating 640,000 miles. He holds a Class CM
operator's license from Pennsylvania. His driving record for the last 3
years shows no crashes and no convictions for moving violations in a
CMV.

Jackie G. Wells

    Mr. Wells, 65, has had amblyopia in his right eye since childhood.
The visual acuity in his right eye is 20/80, and in his left eye, 20/
20. Following an examination in 2015, his optometrist stated, ``I feel
Mr. Wells has sufficient vision to perform the driving tasks required
to operate a commercial vehicle due to the fact that he is able to see
20/20 with both eyes open and has full visual fields in each eye.'' Mr.
Wells reported that he has driven straight trucks for 20 years,
accumulating 160,000 miles. He holds an operator's license from
Virginia. His driving record for the last 3 years shows no crashes and
no convictions for moving violations in a CMV.

Charles T. Whitehead

    Mr. Whitehead, 66, has had hyperopic astigmatism and refractive
amblyopia in his right eye since birth. The visual acuity in his right
eye is 20/70, and in his left eye, 20/25. Following an examination in
2015, his optometrist stated, ``Mr. Whitehead is diagnosed with
Hyperopic Astigmatism and Refractive Amblyopia [sic] of the right eye
that he has had since birth. It is my opinion that Mr. Whitehead is
capable of operating a commercial vehicle.'' Mr. Whitehead reported
that he has driven tractor-trailer combinations for 43 years,
accumulating 3.4 million miles. He holds a Class A CDL from North
Carolina. His driving record for the last 3 years shows no crashes and
no convictions for moving violations in a CMV.

III. Public Participation and Request for Comments

    FMCSA encourages you to participate by submitting comments and
related materials.

Submitting Comments

    If you submit a comment, please include the docket number for this
notice, indicate the specific section of this document to which each
comment applies, and provide a reason for each suggestion or
recommendation. 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 the
Agency can contact you if it has questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov and
put the docket number FMCSA-2015-0344 in the ``Keyword'' box, and click
``Search. When the new screen appears, click on ``Comment Now!'' button
and type your comment into the text box in the following screen. Choose
whether you are submitting your comment as an individual or on behalf
of a third party and then submit. 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.
    FMCSA will consider all comments and material received during the
comment period and may change this notice based on your comments.

Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to http://www.regulations.gov and
insert the docket number FMCSA-2015-0344 in the ``Keyword'' box and
click ``Search.'' Next, click ``Open Docket Folder'' button and choose
the document listed to review. If you do not have access to the
Internet, you may view the docket online by visiting the Docket
Management Facility in Room W12-140 on the ground floor of the DOT West
Building, 1200 New Jersey Avenue SE., Washington, DC 20590, between 9
a.m. and 5 p.m., e.t., Monday through Friday, except Federal holidays.

    Issued on: November 30, 2015.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2015-30863 Filed 12-7-15; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register: March 5, 2007 (Volume 72, Number 42)]
[Notices]
[Page 9813-9814]
[DOCID:fr05mr07-92]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-55360; File No. SR-NASD-2007-006]

Self-Regulatory Organizations; National Association of Securities
Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change Relating to Fees for Filing Documents Pursuant to the
Corporate Financing Rule

February 27, 2007.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on January 24, 2007, the National Association of Securities Dealers,
Inc. (``NASD'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II
and III below, which Items have been prepared substantially by NASD.
NASD has designated this proposal as establishing or changing a due,
fee, or other charge imposed by a self-regulatory organization pursuant
to Section 19(b)(3)(A) of the Act,\3\ and Rule 19b-4(f)(2)
thereunder,\4\ which renders the proposal effective upon filing with
the Commission. 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.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    NASD is proposing to amend Section 7 of Schedule A to the NASD By-
Laws to adjust fees for filing documents pursuant to NASD Rule 2710
(Corporate Financing Rule--Underwriting Terms and Arrangements). The
text of the proposed rule change is available at NASD, the Commission's
Public Reference Room, and http://www.nasd.com/RulesRegulation/RuleFilings
.

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

    In its filing with the Commission, NASD 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. NASD has prepared summaries, set forth in Sections A, B,
and C below, of the most significant aspects of such statements.

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

1. Purpose
    Under Section 7 of Schedule A to the NASD By-Laws, the current fee
for filing offering documents with NASD pursuant to Rule 2710
(Corporate Financing Rule--Underwriting Term and Arrangements) is equal
to $500 plus .01% of the proposed maximum aggregate offering price or
other applicable value of all securities registered, but not to exceed
$75,500.\5\ However, pursuant to the Commission's securities offering
reform rulemaking (``Securities Offering Reform''),\6\ which became
effective on December 1, 2005, Commission rules now permit, among other
things, ``well-known seasoned issuers'' or ``WKSIs'' to file
automatically effective shelf registration statements without
specifying the amount or value of the securities that may be offered
off the registration statement for up to three years. WKSIs are large
issuers that generally must have either $700 million of worldwide
equity market capitalization or an aggregate of $1 billion of non-
convertible securities issued within the past three years.\7\
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    \5\ Thus, under Section 7 of Schedule A to the NASD By-Laws,
fees are capped with respect to offerings with an aggregate offering
price of $750 million or more.
    \6\ See Securities Exchange Act Release No. 52056 (July 19,
2005), 70 FR 44722 (August 3, 2005).
    \7\ See Rule 405 under the Securities Act of 1933, 17 C.F.R.
230.405.
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    Most WKSIs are exempt from the shelf offering filing requirements
under NASD Rule 2710(b)(7), which exempts an issuer that is eligible to
use a Form S-3 or Form F-3 registration statement and has been a
reporting company under Section 13(a) or 15(d) of the Act for at least
36 months. In addition, NASD has proposed amendments to Rule 2710 to
expressly exempt WKSI shelf registration statements from the filing
requirements of Rule 2710.\8\ Thus, NASD intends that only those WKSIs
with a conflict of interest as defined under Rule 2720 will be required
to file shelf registration statements with NASD.\9\ For these issuers
filing documents with NASD pursuant to Rule 2720, NASD will review the
proposed underwriting terms and arrangements to determine whether they
comply with the substantive requirements of the rule, including limits
on underwriting compensation and use of a qualified independent
underwriter to provide a pricing opinion and conduct due diligence.
Upon completion of the review, if the terms and arrangements comply
with the rule, NASD will issue an opinion that it has no objection to
the filing.
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    \8\ See SR-NASD-2004-022. Amendment No. 4 to SR-NASD-2004-022
was filed with the Commission on April 28, 2006. See Securities
Exchange Act Release No. 50749 (November 29, 2004), 69 FR 70735
(December 7, 2004).
    \9\ See NASD Rule 2720(m). Pursuant to Rule 2720(m), all
offerings that are within the scope of Rule 2720 are required to be
filed with NASD and have the fee paid as required by Rule 2710, even
if the offering would be otherwise exempt from Rule 2710.
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    Section 7 of Schedule A to the NASD By-Laws provides that the fee
imposed for filing documents required pursuant to Rule 2710 is based on
the proposed maximum aggregate offering price or other applicable value
of all securities registered on a Commission registration statement or
included on any other type of offering document. However, because WKSIs
are not required to specify a proposed maximum aggregate offering price
or other applicable value on a registration statement, assessing NASD's
fee has been problematic. In their filings pursuant to Rule 2710, most
WKSIs provided a value of securities that will be offered at or above
$750 million, corresponding with the maximum filing fee. Since the
Commission's Securities Offering Reform has been in effect, NASD has
received 71 WKSI filings, of which 62 (or 87%) have provided a value of
$750 million or more.\10\ Nine (or 13%) have specified amounts of
securities with an aggregate value of less than $750 million; however,
these issuers are eligible to amend their registration during the three
year effective period to increase the value of securities registered.
Given this activity, and the fact that a WKSI shelf registration filing
allows the issuer to offer securities on a registration statement for a
three year period in amounts above $750 million, NASD is imposing the
maximum filing fee on all WKSI filings.\11\
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    \10\ As noted above, under Commission rules, a WKSI registration
statement is not required to state a specific value of securities.
Nevertheless, for purposes of NASD's filing requirements, a value
must be provided, and most issuers have indicated that they intend
to offer at least $750 million.
    \11\ NASD's electronic filing system does not track subsequent
amendments to WKSI registration statements to determine whether new
securities have been registered by an amendment, thereby increasing
the size of the offering. Moreover, if multiple members participate
in takedowns of securities off of a WKSI shelf registration
statement over time, no one member would have the ability to track
the aggregate value of the securities sold by the multiple members
and ensure that the proper filing fee is paid in connection with the
offerings.

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    Accordingly, NASD proposes to amend Section 7 of Schedule A to the
NASD By-Laws expressly to require that offering documents that are
required to be filed with NASD relating to an automatically effective
shelf registration statement by a WKSI (which would currently include
all WKSIs not otherwise exempt from Rule 2710 and, if SR-NASD-2004-022
is approved by the Commission, would only include WKSIs that are
broker-dealers or affiliates of broker-dealers) \12\ must be
accompanied by a $75,500 fee.
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    \12\ Telephone conversation between Kathryn Moore, Assistant
General Counsel, NASD, and Commission staff on February 26, 2007.
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    NASD has filed the proposed rule change for immediate
effectiveness. The implementation date will be February 26, 2007.
2. Statutory Basis
    NASD believes that the proposed rule change is consistent with
Section 15A(b)(5) \13\ of the Act, which requires that NASD rules
provide for the equitable allocation of reasonable dues, fees, and
other charges among members and issuers and other persons using any
facility or system that NASD operates or controls. NASD believes that
the proposed rule change, which specifies the filing fee required for
shelf offerings by WKSIs where no proposed maximum aggregate offering
or other applicable value of all securities registered is required to
be stated, is necessary to ensure the appropriate review of offerings
by WKSIs under NASD rules.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78o-3(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    NASD 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.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others NASD has
neither solicited nor received comments on the proposed rule change.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \14\ and subparagraph (f)(2) of Rule 19b-4
thereunder \15\ in that it establishes or changes a due, fee, or other
charge imposed by NASD. At any time within 60 days of the filing of
such proposed rule change, the Commission may summarily abrogate 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 ct.\16\
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    \14\ 15 U.S.C. 78s(b)(3)(A).
    \15\ 17 CFR 240.19b-4(f)(2).
    \16\ See 15 U.S.C. 78s(b)(3)(C).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-NASD-2007-006 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NASD-2007-006. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all

written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule 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 inspection and
copying in the Commission's Public Reference Room. Copies of the filing
also will be available for inspection and copying at the principal
offices of NASD. 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-
NASD-2007-006 and should be submitted on or before March 26, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\17\
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    \17\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-3762 Filed 3-2-07; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 88, Number 99 (Tuesday, May 23, 2023)]
[Notices]
[Pages 33190-33191]
[FR Doc No: 2023-10918]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[Docket No. NHTSA-2022-0092; Notice 1]

Premiori LLC, Receipt of Petition for Decision of Inconsequential
Noncompliance

AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation (DOT).

ACTION: Receipt of petition.

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SUMMARY: Premiori, LLC, (Premiori), has determined that certain
Premiorri Solazo replacement passenger car tires do not fully comply
with Federal Motor Vehicle Safety Standard (FMVSS) No. 139, New
Pneumatic Radial Tires for Light Vehicles. Premiori filed an original
noncompliance report dated June 28, 2022, and amended the report on
October 27, 2022. Premiori petitioned NHTSA on July 7, 2022, for a
decision that the subject noncompliance is inconsequential as it
relates to motor vehicle safety. This document announces receipt of
Premiori's petition.

DATES: Send comments on or before June 22, 2023.

ADDRESSES: Interested persons are invited to submit written data,
views, and arguments on this petition. Comments must refer to the
docket and notice number cited in the title of this notice and may be
submitted by any of the following methods:
     Mail: Send comments by mail addressed to the U.S.
Department of Transportation, Docket Operations, M-30, West Building
Ground Floor, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC
20590.
     Hand Delivery: Deliver comments by hand to the U.S.
Department of Transportation, Docket Operations, M-30, West Building
Ground Floor, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC
20590. The Docket Section is open on weekdays from 10 a.m. to 5 p.m.
except for Federal Holidays.
     Electronically: Submit comments electronically by logging
onto the Federal Docket Management System (FDMS) website at https://www.regulations.gov/. Follow the online instructions for submitting
comments.
     Comments may also be faxed to<PHONE_NUMBER>.
    Comments must be written in the English language, and be no greater
than 15 pages in length, although there is no limit to the length of
necessary attachments to the comments. If comments are submitted in
hard copy form, please ensure that two copies are provided. If you wish
to receive confirmation that comments you have submitted by mail were
received, please enclose a stamped, self-addressed postcard with the
comments. Note that all comments received will be posted without change
to https://www.regulations.gov, including any personal information
provided.
    All comments and supporting materials received before the close of
business on the closing date indicated above will be filed in the
docket and will be considered. All comments and supporting materials
received after the closing date will also be filed and will be
considered to the fullest extent possible.
    When the petition is granted or denied, notice of the decision will
also be published in the Federal Register pursuant to the authority
indicated at the end of this notice.
    All comments, background documentation, and supporting materials
submitted to the docket may be viewed by anyone at the address and
times given above. The documents may also be viewed on the internet at
https://www.regulations.gov by following the online instructions for
accessing the dockets. The docket ID number for this petition is shown
in the heading of this notice.
    DOT's complete Privacy Act Statement is available for review in a
Federal Register notice published on April 11, 2000 (65 FR 19477-78).

FOR FURTHER INFORMATION CONTACT: Jayton Lindley, Safety Compliance
Engineer, Office of Vehicle Safety Compliance, NHTSA,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:
    I. Overview: Premiori determined that certain Premiorri Solazo
replacement passenger car tires do not fully comply with paragraphs
S5.5(a) and S5.5.1 of FMVSS No. 139, New Pneumatic Radial Tires for
Light Vehicles (49 CFR 571.139).
    Premiori filed an original noncompliance report dated June 28,
2022, and amended the report on October 27, 2022, pursuant to 49 CFR
part 573, Defect and Noncompliance Responsibility and Reports. Premiori
petitioned NHTSA on July 7, 2022, for an exemption from the
notification and remedy requirements of 49 U.S.C. Chapter 301 on the
basis that this noncompliance is inconsequential as it relates to motor
vehicle safety, pursuant to 49 U.S.C. 30118(d) and 30120(h) and 49 CFR
part 556, Exemption for Inconsequential Defect or Noncompliance.

    This notice of receipt of Premiori's petition is published under 49
U.S.C. 30118 and 30120 and does not represent any agency decision or
another exercise of judgment concerning the merits of the petition.
    II. Tires Involved: Approximately 8 Premiorri Solazo passenger car
tires size 175/65R14 82H, manufactured between February 7, 2021, and
April 30, 2021, are potentially involved.
    III. Noncompliance: Premiori explains that the noncompliance is due
to a mold error in which the subject tires do not have the required DOT
symbol and the full or partial tire identification number (TIN) on one
of the two sidewalls and therefore, do not comply with paragraph
S5.5(a) of FMVSS No. 139. The tires do have the required DOT symbol
(and TIN) on the other sidewall.
    IV. Rule Requirements: Paragraphs S5.5(a) and S5.5.1 of FMVSS No.
139 include the requirements relevant to this petition. Paragraph
S5.5(a) requires each tire to be marked on each side wall with the
symbol DOT, which constitutes a certification that the tire conforms to
applicable FMVSSs. Paragraph S5.5.1 requires each tire to be labeled
with the TIN required by 49 CFR part 574 on the intended outboard
sidewall of the tire. Specifically, either the TIN or partial TIN,
containing all characters in the TIN, except for the date code and, at
the discretion of the manufacturer, any optional code, must be labeled
on the other sidewall of the tire.
    V. Summary of Premiori's Petition: The following views and
arguments presented in this section, ``V. Summary of Premiori's
Petition,'' are the views and arguments provided by Premiori. They have
not been evaluated by the Agency and do not reflect the views of the
Agency. Premiori describes the subject noncompliance and contends that
the noncompliance is inconsequential as it relates to motor vehicle
safety.
    On February 17, 2022, Premiori says it received an information
request from NHTSA regarding the subject noncompliance. As a result of
the information request from NHTSA, Premiori inspected the molds used
for the subject tires. Premiori's investigation found that one (1) of
the four molds that were used for the subject tires did not have the
DOT marking or TIN on one sidewall. Premiori provided information
showing that the subject tires met all other labeling requirements of
S5.5(a)-(i), including the symbol DOT a full TIN on one of the two
sidewalls. Premiori believes that there are no safety risks associated
with the affected tires stated that they have ``taken corrective
actions regarding this noncompliance'' and all four (4) tire molds now
are fully compliant.
    Premiori concludes by stating its belief that the subject
noncompliance is inconsequential as it relates to motor vehicle safety
and its petition to be exempted from providing notification of the
noncompliance, as required by 49 U.S.C. 30118, and a remedy for the
noncompliance, as required by 49 U.S.C. 30120, should be granted.
    NHTSA notes that the statutory provisions (49 U.S.C. 30118(d) and
30120(h)) that permit manufacturers to file petitions for a
determination of inconsequentiality allow NHTSA to exempt manufacturers
only from the duties found in sections 30118 and 30120, respectively,
to notify owners, purchasers, and dealers of a defect or noncompliance
and to remedy the defect or noncompliance. Therefore, any decision on
this petition only applies to the subject tires that Premiori no longer
controlled at the time it determined that the noncompliance existed.
However, any decision on this petition does not relieve equipment
distributors and dealers of the prohibitions on the sale, offer for
sale, or introduction or delivery for introduction into interstate
commerce of the noncompliant tires under their control after Premiori
notified them that the subject noncompliance existed.

(Authority: 49 U.S.C. 30118, 30120: delegations of authority at 49
CFR 1.95 and 501.8)

Otto G. Matheke, III,
Director, Office of Vehicle Safety Compliance.
[FR Doc. 2023-10918 Filed 5-22-23; 8:45 am]
BILLING CODE 4910-59-P