[Federal Register Volume 79, Number 100 (Friday, May 23, 2014)]
[Notices]
[Pages 29821-29826]
[FR Doc No: 2014-11965]

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

SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 31050; 812-14239]

Capitala Finance Corp., et al.; Notice of Application

May 19, 2014.
AGENCY: Securities and Exchange Commission (the ``Commission'').

ACTION: Notice of an application for an order under sections 6(c),
12(d)(1)(J), and 57(c) of the Investment Company Act of 1940 (``Act'')
granting exemptions from sections 12(d)(1)(A), 18(a), 21(b), 57(a)(1)-
(a)(3), and 61(a) of the Act; under section 57(i) of the Act and rule
17d-1 under the Act to permit certain joint transactions otherwise
prohibited by section 57(a)(4) of the Act; and under section 12(h) of
the Securities Exchange Act of 1934 (``Exchange Act'') granting an
exemption from section 13(a) of the Exchange Act.

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

    Applicants: Capitala Finance Corp. (the ``Company''), CapitalSouth
Partners Fund II Limited Partnership (``Fund II SBIC''), CapitalSouth
Partners F-II, LLC (``Fund II SBIC General Partner''), CapitalSouth
Partners SBIC Fund III,

L.P. (``Fund III SBIC''), CapitalSouth Partners SBIC F-III, LLC,
(``Fund III SBIC General Partner''), CapitalSouth Partners Florida
Sidecar Fund I, L.P., (``Florida Sidecar''), CSP-Florida Mezzanine Fund
I, LLC, (``CSP-Florida'' together with Fund II SBIC General Partner and
Fund III SBIC General Partner, the ``General Partners'') and Capitala
Investment Advisors, LLC, (``Capitala Investment Advisors'').
SUMMARY:  Summary of Application: Applicants request an order
permitting the Company, a business development company (``BDC'') and
its Subsidiaries (defined below) to operate effectively as one company,
specifically allowing them to: (1) Engage in certain transactions with
each other; (2) invest in securities in which the other is or proposes
to be an investor that would otherwise be permitted if the Company and
the Subsidiaries were one company; (3) be subject to modified
consolidated asset coverage requirements for senior securities issued
by a BDC and its small business investment company (``SBIC'')
subsidiaries; and (4) file consolidated reports with the Commission.

DATES:  Filing Dates: The application was filed on November 19, 2013,
and amended on March 31, 2014, and April 17, 2014. Applicants have
agreed to file an amendment during the notice period, the substance of
which is reflected in this notice.
    Hearing or Notification of Hearing: An order granting the
application will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by writing to the Commission's
Secretary and serving applicants with a copy of the request, personally
or by mail. Hearing requests should be received by the Commission by
5:30 p.m. on June 9, 2014, and should be accompanied by proof of
service on applicants, in the form of an affidavit or, for lawyers, a
certificate of service. Hearing requests should state the nature of the
writer's interest, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street NE., Washington, DC 20549-1090. Applicants, c/o Joseph B. Alala,
III, Chief Executive Officer and President, Capitala Finance Corp.,
4201 Congress Street, Suite 360, Charlotte, NC 28209.

FOR FURTHER INFORMATION CONTACT: Laura L. Solomon, Senior Counsel, at
(202) 551-6915, or James M. Curtis, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Chief Counsel's Office).

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

Applicants' Representations

    1. The Company, a Maryland corporation, is an externally-managed,
non-diversified, closed-end management investment company that has
elected to be regulated as a BDC under the Act.\1\ On September 24,
2013, the Company filed a registration statement on Form 8-A to
register its common stock under section 12 of the Exchange Act and a
notice of its election to be regulated as a BDC within the meaning of
section 2(a)(48) of the 1940 Act on Form N-54A.\2\ The Company intends
to elect to be treated as a regulated investment company (``RIC'') as
defined under Subchapter M of the Internal Revenue Code of 1986, as
amended, and intends to continue to make such election in the future.
The Company states that it expects to invest primarily in traditional
mezzanine and senior subordinated debt, as well as senior and second-
lien loans, and to a lesser extent, equity securities issued by smaller
and lower middle-market companies. The Company's board of directors
(``Board''), consists of five members, three of whom are not
``interested persons'' of the Company within the meaning of section
2(a)(19) of the Act (``Independent Directors''). The Company's
investment objective is to generate both current income and capital
appreciation through debt and equity investments.
---------------------------------------------------------------------------

    \1\ Section 2(a)(48) of the Act defines a BDC to be any closed-
end investment company that operates for the purpose of making
investments in securities described in sections 55(a)(1) through
55(a)(3) of the Act and makes available significant managerial
assistance with respect to the issuers of such securities.
    \2\ The Company completed the initial public offering of its
shares of common stock on September 30, 2013. The Company's common
stock is traded on the NASDAQ Global Market under the symbol
``CPTA.''
---------------------------------------------------------------------------

    2. On September 24, 2013, through a series of transactions, the
Company acquired all of the interests in Fund II SBIC, Fund III SBIC
and Florida Sidecar, as well as the General Partners (the
``Subsidiaries'').\3\ After giving effect to these transactions, (a)
the Company owns 100% of the membership interests in Fund II SBIC
General Partner, Fund III SBIC General Partner and CSP-Florida, which
are the sole general partners of Fund II SBIC, Fund III SBIC, and
Florida Sidecar, respectively, and (b) the Company directly or
indirectly owns 100% of the limited partnership interests in Fund II
SBIC, Fund III SBIC and Florida Sidecar.
---------------------------------------------------------------------------

    \3\ Subsidiary means Fund II SBIC, Fund III SBIC, Florida
Sidecar and any direct or indirect wholly-owned subsidiary of the
Company. References to ``Subsidiary'' include Subsidiaries currently
in existence, as well as any future Subsidiaries. No Subsidiary
other than Fund II SBIC and Fund III SBIC will be a BDC, and no
Subsidiary will be a registered investment company.
---------------------------------------------------------------------------

    3. Fund II SBIC, a North Carolina limited partnership, and Fund III
SBIC, a Delaware limited partnership, are SBICs licensed by the Small
Business Administration (``SBA'') to operate under the Small Business
Investment Act of 1958 (``SBA Act''). On September 24, 2013, Fund II
SBIC and Fund III SBIC each filed an election to be regulated as a BDC
within the meaning of section 2(a)(48) on Form N-54A under the Act, and
each also filed a registration statement on Form 8-A to register its
common stock under section 12 of the Exchange Act.
    4. Fund II SBIC and Fund III SBIC are consolidated with the Company
for financial reporting purposes.\4\ Fund II SBIC and Fund III SBIC
each have a board of directors (``Fund II SBIC Board'' and ``Fund III
SBIC Board,'' respectively) consisting of three persons who are
Independent Directors of Fund II SBIC and Fund III SBIC, respectively,
and two persons who are ``interested persons'' of each of Fund II SBIC
and Fund III SBIC. The members of Fund II SBIC Board and the Fund III
SBIC Board are appointed each year by the equity owners of Fund II SBIC
and Fund III SBIC, respectively. Fund II SBIC General Partner and Fund
III SBIC General Partner, have irrevocably delegated the authority to
manage the business affairs of Fund II SBIC and Fund III SBIC to the
Fund II SBIC Board and Fund III SBIC Board. The SBA has approved the
members of the Fund II SBIC Board and Fund III SBIC Board pursuant to
SBA regulations.
---------------------------------------------------------------------------

    \4\ The Company may, in the future, create additional wholly-
owned subsidiaries that may also be licensed by the SBA to operate
under the SBA Act as SBICs (collectively, with Fund II SBIC and Fund
III SBIC, the ``SBIC Subsidiaries''). Any existing entities that
currently intend to rely on the order have been named as applicants,
and any other existing or future entities that may rely on the order
in the future will comply with its terms and conditions.
---------------------------------------------------------------------------

    5. Florida Sidecar, a Delaware limited partnership, is not
registered under the Act under the exclusion from the definition of
investment company contained in section 3(c)(7) of the Act,

and its financial statements are consolidated with the Company's
financial statements. Florida Sidecar's sole business purpose is to
hold one or more investments on behalf of the Company. CSP-Florida is a
limited liability company organized under the laws of the state of
North Carolina. CSP-Florida serves as general partner to Florida
Sidecar and its only role is to perform ministerial functions that
result from decisions made by Capitala Investment Advisors; CSP-Florida
is not able to prevent Capitala Investment Advisors from acting
independently.\5\
---------------------------------------------------------------------------

    \5\ The Company may in the future form one or more direct or
indirect wholly-owned non-SBIC Subsidiaries each of whose sole
business purpose is to hold one or more investments on behalf of the
Company. Any such non-SBIC Subsidiary would be an investment company
but for an exclusion in section 3(c) or in reliance on rule 3a-7 and
its financial statements would be consolidated with the Company's
financial statements.
---------------------------------------------------------------------------

    6. Capitala Investment Advisors is a Delaware limited liability
company and serves as the investment adviser to the Company, the SBIC
Subsidiaries and Florida Sidecar. Capitala Investment Advisors is
registered as an investment adviser under the Investment Advisers Act
of 1940. Pursuant to an investment management agreement with the
Company that satisfies the requirements under sections 15(a) and (c) of
the Act, Capitala Investment Advisors manages the consolidated assets
of the Company, including Fund II SBIC, Fund III SBIC and Florida
Sidecar. The investment professionals of Capitala Investment Advisors
are responsible for sourcing potential investments, conducting research
and diligence on potential investments and equity sponsors, analyzing
investment opportunities, structuring investments and monitoring the
investments and portfolio companies of the Company and its wholly-owned
subsidiaries, including Fund II SBIC, Fund III SBIC and Florida
Sidecar. Applicants anticipate that Capitala Investment Advisors will
also provide management and advisory services to all Subsidiaries.

Applicants' Legal Analysis

    1. Applicants request an order under sections 6(c), 12(d)(1)(J),
57(c) and 57(i) of the Act and rule 17d-1 under the Act granting
exemptions from sections 12(d)(1)(A), 18(a), 21(b), 57(a)(1), 57(a)(2),
57(a)(3), and 61(a) of the Act and permitting certain joint
transactions otherwise prohibited by section 57(a)(4) of the Act to
permit the Company and its Subsidiaries to operate effectively as one
company, specifically to: (a) Engage in certain transactions with each
other; (b) invest in securities in which the other is or proposes to be
an investor that would otherwise be permitted if the Company and the
Subsidiaries were one company; and (c) be subject to modified
consolidated asset coverage requirements for senior securities issued
by a BDC and its SBIC Subsidiaries. Applicants also request an order
under section 12(h) of the Exchange Act for an exemption for Fund II
SBIC and Fund III SBIC from section 13(a) of the Exchange Act, so as to
allow filing of consolidated reports with the Commission.
    2. Section 12 of the Act is made applicable to BDCs by section 60
of the Act. Section 12(d)(1)(A) makes it unlawful for any registered
investment company to purchase or otherwise acquire the securities of
another investment company, except to the extent permitted by sections
12(d)(1)(A)(i), (ii) and (iii). Rule 60a-1 exempts the acquisition by a
BDC of the securities of an SBIC that is operated as a wholly-owned
subsidiary of the BDC from section 12(d)(1)(A) of the Act. Accordingly,
since the Company has elected BDC status, and since Fund II SBIC and
Fund III SBIC are operated as wholly-owned subsidiaries of the Company,
the transfer of assets from the Company to Fund II SBIC or Fund III
SBIC should be exempt from the provisions of section 12(d)(1)(A) by
virtue of rule 60a-1. However, the provisions of section 12(d)(1) also
apply to the activities of Fund II SBIC and Fund III SBIC since each
has elected BDC status under the Act. Any loans or advances by Fund II
SBIC or Fund III SBIC to the Company might be deemed to violate section
12(d)(1)(A)(ii) or (iii) if the loans or advances are construed as
purchases of the securities of the Company by Fund II SBIC or Fund III
SBIC.
    3. Applicants request an exemption under section 12(d)(1)(J) from
section 12(d)(1)(ii) and (iii) of the Act to permit the acquisition by
either of Fund II SBIC or Fund III SBIC of any securities of the
Company representing indebtedness. Section 12(d)(1)(J) of the Act
provides that the Commission may exempt persons or transactions from
any provision of section 12(d)(1) if and to the extent such exception
is consistent with the public interest and the protection of investors.
Applicants state that the requested relief meets this standard because
Fund II SBIC's or Fund III SBIC's wholly owned subsidiary status and
consolidated financial reporting with the Company will both eliminate
the possibility of overreaching and prevent confusion as to the
financial status of the Company to the Company's stockholders, who are
the investors that the Act is intended to protect.
    4. Section 18(a) prohibits a registered closed-end investment
company from issuing any class of senior security or selling any such
security of which it is the issuer unless the company complies with the
asset coverage requirements set forth in that section. Section 61(a)
applies section 18, with certain modifications, to a BDC. Section
18(k), however, provides an exemption from sections 18(a)(1)(A) and (B)
(relating to senior securities representing indebtedness) for SBICs.
    5. Applicants state that a question exists as to whether the
Company must comply with the asset coverage requirements of section
18(a) on a consolidated basis because the Company may be an indirect
issuer of senior securities issued by either of the SBIC Subsidiaries.
To do so would mean that the Company would treat as its own all assets
held directly by the Company and the SBIC Subsidiaries and would also
treat as its own any liabilities of the SBIC Subsidiaries, including
senior securities as to which the SBIC Subsidiaries are exempt from the
provisions of sections 18(a)(1)(A) and (B) by virtue of section 18(k).
Accordingly, applicants request relief under section 6(c) of the Act
from sections 18(a) and 61(a) of the Act to permit the Company to
exclude from its consolidated asset coverage ratio any senior security
representing indebtedness that is issued by either of the SBIC
Subsidiaries.
    6. Section 6(c) of the Act, in relevant part, permits the
Commission to exempt any transaction or class of transactions from any
provision of the Act if, and to the extent that, such exemption is
necessary or appropriate in the public interest and consistent with the
protection of investors and the purposes fairly intended by the policy
and provisions of the Act. Applicants state that, without the requested
relief from sections 18(a) and 61(a), the ability of the SBIC
Subsidiaries to obtain the kind of financing that would be available to
the Company if it were to conduct the SBIC operations itself would be
restricted. Applicants state that applying section 18(k) to the Company
with respect to any senior security representing indebtedness that is
issued by the SBIC Subsidiaries would not harm the public interest by
exposing investors to risks of unconstrained leverage, because the SBA
regulates the capital structure of the SBIC Subsidiaries. Companies
operating under the SBA Act, such as the SBIC Subsidiaries, are subject
to the SBA's substantial regulation of permissible

leverage in their capital structure. An SBIC with outstanding SBA
financial assistance may not incur any secured third-party debt or
refinance any debt with secured third-party debt without prior written
approval of the SBA.
    7. Sections 57(a)(1) and (2) of the Act make it unlawful, with
certain exceptions, for any person related to a BDC in the manner
described in section 57(b), or any affiliated person of that person (a)
to sell any security or other property to the BDC or to any company
controlled by the BDC, or (b) to purchase from any BDC or from any
company controlled by such BDC any security or other property. Section
57(b) includes any person who, directly or indirectly, controls, is
controlled by, or is under common control with the BDC or any person
who controls, is controlled by, or is under common control with that
person. Applicants state that the Company is an affiliated person of
Fund II SBIC, Fund III SBIC and Florida Sidecar by reason of its direct
or indirect ownership of all of the limited partnership interests in
each of Fund II SBIC, Fund III SBIC and Florida Sidecar and its
indirect ownership of 100% of the general partnership interests in Fund
II SBIC, Fund III SBIC and Florida Sidecar through its 100% ownership
of the General Partners. Fund II SBIC, Fund III SBIC and Florida
Sidecar each is a person related to each other in a manner described in
section 57(b) because each is deemed to be under the control of the
Company and thus under common control. Any Subsidiary would also each
be a person related to Fund II SBIC and Fund III SBIC in a manner
described in section 57(b) as long as it is under the common control of
the Company.
    8. Applicants state that there may be circumstances when one or
more of the Company and a Subsidiary would purchase all or a portion of
the portfolio investments held by one of the others in order to enhance
the liquidity of the selling company or for other reasons, subject in
each case to the requirements of the SBA and the regulations
thereunder, as applicable. In addition, there may be circumstances when
it is in the interest of the Company and/or its Subsidiaries for any
non-BDC Subsidiary to invest in securities of an issuer that may be
deemed to be a person related to either the Company or Fund II SBIC or
Fund III SBIC in a manner described in section 57(b), or for the
Company to invest in securities of an issuer that may be deemed to be a
person related to a Subsidiary in a manner described in section 57(b).
    9. Accordingly, applicants request relief under sections 57(a)(1)
and (2) to permit any transaction in which one or more of the Company,
Fund II SBIC, Fund III SBIC or any other Subsidiary would purchase all
or a portion of the portfolio investments or other property held by one
of the others. Applicants also request relief under sections 57(a)(1)
and (2) to permit any transaction in which any non-BDC Subsidiary
invests in securities of an issuer that may be deemed to be a person
related to either the Company or Fund II SBIC or Fund III SBIC in a
manner described in section 57(b), but only to the extent that any such
transaction would not be prohibited if such Subsidiary were deemed to
be part of the Company and not a separate company. Additionally,
applicants request relief to permit the Company to invest in securities
of an issuer that may be deemed to be a person related to a Subsidiary
in a manner described in section 57(b) and permitting Fund II SBIC or
Fund III SBIC to invest in securities of an issuer that may be deemed
to be a person related to the Company or the Subsidiaries in a manner
described in section 57(b). It is the intent of this request only to
permit the Company and the Subsidiaries to do that which they otherwise
would be permitted to do within the provisions of the Act if they were
one company.
    10. Section 57(c) directs the Commission to exempt a transaction
from one or more provisions of sections 57(a)(1), (2) and (3) if the
terms of the proposed transaction, including the consideration to be
paid or received, are reasonable and fair and do not involve
overreaching of the BDC or its stockholders or partners on the part of
any person concerned, the proposed transaction is consistent with the
policy of the BDC concerned and the proposed transaction is consistent
with the general purposes of the Act.
    11. Applicants submit that the requested relief from sections
57(a)(1) and (2) meets this standard. Applicants represent that the
proposed operations as one company will enhance the efficient
operations of the Company and its wholly-owned Subsidiaries, and allow
them to deal with portfolio companies as if the Company and its
Subsidiaries were one company. Applicants contend that the terms of the
proposed transactions are reasonable and fair and do not involve
overreaching of the Company, its stockholders, or the Subsidiaries that
are BDCs by any person, and that the requested order would permit the
Company and the Subsidiaries to carry out more effectively their
purposes and objectives of investing primarily in small business
concerns. Applicants also state that since Fund II SBIC and Fund III
SBIC and any Subsidiary are wholly-owned subsidiaries of the Company
and since no officers or directors of Fund II SBIC and Fund III SBIC,
any Subsidiary or of the Company, or any controlling persons or other
``upstream affiliates'' of the Company will have any prohibited
financial interest in the transactions described, there can be no
overreaching on the part of any persons and no harm to the public
interest in transactions solely between the Company and Fund II SBIC
and Fund III SBIC. Finally, applicants note that the proposed
transactions are consistent with the policy of the Company and Fund II
SBIC and Fund III SBIC as specified in filings with the Commission and
reports to stockholders, as well as consistent with the policies and
provisions of the Act.
    12. Section 57(a)(3) of the Act makes it unlawful for certain
affiliated persons of a BDC, and certain affiliated persons of those
persons, set out in section 57(b) to borrow money or other property
from such BDC or from any company controlled by the BDC, except as
permitted by section 21(b) or section 62. Section 21(b) of the Act
(made applicable to BDCs by section 62) provides that it shall be
unlawful for a BDC to lend any money or property, directly or
indirectly, to any person that controls or is under common control with
the BDC, except to any company that owns all of the outstanding
securities of the BDC other than directors' qualifying shares.
    13. The Company is an affiliated person of Fund II SBIC and Fund
III SBIC by reason of its direct or indirect ownership of all of the
limited partnership interests in Fund II SBIC and Fund III SBIC and its
indirect ownership of all of the general partnership interests in Fund
II SBIC and Fund III SBIC through its 100% ownership of the Fund II
SBIC General Partner and Fund III SBIC General Partner. The Company
does not directly own all of the outstanding securities of Fund II SBIC
or Fund III SBIC because Fund II SBIC General Partner holds a 1.03%
general partnership interest in Fund II SBIC and Fund III SBIC General
Partner holds a 0.95% general partnership interest in Fund III SBIC and
both SBIC Subsidiaries have issued SBA guaranteed debentures and, in
the future, may have other outstanding securities in the form of
indebtedness. Fund II SBIC and Fund III SBIC are affiliated persons of
the Company because they are deemed to be under the control of the
Company. Accordingly, the Company is related to Fund II SBIC and Fund
III SBIC in the manner set

forth in section 57(b) and Fund II SBIC and Fund III SBIC are related
to the Company in the manner set forth in section 57(b).
    14. Applicants state that there may be instances when it would be
in the best interests of the Company and its stockholders for the
Company to make loans to its Subsidiaries that are BDCs. There may also
be instances when it would be in the best interests of the Company and
its stockholders for its Subsidiaries that are BDCs to make loans to
the Company. Applicants note that, in the case of loans from Fund II
SBIC or Fund III SBIC to the Company, the loans would be prohibited by
section 21(b) and section 57(a)(3) because the borrower controls the
lender and the lender may have outstanding securities not owned by the
borrower. Accordingly, applicants request an order under section 6(c)
exempting from the provisions of section 21(b) the lending of money or
other property by Fund II SBIC or Fund III SBIC to the Company and by
the Company to Fund II SBIC or Fund III SBIC. Applicants argue that
because these transactions are solely between the Company and Fund II
SBIC, Fund III SBIC, or its wholly-owned subsidiaries, they will have
no substantive economic effect and there is be no basis for
overreaching or harm to the public interest. Applicants also request an
order under section 57(c) exempting from the provisions of section
57(a)(3) the borrowing of money or property by the Company from Fund II
SBIC or Fund III SBIC. Applicants submit that the requested relief
meets the standards of section 57(c).
    15. Section 57(a)(4) of the Act makes it unlawful for certain
persons related to a BDC in the manner set forth in section 57(b),
acting as principal, to knowingly effect any transaction in which the
BDC or a company controlled by the BDC is a joint or joint and several
participant with that person in contravention of such rules and
regulations as the Commission may prescribe for the purpose of limiting
or preventing participation by the BDC or controlled company on a basis
less advantageous than that of the other participant. Section 57(i) of
the Act provides that rules and regulations under section 17(d) of the
Act, e.g., rule 17d-1, will apply to transactions subject to section
57(a) in the absence of rules under that section. The Commission has
not adopted rules under section 57(a)(4) with respect to joint
transactions and, accordingly, the standards set forth in rule 17d-1
govern applicants' request for relief. Rule 17d-1(a) prohibits an
affiliate or, when applying rule 17d-1 to implement section 57(a)(4), a
person related to a BDC in a manner described in section 57(b) acting
as principal, from participating in, or effecting any transaction in
connection with any joint enterprise or joint arrangement or profit-
sharing plan in which any such BDC, or a company controlled by such
BDC, is a participant.
    16. Applicants request relief under section 57(i) and rule 17d-1 to
permit any joint transaction that would otherwise be prohibited by
section 57(a)(4) between the Company and either or both of Fund II SBIC
or Fund III SBIC with respect to any transaction involving investments
by the Company or Fund II SBIC or Fund III SBIC in portfolio companies
in which any is or is proposed to become an investor, but only to the
extent that the transaction would not be prohibited if Fund II SBIC and
Fund III SBIC (and all of their respective assets and liabilities) were
deemed to be part of the Company, and not separate companies.
    17. In determining whether to grant an order under section 57(i)
and rule 17d-1, the Commission considers whether the participation of
the BDC in the joint transaction is consistent with the provisions,
policies, and purposes of the Act, and the extent to which such
participation is on a basis different from or less advantageous than
that of other participants. Applicants state that the proposed
transactions are consistent with the policy and provisions of the Act
and will enhance the interests of the Company and the Subsidiaries
while retaining the important protections afforded by the Act. In
addition, because the joint participants will conduct their operations
as though they comprise one company, the participation of one will not
be on a basis different from or less advantageous than the others.
Accordingly, applicants submit that the standard for relief under
section 57(i) and rule 17d-1 is satisfied.
    18. Section 54 of the Act provides that a closed-end company may
elect BDC treatment under the Act if the company has either a class of
equity securities registered under section 12 of the Exchange Act or
has filed a registration statement pursuant to section 12 of the
Exchange Act for a class of its equity securities. Section 12(g) of the
Exchange Act requires issuers with specified assets and a specified
number of security holders to register under the Exchange Act. As a
BDC, the Company has registered its common stock under section 12(b) of
the Exchange Act. In order to elect BDC treatment under the Act, Fund
II SBIC and Fund III SBIC voluntarily registered their securities under
the Exchange Act.
    19. By filing a registration statement under section 12 of the
Exchange Act, absent an exemption, Fund II SBIC and Fund III SBIC would
be required to make periodic filings with the Commission, even though
Fund II SBIC and Fund III SBIC have only one equity holder. Section 13
of the Exchange Act is the primary section requiring such filings.
Accordingly, applicants request an order under section 12(h) of the
Exchange Act exempting Fund II SBIC and Fund III SBIC from the
reporting requirements of section 13(a) of the Exchange Act.
    20. Section 12(h) of the Exchange Act provides that the Commission
may exempt an issuer from section 13 of the Exchange Act if the
Commission finds that by reason of the number of public investors,
amount of trading interest in the securities, the nature and extent of
the activities of the issuer, income or assets of the issuer, or
otherwise, that such action is not inconsistent with the public
interest or the protection of investors. Fund II SBIC and Fund III SBIC
each have only one investor, which is itself a reporting company, and
no public investors. There will be no trading in Fund II SBIC or Fund
III SBIC securities, so no public interest or investor protective
purpose will be served by separate Fund II SBIC and Fund III SBIC
reporting. Further, applicants state that the nature and extent of each
of Fund II SBIC's and Fund III SBIC's activities are such that its
activities will be fully reported through consolidated reporting in
accordance with normal accounting rules. Accordingly, applicants
believe that the requested exemption meets the standards of section
12(h) of the Exchange Act.

Applicants' Conditions

    Applicants agree that the requested order will be subject to the
following conditions:
    1. The Company will at all times own and hold, beneficially and of
record, all of the outstanding limited partnership interests in any
Subsidiary and all of the outstanding membership interests in the
General Partners, or otherwise own and hold beneficially all of the
outstanding voting securities and equity interests of such Subsidiary.
    2. The Subsidiaries will have investment policies not inconsistent
with those of the Company, as set forth in the Company's registration
statement.
    3. No person shall serve as a member of any of the Subsidiaries'
board of directors, including as a manager under a different form of
legal organization that might perform the function of a director,
unless such person shall also

be a member of the Company's Board. The board of directors or the
managers, as applicable, of any Subsidiary will be appointed by the
equity owners of that Subsidiary.
    4. The Company shall not issue or sell any senior security and the
Company shall not cause or permit any SBIC Subsidiaries to issue or
sell any senior security of which the Company or such SBIC Subsidiary
is the issuer except to the extent permitted by section 18 (as modified
for BDCs by section 61) of the Act; provided that, immediately after
the issuance or sale by either of the Company or any SBIC Subsidiary of
any such senior security, the Company, individually and on a
consolidated basis, shall have the asset coverage required by section
18(a) of the Act (as modified by section 61(a)). In determining whether
the Company has the asset coverage on a consolidated basis required by
section 18(a) of the Act, (as modified by section 61(a)), any senior
securities representing indebtedness of an SBIC Subsidiary if that SBIC
Subsidiary has issued indebtedness that is held or guaranteed by the
SBA shall not be considered senior securities and, for purposes of the
definition of ``asset coverage'' in section 18(h), shall be treated as
indebtedness not represented by senior securities.
    5. The Company will acquire securities of any SBIC Subsidiary
representing indebtedness only if, in each case, the prior approval of
the SBA has been obtained. In addition, the Company and the SBIC
Subsidiaries will purchase and sell portfolio securities between
themselves only if, in each case, the prior approval of the SBA has
been obtained.
    6. No person shall serve or act as investment adviser to the
Subsidiaries unless the Board and the stockholders of the Company shall
have taken such action with respect thereto that is required to be
taken pursuant to the Act by the functional equivalent of the
Subsidiary's Board and the equity holders of the Subsidiary, including
as if such Subsidiary were a BDC.

    For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-11965 Filed 5-22-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 117 (Monday, June 18, 2012)]
[Notices]
[Page 36305]
[FR Doc No: 2012-14860]

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

SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]

Stream Communications Network & Media, Inc.; Order of Suspension
of Trading

June 14, 2012.
    It appears to the Securities and Exchange Commission that there is
a lack of current and accurate information concerning the securities of
Stream Communications Network & Media, Inc. because it has not filed
any periodic reports since the period ended December 31, 2008.
    The Commission is of the opinion that the public interest and the
protection of investors require a suspension of trading in the
securities of the above-listed company.
    Therefore, it is ordered, pursuant to Section 12(k) of the
Securities Exchange Act of 1934, that trading in the security of the
above-listed company is suspended for the period from 9:30 a.m. EDT on
June 14, 2012, through 11:59 p.m. EDT on June 27, 2012.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2012-14860 Filed 6-14-12; 11:15 am]
BILLING CODE 8011-01-P


[Federal Register: July 7, 2009 (Volume 74, Number 128)]
[Notices]
[Page 32139-32141]
[DOCID:fr07jy09-39]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

June 29, 2009.
    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER97-3923-003.
    Applicants: Infinite Energy, Inc.
    Description: Order No 697 Compliance filing and request for
Category I, Status of Infinite Energy, Inc.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0108.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER00-586-008.
    Applicants: Madison Gas and Electric Company.
    Description: Madison Gas and Electric Company submits for filing
its triennial market power update in support of its continued authority
to sell electric capacity, energy and ancillary services etc.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0093.
    Comment Date: 5 p.m. Eastern Time on Monday, August 24, 2009.

    Docket Numbers: ER00-3251-020; ER99-754-019.
    Applicants: Exelon Generation Company, LLC, AmerGen Energy Company,
LLC.
    Description: Exelon Generation Co, LLC et al. submits an updated
market power analysis.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0048.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER03-720-013; ER94-389-033.
    Applicants: New Covert Generating Company, LLC, Tenaska Power
Services Co.
    Description: Updated Market Power Analysis of Tenaska Power
Services Co., et al.
    Filed Date: 06/26/2009.
    Accession Number: 20090626-5136.
    Comment Date: 5 p.m. Eastern Time on Tuesday, August 25, 2009.

    Docket Numbers: ER03-762-013; ER09-533-002.
    Applicants: Alliant Energy Corporate Services, Inc.; Alliant Energy
Neenah, LLC.
    Description: Notice of change in status regarding market-based
rates authority of Alliant Energy Corporate Services, Inc.
    Filed Date: 06/29/2009.
    Accession Number: 20090629-5077.
    Comment Date: 5 p.m. Eastern Time on Monday, July 20, 2009.

    Docket Numbers: ER04-944-007; ER00-2129-003; ER99-1801-012.
    Applicants: Orion Power Midwest, L.P., RRI Energy Wholesale
Generation, LLC, RRI Energy Solutions East, LLC.
    Description: Triennial Report of RRI Central MBR Entities.
    Filed Date: 06/26/2009.
    Accession Number: 20090626-5193.
    Comment Date: 5 p.m. Eastern Time on Tuesday, August 25, 2009.

    Docket Numbers: ER06-882-002.
    Applicants: Bayside Power L.P.
    Description: Bayside Power, LP submits its Order 697 Compliance
Filing and Application for Category 1 status.
    Filed Date: 06/24/2009.
    Accession Number: 20090625-0104.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 15, 2009.

    Docket Numbers: ER08-1252-003.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: Midwest Independent Transmission System Operator, Inc

submits Superseding Original Sheet 530.83 et al. to FERC Electric
Tariff, Third Revised Volume 1.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0109.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-629-002; ER00-1895-013; ER01-3109-013; ER99-
4160-018.
    Applicants: Dynegy Midwest Generation, Inc., Dynegy Power
Marketing, Inc., Dynegy Marketing and Trade, LLC, Renaissance Power,
LLC.
    Description: Updated Market Power Analysis of Dynegy Marketing and
Trade, LLC, et al.
    Filed Date: 06/26/2009.
    Accession Number: 20090626-5205.
    Comment Date: 5 p.m. Eastern Time on Tuesday, August 25, 2009.

    Docket Numbers: ER09-910-001; OA09-25-001; TS09-3-001.
    Applicants: Cogen Technologies Linden Venture, LLP.
    Description: Cogen Technologies Linden Venture, LLP submits
Substitute Original Sheet 8 et al. Rate Schedule FERC No 1.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0096.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1019-001.
    Applicants: Arizona Public Service Company.
    Description: Arizona Public Service Company submits Service
Agreement 300 to FERC Electric Tariff, Fourteenth Revised Volume 2.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0097.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1102-001.
    Applicants: Midwest Independent Transmission System.
    Description: Midwest Independent Transmission System Operator, Inc.
submits Substitute First Revised Service Agreement 1355 et al. to FERC
Electric Tariff, Fourth Revised Volume 1.
    Filed Date: 06/26/2009.
    Accession Number: 20090626-0109.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1202-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed Large
Generator Interconnection Agreement etc.
    Filed Date: 05/27/2009.
    Accession Number: 20090528-0155.
    Comment Date: 5 p.m. Eastern Time on Monday, July 06, 2009.

    Docket Numbers: ER09-1207-002.
    Applicants: P.H. Glatfelter Company.
    Description: PH Glatfelter Company submits Second Substitute
Original Sheet 1 et al. to FERC Electric Tariff, Original Volume 1 to
be effective 7/29/09.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0092.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1286-001.
    Applicants: Elizabethtown Energy, LLC.
    Description: Elizabethtown Energy, LLC submits First Revised Sheet
1 et al. to FERC Electric Tariff, Original Volume 1.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0094.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1287-001.
    Applicants: Lumberton Energy, LLC.
    Description: Lumberton Energy, LLC submits First Revised Sheet 1 et
al. to FERC Electric Tariff, Original Volume 1.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0095.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1339-001.
    Applicants: Grand Ridge Energy II LLC.
    Description: Grand Ridge Energy II LLC submits Substitute Original
Sheet 3 et al. to FERC Electric Tariff, Original Volume 1 to be
effective 8/25/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0104.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1340-001.
    Applicants: Grand Ridge Energy III LLC.
    Description: Grand Ridge Energy III, LLC submits Substitute
Original Sheet 3 et al. to FERC Electric Tariff, Original Volume 1, to
be effective 8/25/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0105.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1341-001.
    Applicants: Grand Ridge Energy IV LLC.
    Description: Grand Ridge Energy IV, LLC submits Substitute Original
Sheet 3 et al. to FERC Electric Tariff, Original Volume 1 to be
effective 8/25/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0106.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1342-001.
    Applicants: Grand Ridge Energy V LLC.
    Description: Grand Ridge Energy V, LLC submits Substitute Original
Sheet 3 et al. to FERC Electric Tariff, Original Volume 1 to be
effective 8/25/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0107.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1348-000.
    Applicants: Puget Sound Energy, Inc.
    Description: Puget Sound Energy, Inc submits an unexecuted Standard
Large Generator Interconnection Agreement, dated 6/24/09 between PSE,
as Transmission Provider, and Vanatage Wind Energy LLC as
Interconnection Customer.
    Filed Date: 06/24/2009.
    Accession Number: 20090624-0044.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 15, 2009.

    Docket Numbers: ER09-1349-000.
    Applicants: WestConnect.
    Description: WestConnect submits section 205 filing to clarify
timeframes for reserving and scheduling regional transmission service
etc.
    Filed Date: 06/24/2009.
    Accession Number: 20090625-0101.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 15, 2009.

    Docket Numbers: ER09-1350-000.
    Applicants: PJM Interconnection LLC.
    Description: PJM Interconnection, LLC submits executed interim
interconnection service agreement and an executed interconnection
construction service agreement entered into among PJM, Monmouth Energy,
Inc, et al.
    Filed Date: 06/25/2009.
    Accession Number: 20090625-0108.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1351-000.
    Applicants: EPLP Energy Services (US) LLC.
    Description: EPLP Energy Services, LLC submits Original Sheet 1 et
al. to FERC Electric Tariff, Original Volume 1 to be effective 8/25/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0002.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1352-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits Second Revised Sheet
125 et al. to FERC Electric Tariff, Fifth Revised Volume 1.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0091.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1353-000.
    Applicants: Virginia Electric and Power Company.

    Description: Dominion Virginia Power submits a revised service
agreement cover sheet that cancels Service Agreement 1314 in
conformance with Order 614.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0090.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1354-000.
    Applicants: PJM Interconnection LLC.
    Description: PJM Interconnection, LLC submits an executed
interconnection service agreement among PJM et al. and notices of
cancellation for three ISAs being superseded.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0089.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1355-000.
    Applicants: PJM Interconnection LLC.
    Description: PJM Interconnection, LLC submits an executed
interconnection service agreement among PJM et al. and notices of
cancellation for three ISAs being superseded.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0088.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Docket Numbers: ER09-1356-000; OA09-30-000; TS09-6-000.
    Applicants: Grand Ridge Energy LLC.
    Description: Grand Ridge Energy, LLC et al. submits Original Sheet
1 to Rate Schedule FERC No 1.
    Filed Date: 06/25/2009.
    Accession Number: 20090626-0087.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 09, 2009.

    Docket Numbers: ER09-1357-000.
    Applicants: Altair Energy Trading, Inc.
    Description: Altair Energy Trading, Inc submits petition for
acceptance of initial tariff, waivers and blanket authority.
    Filed Date: 06/26/2009.
    Accession Number: 20090626-0112.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1358-000.
    Applicants: Duke Energy Ohio, Inc.
    Description: Duke Energy Ohio, Inc submits First Revised Sheet 1 to
First Revised Rate Schedule 48 to be effective 8/25/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0001.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1359-000.
    Applicants: PECO Energy Company.
    Description: PECO Energy Company submits Original Service Agreement
2196 et al. to FERC Electric Tariff, Sixth Revised Volume 1 to be
effective 7/27/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0003.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1360-000.
    Applicants: PECO Energy Company.
    Description: PECO Energy Company submits notice of Cancellation of
Rate Schedule FPC No 47, to be effective 7/26/09.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0004.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1361-000.
    Applicants: California Independent System Operator Corporation.
    Description: California Independent System Operator Corp submits a
Participating Load Pilot Agreement.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0110.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1362-000.
    Applicants: California Independent System Operator Corporation.
    Description: The California Independent System Operator Corporation
submits Service Agreement 1358 to FERC Electric Tariff, Fourth
Replacement Volume 11 with San Diego Gas & Electric Company.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0111.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Docket Numbers: ER09-1363-000.
    Applicants: California Independent System Operator Corporation
    Description: The California Independent System Operator Corporation
submits Service Agreement 1357 to FERC Electric Tariff, Fourth
Replacement Volume II.
    Filed Date: 06/26/2009.
    Accession Number: 20090629-0112.
    Comment Date: 5 p.m. Eastern Time on Friday, July 17, 2009.

    Take notice that the Commission received the following open access
transmission tariff filings:

    Docket Numbers: OA07-53-005.
    Applicants: Progress Energy, Inc.
    Description: Revised Annual Penalty Revenues Refund Report of
Carolina Power & Light Company and Florida Power Corporation.
    Filed Date: 06/25/2009.
    Accession Number: 20090625-5184.
    Comment Date: 5 p.m. Eastern Time on Thursday, July 16, 2009.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://
www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. E9-15938 Filed 7-6-09; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 116 (Thursday, June 16, 2016)]
[Rules and Regulations]
[Page 39193]
[FR Doc No: 2016-14274]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2016-0443]

Safety Zone; Annual Firework Events on the Colorado River,
Between Davis Dam (Bullhead City, Arizona) and Headgate Dam (Parker,
Arizona) Within the San Diego Captain of the Port Zone

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce the safety zone for the Laughlin/
Bullhead City Rockets Over the River Fireworks on the Colorado River in
Laughlin, Nevada and Bullhead City, Arizona on Saturday, July 2, 2016
and Monday, July 4, 2016. This safety zone is necessary to provide for
the safety of the participants, spectators, official vessels of the
event, and general users of the waterway. Our regulation for annual
fireworks events on the Colorado River within the San Diego Captain of
the Port Zone identifies the regulated area for this event. During the
enforcement period, no spectators shall anchor, block, loiter in, or
impede the transit of official patrol vessels in the regulated area
without the approval of the Captain of the Port, or designated
representative.

DATES: The regulations in 33 CFR 165.1124 will be enforced from 8 p.m.
through 10 p.m. on July 2 and July 4, 2016, for Item 2 in Table 1 of
Sec.  165.1124.

FOR FURTHER INFORMATION CONTACT: If you have questions on this
publication, call or email Petty Officer Randolph Pahilanga, Waterways
Management, U.S. Coast Guard Sector San Diego, CA; telephone 619-278-
7656, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the regulations
in 33 CFR 165.1124 for a safety zone on the Colorado River in Laughlin,
Nevada and Bullhead City, Arizona for the Laughlin/Bullhead City
Rockets Over the River Fireworks in 33 CFR 165.1124, Table 1, Item 2 of
that section from 8 p.m. through 10 p.m. on July 2 and July 4, 2016.
This enforcement action is being taken to provide for the safety of
life on navigable waterways during the fireworks event. Our regulation
for annual fireworks events on the Colorado River within the San Diego
Captain of the Port Zone identifies the regulated entities for this
event. Under the provisions of 33 CFR 165.1124, a vessel may not enter
the regulated area, unless it receives permission from the Captain of
the Port, or his designated representative. Spectator vessels may
safely transit outside the regulated area but may not anchor, block,
loiter, or impede the transit of participants or official patrol
vessels. The Coast Guard may be assisted by other Federal, State, or
Local law enforcement agencies in enforcing this regulation.
    This document is issued under authority of 33 CFR 165.1124 and 5
U.S.C. 552(a). In addition to this document in the Federal Register,
the Coast Guard will provide the maritime community with advance
notification of this enforcement period via the Local Notice to
Mariners and local advertising by the event sponsor.
    If the Captain of the Port or his designated representative
determines that the regulated area need not be enforced for the full
duration stated on this document, he or she may use a Broadcast Notice
to Mariners or other communications coordinated with the event sponsor
to grant general permission to enter the regulated area.

    Dated: June 2, 2106.
E.M. Cooper,
Commander, U. S. Coast Guard, Acting Captain of the Port San Diego.
[FR Doc. 2016-14274 Filed 6-15-16; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 76, Number 218 (Thursday, November 10, 2011)]
[Rules and Regulations]
[Pages 70055-70056]
[FR Doc No: 2011-28932]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 97

[Docket No. 30811; Amdt. No. 3451]

Standard Instrument Approach Procedures, and Takeoff Minimums and
Obstacle Departure Procedures; Miscellaneous Amendments

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: This rule establishes, amends, suspends, or revokes Standard
Instrument Approach Procedures (SIAPs) and associated Takeoff Minimums
and Obstacle Departure Procedures for operations at certain airports.
These regulatory actions are needed because of the adoption of new or
revised criteria, or because of changes occurring in the National
Airspace System, such as the commissioning of new navigational
facilities, adding new obstacles, or changing air traffic requirements.
These changes are designed to provide safe and efficient use of the
navigable airspace and to promote safe flight operations under
instrument flight rules at the affected airports.

DATES: This rule is effective November 10, 2011. The compliance date
for each SIAP, associated Takeoff Minimums, and ODP is specified in the
amendatory provisions.
    The incorporation by reference of certain publications listed in
the regulations is approved by the Director of the Federal Register as
of November 10, 2011.

ADDRESSES: Availability of matter incorporated by reference in the
amendment is as follows:
    For examination--
    1. FAA Rules Docket, FAA Headquarters Building, 800 Independence
Avenue SW., Washington, DC 20591;
    2. The FAA Regional Office of the region in which the affected
airport is located;
    3. The National Flight Procedures Office, 6500 South MacArthur
Blvd., Oklahoma City, OK 73169 or
    4. The National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call (202)
741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    Availability_All SIAPs are available online free of charge. Visit
nfdc.faa.gov to register. Additionally, individual SIAP and Takeoff
Minimums and ODP copies may be obtained from:
    1. FAA Public Inquiry Center (APA-200), FAA Headquarters Building,
800 Independence Avenue SW., Washington, DC 20591; or
    2. The FAA Regional Office of the region in which the affected
airport is located.

FOR FURTHER INFORMATION CONTACT: Richard A. Dunham III, Flight
Procedure Standards Branch (AFS-420) Flight Technologies and Programs
Division, Flight Standards Service, Federal Aviation Administration,
Mike Monroney Aeronautical Center, 6500 South MacArthur Blvd., Oklahoma
City, OK 73169 (Mail Address: P.O. Box 25082 Oklahoma City, OK. 73125)
telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: This rule amends Title 14, Code of Federal
Regulations, Part 97 (14 CFR part 97) by amending the referenced SIAPs.
The complete regulatory description of each SIAP is listed on the
appropriate FAA Form 8260, as modified by the National Flight Data
Center (FDC)/Permanent Notice to Airmen (P-NOTAM), and is incorporated
by reference in the amendment under 5 U.S.C. 552(a), 1 CFR part 51, and
Sec.  97.20 of Title 14 of the Code of Federal Regulations.
    The large number of SIAPs, their complex nature, and the need for a
special format make their verbatim publication in the Federal Register
expensive and impractical. Further, airmen do not use the regulatory
text of the SIAPs, but refer to their graphic depiction on charts
printed by publishers of aeronautical materials. Thus, the advantages
of incorporation by reference are realized and publication of the
complete description of each SIAP contained in FAA form documents is
unnecessary. This amendment provides the affected CFR sections and
specifies the types of SIAP and the corresponding effective dates. This
amendment also identifies the airport and its location, the procedure
and the amendment number.

The Rule

    This amendment to 14 CFR part 97 is effective upon publication of
each separate SIAP as amended in the transmittal. For safety and
timeliness of change considerations, this amendment incorporates only
specific changes contained for each SIAP as modified by FDC/P-NOTAMs.
    The SIAPs, as modified by FDC P-NOTAM, and contained in this
amendment are based on the criteria contained in the U.S. Standard for
Terminal Instrument Procedures (TERPS). In developing these changes to
SIAPs, the TERPS criteria were applied only to specific conditions
existing at the affected airports. All SIAP amendments in this rule
have been previously issued by the FAA in a FDC NOTAM as an emergency
action of immediate flight safety relating directly to published
aeronautical charts. The circumstances which created the need for all
these SIAP amendments require making them effective in less than 30
days.
    Because of the close and immediate relationship between these SIAPs
and safety in air commerce, I find that notice and public procedure
before adopting these SIAPs are impracticable and contrary to the
public interest and, where applicable, that good cause exists for
making these SIAPs effective in less than 30 days.

Conclusion

    The FAA has determined that this regulation only involves an
established

body of technical regulations for which frequent and routine amendments
are necessary to keep them operationally current. It, therefore--(1) Is
not a ``significant regulatory action'' under Executive Order 12866;
(2) is not a ``significant rule'' under DOT regulatory Policies and
Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant
preparation of a regulatory evaluation as the anticipated impact is so
minimal. For the same reason, the FAA certifies that this amendment
will not have a significant economic impact on a substantial number of
small entities under the criteria of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 97

    Air traffic control, Airports, Incorporation by reference, and
Navigation (air).

    Issued in Washington, DC, on October 28, 2011.
John McGraw,
Deputy Director, Flight Standards Service.

Adoption of the Amendment

    Accordingly, pursuant to the authority delegated to me, Title 14,
Code of Federal regulations, part 97, 14 CFR part 97, is amended by
amending Standard Instrument Approach Procedures, effective at 0901 UTC
on the dates specified, as follows:

PART 97--STANDARD INSTRUMENT APPROACH PROCEDURES

0
1. The authority citation for part 97 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40103, 40106, 40113, 40114, 40120,
44502, 44514, 44701, 44719, 44721-44722.

Sec. Sec.  97.23, 97.25, 97.27, 97.29, 97.31, 97.33, 97.35  [Amended]

0
2. Part 97 is amended to read as follows:
    By amending: Sec.  97.23 VOR, VOR/DME, VOR or TACAN, and VOR/DME or
TACAN; Sec.  97.25 LOC, LOC/DME, LDA, LDA/DME, SDF, SDF/DME; Sec.
97.27 NDB, NDB/DME; Sec.  97.29 ILS, ILS/DME, MLS, MLS/DME, MLS/RNAV;
Sec.  97.31 RADAR SIAPs; Sec.  97.33 RNAV SIAPs; and Sec.  97.35 COPTER
SIAPs, Identified as follows:

* * * Effective Upon Publication

--------------------------------------------------------------------------------------------------------------------------------------------------------
      AIRAC date           State              City                 Airport          FDC No.      FDC date                      Subject
--------------------------------------------------------------------------------------------------------------------------------------------------------
15-Dec-11............  UT             Brigham City........  Brigham City........       1/0187      10/4/11  Takeoff Minimums and Obstacle DP, Amdt 6
15-Dec-11............  CQ             Agana...............  Guam Intl...........       1/0544      10/4/11  RNAV (RNP) Z RWY 24R, Orig-B
15-Dec-11............  CQ             Agana...............  Guam Intl...........       1/0545      10/4/11  RNAV (RNP) Z RWY 6L, Orig-C
15-Dec-11............  CQ             Agana...............  Guam Intl...........       1/0546      10/4/11  RNAV (RNP) Z RWY 6R, Orig-B
15-Dec-11............  CQ             Agana...............  Guam Intl...........       1/0547      10/4/11  RNAV (RNP) Z RWY 24L, Orig-D
15-Dec-11............  CA             Oakland.............  Metropolitan Oakland       1/0581     10/24/11  RNAV (RNP) Z RWY 27R, Orig
                                                             Intl.
15-Dec-11............  CA             Oakland.............  Metropolitan Oakland       1/0582     10/24/11  RNAV (RNP) Z RWY 29, Orig
                                                             Intl.
15-Dec-11............  CA             Oakland.............  Metropolitan Oakland       1/0583     10/24/11  RNAV (RNP) Z RWY 27L, Orig
                                                             Intl.
15-Dec-11............  FL             Tallahassee.........  Tallahassee Rgnl....       1/1455      9/26/11  ILS OR LOC/DME RWY 36, Amdt 24A
15-Dec-11............  FL             Tallahassee.........  Tallahassee Rgnl....       1/1457      9/26/11  RNAV (GPS) RWY 9, Amdt 1
15-Dec-11............  FL             Tallahassee.........  Tallahassee Rgnl....       1/1458      9/26/11  RNAV (GPS) RWY 36, Orig
15-Dec-11............  MI             Benton Harbor.......  Southwest Michigan         1/2285      9/30/11  NDB RWY 28, Amdt 10
                                                             Rgnl.
15-Dec-11............  MI             Benton Harbor.......  Southwest Michigan         1/2286      9/30/11  VOR RWY 10, Amdt 10
                                                             Rgnl.
15-Dec-11............  MI             Benton Harbor.......  Southwest Michigan         1/2287      9/30/11  VOR RWY 28, Amdt 19
                                                             Rgnl.
15-Dec-11............  CQ             Agana...............  Guam Intl...........       1/3566      9/30/11  VOR A, Orig-D
15-Dec-11............  CQ             Agana...............  Guam Intl...........       1/3567      9/30/11  VOR/DME OR TACAN RWY 6L, Orig-D
15-Dec-11............  WI             Sheboygan...........  Sheboygan County           1/5783     10/24/11  VOR RWY 21, Amdt 8A
                                                             Memorial.
15-Dec-11............  WI             Green Bay...........  Austin Straubel Intl       1/6812     10/24/11  RNAV (GPS) RWY 18, Amdt 1
15-Dec-11............  WI             Hayward.............  Sawyer County.......       1/8001     10/24/11  Takeoff Minimums and Obstacle DP, Amdt 4
15-Dec-11............  FL             Brooksville.........  Hernando County.....       1/8352     10/24/11  RNAV (GPS) RWY 3, Amdt 1
15-Dec-11............  FL             Brooksville.........  Hernando County.....       1/8353     10/24/11  RNAV (GPS) RWY 21, Amdt 1
15-Dec-11............  FL             Brooksville.........  Hernando County.....       1/8354     10/24/11  ILS OR LOC RWY 9, Amdt 2B
15-Dec-11............  FL             Brooksville.........  Hernando County.....       1/8355     10/24/11  RNAV (GPS) RWY 9, Amdt 1
15-Dec-11............  GA             Canon...............  Franklin County.....       1/8356     10/24/11  RNAV (GPS) RWY 8, Orig
15-Dec-11............  FL             Brooksville.........  Hernando County.....       1/8357     10/24/11  RNAV (GPS) RWY 27, Amdt 1
15-Dec-11............  GA             Canon...............  Franklin County.....       1/8358     10/24/11  RNAV (GPS) RWY 26, Orig
15-Dec- 11...........  PA             Palmyra.............  Reigle Field........       1/8359     10/24/11  Takeoff Minimums and Obstacle DP, Orig
--------------------------------------------------------------------------------------------------------------------------------------------------------

[FR Doc. 2011-28932 Filed 11-9-11; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 88, Number 244 (Thursday, December 21, 2023)]
[Notices]
[Page 88488]
[FR Doc No: 2023-28008]

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

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2010-0043]

Northern Indiana Commuter Transportation District's Request To
Amend Its Positive Train Control Safety Plan and Positive Train Control
System

AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).

ACTION: Notice of availability and request for comments.

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

SUMMARY: This document provides the public with notice that, on
December 12, 2023, the Northern Indiana Commuter Transportation
District (NICD) submitted a request for amendment (RFA) to its FRA-
approved Positive Train Control Safety Plan (PTCSP). As this RFA
requests FRA's approval of NICD's proposed material modifications to
its FRA-certified positive train control (PTC) system, FRA is
publishing this notice and inviting public comment on the railroad's
RFA to its PTCSP.

DATES: FRA will consider comments received by January 10, 2024. FRA may
consider comments received after that date to the extent practicable
and without delaying implementation of valuable or necessary
modifications to a PTC system.

ADDRESSES:
    Comments: Comments may be submitted by going to https://www.regulations.gov and following the online instructions for
submitting comments.
    Instructions: All submissions must include the agency name and the
applicable docket number. The relevant PTC docket number for this host
railroad is Docket No. FRA-2010-0043. For convenience, all active PTC
dockets are hyperlinked on FRA's website at https://railroads.dot.gov/research-development/program-areas/train-control/ptc/railroads-ptc-dockets. All comments received will be posted without change to https://www.regulations.gov; this includes any personal information.

FOR FURTHER INFORMATION CONTACT: Gabe Neal, Staff Director, Signal,
Train Control, and Crossings Division, telephone:<PHONE_NUMBER>, email:
[email protected].

SUPPLEMENTARY INFORMATION: In general, title 49 United States Code
(U.S.C.) section 20157(h) requires FRA to certify that a host
railroad's PTC system complies with title 49 Code of Federal
Regulations (CFR) part 236, subpart I, before the technology may be
operated in revenue service. Before making certain changes to an FRA-
certified PTC system or the associated FRA-approved PTCSP, a host
railroad must submit, and obtain FRA's approval of, an RFA to its PTCSP
under 49 CFR 236.1021.
    Under 49 CFR 236.1021(e), FRA's regulations provide that FRA will
publish a notice in the Federal Register and invite public comment in
accordance with 49 CFR part 211, if an RFA includes a request for
approval of a material modification of a signal or train control
system. Accordingly, this notice informs the public that, on December
12, 2023, NICD submitted an RFA to its PTCSP for its Interoperable
Electronic Train Management System, which seeks FRA's approval to
implement the Railcomm Back Office System and its new Computer Aided
Dispatching program. That RFA is available in Docket No. FRA-2010-0043.
    Interested parties are invited to comment on NICD's RFA to its
PTCSP by submitting written comments or data. During FRA's review of
this railroad's RFA, FRA will consider any comments or data submitted
within the timeline specified in this notice and to the extent
practicable, without delaying implementation of valuable or necessary
modifications to a PTC system. See 49 CFR 236.1021; see also 49 CFR
236.1011(e). Under 49 CFR 236.1021, FRA maintains the authority to
approve, approve with conditions, or deny a railroad's RFA to its PTCSP
at FRA's sole discretion.

Privacy Act Notice

    In accordance with 49 CFR 211.3, FRA solicits comments from the
public to better inform its decisions. DOT posts these comments,
without edit, including any personal information the commenter
provides, to https://www.regulations.gov, as described in the system of
records notice (DOT/ALL-14 FDMS), which can be reviewed at https://www.transportation.gov/privacy. See https://www.regulations.gov/privacy-notice for the privacy notice of regulations.gov. To facilitate
comment tracking, we encourage commenters to provide their name, or the
name of their organization; however, submission of names is completely
optional. If you wish to provide comments containing proprietary or
confidential information, please contact FRA for alternate submission
instructions.

    Issued in Washington, DC.
Carolyn R. Hayward-Williams,
Director, Office of Railroad Systems and Technology.
[FR Doc. 2023-28008 Filed 12-20-23; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register Volume 78, Number 21 (Thursday, January 31, 2013)]
[Notices]
[Page 6825]
[FR Doc No: 2013-02084]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2012-N-1205]

Accessible Medical Device Labeling in a Standard Content and
Format Public Workshop; Request for Comments; Correction

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of public workshop; request for comments; correction.

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

SUMMARY: The Food and Drug Administration (FDA) is correcting a
document that appeared in the Federal Register of January 7, 2013 (78
FR 951). The document announced a public workshop entitled ``Accessible
Standardized Medical Device Labeling.'' The document was published with
the incorrect date for submission of presentation materials. This
document corrects that error.

FOR FURTHER INFORMATION CONTACT: Mary Weick-Brady, Center for Devices
and Radiological Health, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 66, rm. 5426,<PHONE_NUMBER>, FAX:<PHONE_NUMBER>,
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Correction

    In the Federal Register of January 7, 2013, in FR Doc. 951-953, on
page 952, the following correction is made:
    Under Requests for Oral Presentations, on page 952, in the first
column, the sentences that read ``All requests to make oral
presentations must be received by the close of registration on April 5,
2013, at 5 p.m. If selected for presentation, any presentation
materials must be emailed to Mary Weick-Brady (see FOR FURTHER
INFORMATION CONTACT) no later than March 29, 2013'' is changed to read
``All requests to make oral presentations must be received by the close
of registration on April 5, 2013, at 5 p.m. If selected for
presentation, any presentation materials must be emailed to Mary Weick-
Brady (see FOR FURTHER INFORMATION CONTACT) no later than April 19,
2013.''

    Dated: January 25, 2013.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2013-02084 Filed 1-30-13; 8:45 am]
BILLING CODE 4160-01-P


[Federal Register Volume 81, Number 223 (Friday, November 18, 2016)]
[Notices]
[Pages 81772-81774]
[FR Doc No: 2016-27851]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-N-0804]

Agency Information Collection Activities; Proposed Collection;
Comment Request; Premarket Notification

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is announcing an
opportunity for public comment on the

proposed collection of certain information by the Agency. Under the
Paperwork Reduction Act of 1995 (the PRA), Federal Agencies are
required to publish notice in the Federal Register concerning each
proposed collection of information, including each proposed extension
of an existing collection of information, and to allow 60 days for
public comment in response to the notice. This notice solicits comments
on medical device premarket notification.

DATES: Submit either electronic or written comments on the collection
of information by January 17, 2017.

ADDRESSES: You may submit comments as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2013-N-0804 for ``Agency Information Collection Activities;
Proposed Collection; Comment Request; Premarket Notification.''
Received comments will be placed in the docket and, except for those
submitted as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Division of Dockets Management between 9
a.m. and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: FDA PRA Staff, Office of Operations,
Food and Drug Administration, Three White Flint North, 10A63, 11601
Landsdown St., North Bethesda, MD 20852<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal
Agencies must obtain approval from the Office of Management and Budget
(OMB) for each collection of information they conduct or sponsor.
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes Agency requests or requirements that members of
the public submit reports, keep records, or provide information to a
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A))
requires Federal Agencies to provide a 60-day notice in the Federal
Register concerning each proposed collection of information, including
each proposed extension of an existing collection of information,
before submitting the collection to OMB for approval. To comply with
this requirement, FDA is publishing notice of the proposed collection
of information set forth in this document.
    With respect to the following collection of information, FDA
invites comments on these topics: (1) Whether the proposed collection
of information is necessary for the proper performance of FDA's
functions, including whether the information will have practical
utility; (2) the accuracy of FDA's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate, and other forms of information technology.

Premarket Notification--21 CFR Part 807, Subpart E OMB Control Number
0910-0120--Extension

    Section 510(k) of the Federal Food, Drug, and Cosmetic Act (the
FD&C Act) (21 U.S.C. 360(k)) and the implementing regulation under part
807 (21 CFR part 807, subpart E) requires a person who intends to
market a medical device to submit a premarket notification submission
to FDA at least 90 days before proposing to begin the introduction, or
delivery for introduction into interstate commerce, for commercial
distribution of a device intended for human use. Based on the
information provided in the notification, FDA must determine whether
the new device is substantially equivalent to a legally marketed
device, as defined in Sec.  807.92(a)(3) (21 CFR 807.92(a)(3)). If the
device is determined to be not substantially equivalent to a legally
marketed device, it must have an approved premarket approval
application (PMA), product development protocol, humanitarian

device exemption (HDE), petition for Evaluation of Automatic Class III
Designation (de novo), or be reclassified into class I or class II
before being marketed. FDA makes the final decision of whether a device
is substantially equivalent or not equivalent.
    Section 807.81 states when a premarket notification is required. A
premarket notification is required to be submitted by a person who is:
(1) Introducing a device to the market for the first time; (2)
introducing a device into commercial distribution for the first time by
a person who is required to register; and (3) introducing or
reintroducing a device which is significantly changed or modified in
design, components, method of manufacturer, or the intended use that
could affect the safety and effectiveness of the device.
    Form FDA 3514, a summary cover sheet form, assists respondents in
categorizing administrative 510(k) information for submission to FDA.
This form also assists respondents in categorizing information for
other FDA medical device programs such as PMAs, investigational device
exemptions, and HDEs. Under Sec.  807.87(h), each 510(k) submitter must
include in the 510(k) either a summary of the information in the 510(k)
as required by Sec.  807.92 (510(k) summary) or a statement certifying
that the submitter will make available upon request the information in
the 510(k) with certain exceptions as per Sec.  807.93 (510(k)
statement). If the 510(k) submitter includes a 510(k) statement in the
510(k) submission, Sec.  807.93 requires that the official
correspondent of the firm make available within 30 days of a request
all information included in the submitted premarket notification on
safety and effectiveness. This information will be provided to any
person within 30 days of a request if the device described in the
510(k) submission is determined to be substantially equivalent. The
information provided will be a duplicate of the 510(k) submission
including any safety and effectiveness information, but excluding all
patient identifiers and trade secret and commercial confidential
information.
    Section 204 of the Food and Drug Administration Modernization Act
(FDAMA) (Pub. L. 105-115) amended section 514 of the FD&C Act (21
U.S.C. 360d). Amended section 514 allows FDA to recognize consensus
standards developed by international and national organizations for use
in satisfying portions of device premarket review submissions including
premarket notifications or other requirements. FDA has published and
updated the list of recognized standards regularly since enactment of
FDAMA and has allowed 510(k) submitters to certify conformance to
recognized standards to meet the requirements of Sec.  807.87. Form FDA
3654, the 510(k) Standards Data Form, standardizes the format for
submitting information on consensus standards that a 510(k) submitter
chooses to use as a portion of their premarket notification submission
(Form FDA 3654 is not for declarations of conformance to a recognized
standard). FDA believes that use of this form will simplify the 510(k)
preparation and review process for 510(k).
    Under Sec.  807.90, submitters may request information on their
510(k) review status 90 days after the initial login date of the
510(k). Thereafter, the submitter may request status reports every 30
days following the initial status request. To obtain a 510(k) status
report, the submitter should complete the status request form, Form FDA
3541, and fax it to the Center for Devices and Radiological Health
office identified on the form.
    FDA estimates the burden of this collection of information as
follows:

                                                      Table 1--Estimated Annual Reporting Burden\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             Number of
Activity and 21 CFR Part/Section         Form No.            Number of     responses per   Total annual    Average  burden per  response   Total  hours
                                                            respondents     respondent       responses
--------------------------------------------------------------------------------------------------------------------------------------------------------
510(k) submission (807 subpart    ......................           3,900               1           3,900  79............................         308,100
 E).
Summary cover sheet (807.87)....  FDA 3514..............           1,956               1           1,956  0.5 (30 minutes)..............             978
Status request (807.90(a)(3))...  FDA 3541..............             218               1             218  0.25 (15 minutes).............              55
Standards (807.87(d) and (f))...  FDA 3654..............           2,700               1           2,700  10............................          27,000
510(k) statement (807.93).......  ......................             225              10           2,250  10............................          22,500
                                 -----------------------------------------------------------------------------------------------------------------------
    Total.......................  ......................  ..............  ..............  ..............  ..............................         358,633
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

     Dated: November 15, 2016.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2016-27851 Filed 11-17-16; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 86, Number 114 (Wednesday, June 16, 2021)]
[Notices]
[Page 32031]
[FR Doc No: 2021-12699]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

    Docket Numbers: RP21-893-000.
    Applicants: Enable Mississippi River Transmission, LLC.
    Description: Sec.  4(d) Rate Filing: Negotiated Rate Filing--City
of Red Bud 6.9.2021 to be effective 6/9/2021.
    Filed Date: 6/9/21.
    Accession Number: 20210609-5055.
    Comments Due: 5 p.m. ET 6/21/21.

    Docket Numbers: RP21-894-000.
    Applicants: EQT Energy, LLC, Alta Energy Marketing, LLC.
    Description: Joint Petition for Limited Waiver of Capacity Release
Regulations, et al. of EQT Energy, LLC, et al.
    Filed Date: 6/9/21.
    Accession Number: 20210609-5174.
    Comments Due: 5 p.m. ET 6/16/21.

    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: June 10, 2021.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2021-12699 Filed 6-15-21; 8:45 am]
BILLING CODE 6717-01-P