[Federal Register Volume 79, Number 81 (Monday, April 28, 2014)]
[Notices]
[Pages 23398-23400]
[FR Doc No: 2014-09524]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-71986; File No. SR-NYSE-2014-20]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Amending Rules 9268, 9559, and 9620 To Conform the Exchange's Rules to
Changes Recently Adopted by the Financial Industry Regulatory
Authority, Inc.

April 22, 2014.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on April 11, 2014, New York Stock Exchange LLC (``NYSE'' or
the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been prepared by the self-regulatory
organization. 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\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Rules 9268, 9559, and 9620 to
conform the Exchange's rules to changes recently adopted by the
Financial Industry Regulatory Authority, Inc. (``FINRA''). The text of
the proposed rule change is available on the Exchange's Web site at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization
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 those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The Exchange proposes to amend Rules 9268, 9559, and 9620 to
conform the Exchange's rules to changes recently adopted by FINRA.
Background
    On July 30, 2007, the National Association of Securities Dealers,
Inc. (``NASD''), NYSE, and NYSE Regulation, Inc. (``NYSER'')
consolidated their member firm regulation operations into a combined
organization, FINRA, and entered into a plan to allocate to FINRA
regulatory responsibility for common rules and common members (``17d-2
Agreement'').\4\ In 2007, the parties also entered into a Regulatory
Services Agreement (``RSA''), whereby FINRA was retained to perform
certain regulatory services on behalf of NYSER for non-common rules. On
June 14, 2010, the Exchange, NYSER and FINRA amended the RSA and
retained FINRA to perform the market surveillance and enforcement
functions that had been performed by NYSER up to that point.\5\
Accordingly, since June 14, 2010, FINRA has been performing all NYSE
enforcement-related regulatory services on NYSER's behalf, including
disciplinary proceedings relating to NYSE-only rules and against dual
members and non-FINRA members. To facilitate FINRA's performance of
these enforcement functions under the RSA and to further harmonize the
rules of NYSE with those of FINRA, NYSE adopted new rules that are,
with certain exceptions, substantially the same as the text of the
FINRA Rule 8000 Series and Rule 9000 Series, which set forth rules for
conducting investigations and enforcement actions.\6\ The new rules
were implemented on July 1, 2013.\7\
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    \4\ See Securities Exchange Act Release No. 56148 (July 26,
2007), 72 FR 42146 (August 1, 2007) (File No. 4-544) (Notice of
Filing and Order Approving and Declaring Effective a Plan for the
Allocation of Regulatory Responsibilities). The 17d-2 Agreement was
entered into in accordance with the requirements of Rule 17d-2 of
the Securities and Exchange Commission (``SEC'' or ``Commission''),
which permits self-regulatory organizations (``SROs'') to allocate
regulatory responsibilities with respect to common members and
common rules. See 17 CFR 240.17d-2.
    \5\ See Securities Exchange Act Release No. 62355 (June 22,
2010), 75 FR 36729 (June 28, 2010) (SR-NYSE-2010-46).
    \6\ See Securities Exchange Act Release Nos. 68678 (January 16,
2013), 78 FR 5213 (January 24, 2013) (SR-NYSE-2013-02) (``Proposing
Release''), 69045 (March 5, 2013), 78 FR 15394 (March 11, 2013) (SR-
NYSE-2013-02), and 69963 (July 10, 2013), 78 FR 42573 (July 16,
2013) (SR-NYSE-2013-49).
    \7\ See NYSE Information Memorandum 13-8.
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Conforming Amendments
    FINRA recently amended FINRA Rules 9268, 9559, and 9620, among
other rules, effective December 16, 2013.\8\ The Exchange proposes to
amend the text of Rules 9268, 9559, and 9620 to conform them to FINRA
Rules 9268, 9559, and 9620.
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    \8\ See Securities Exchange Act Release No. 69825 (June 21,
2013), 78 FR 38771 (June 27, 2013) (SR-FINRA-2013-018), and FINRA
Regulatory Notice 13-27. FINRA amended FINRA Rule 8313, which
governs the release of disciplinary and other information by FINRA
to the public, and made other conforming changes. The Exchange did
not adopt the text of FINRA Rule 8313; therefore, it is not
necessary for the Exchange to adopt all of the same conforming
changes.
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    The Exchange proposes to amend Rule 9268, which addresses hearing
panel decisions, including their content and to whom they are
disseminated, to add a new paragraph (f). Proposed Rule 9268(f) would
provide that unless otherwise provided in the majority decision issued
under Rule 9268(a): (1) A sanction (other than a bar or an expulsion)
specified in a decision constituting final disciplinary action of the
Exchange for purposes of Exchange Act Rule 19d-1(c)(1) shall become
effective on a date to be determined by the Exchange; and (2) a bar or
an expulsion specified in a decision shall become effective immediately
upon the decision becoming the final disciplinary action of the
Exchange for purposes of Exchange Act Rule 19d-1(c)(1).\9\ Under the
current rule, all sanctions, including bars and expulsions, become
effective on a date to be determined by the Exchange.
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    \9\ The proposed rule change also would make conforming
amendments to Rule 9268(b)(6).
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    As part of its changes to Rule 8313, FINRA deleted the ``Notice to
Membership'' provisions in FINRA Rules 9552-9559. The Exchange did not
include such provisions in its Rules 9552-9559, so no such deletions
are necessary; however, the Exchange proposes to renumber Rule 9559(s)
as Rule 9559(r), which is consistent with the FINRA amendments.
    Lastly, the Exchange would make conforming amendments to Rule 9620,
which governs exemption decisions issued under the Rule 9600
Series.\10\

Current Rule 9620 provides that after a decision is served on the
Applicant, the application and decision shall be publicly available
unless Exchange staff determines that the Applicant has shown good
cause for treating the application or decision as confidential in whole
or in part. The Exchange proposes to amend Rule 9620 to provide that
after a decision is served on the Applicant, the application and
decision may be publicly available. The proposed rule change
corresponds to the conforming amendments in FINRA Rule 9620.\11\
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    \10\ FINRA's position is that exemption decisions and notices
under the Rule 9600 Series, which the Exchange adopted, generally
are not disciplinary in nature. See Securities Exchange Act Release
No. 69825 (June 21, 2013), 78 FR 38771 (June 27, 2013) (SR-FINRA-
2013-018).
    \11\ The Exchange has not entertained an application for
exemptive relief pursuant to Rule 9610 since adopting the Rule in
2013 and has therefore neither published an application or decision
nor determined that an application or decision should be withheld as
confidential in whole or in part pursuant to current Rule 9620.
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2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\12\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\13\ in particular, because it
is designed to promote just and equitable principles of trade and to
remove impediments to and perfect the mechanism of a free and open
market and a national market system. In addition, the Exchange believes
that the proposed rule change furthers the objectives of Section
6(b)(7) of the Act,\14\ in particular, in that it provides fair
procedures for the disciplining of members \15\ and persons associated
with members, the denial of membership to any person seeking membership
therein, the barring of any person from becoming associated with a
member thereof, and the prohibition or limitation by the Exchange of
any person with respect to access to services offered by the Exchange
or a member thereof.
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    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(5).
    \14\ 15 U.S.C. 78f(b)(7).
    \15\ The Exchange's equivalent to the term ``member'' in this
context is ``member organization.''
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    The proposed rule change would provide greater harmonization
between Exchange and FINRA rules of similar purpose, resulting in
greater uniformity in rules and less burdensome and more efficient
regulatory compliance. The proposed rule text is substantially the same
as FINRA's rule text, which already has been approved by the
Commission.\16\ As such, the proposed rule change would foster
cooperation and coordination with persons engaged in facilitating
transactions in securities and would remove impediments to and perfect
the mechanism of a free and open market and a national market system.
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    \16\ See supra note 8.
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed rule change is
not intended to address competitive issues, but rather it is designed
to provide greater harmonization between Exchange and FINRA rules of
similar purpose, resulting in less burdensome and more efficient
regulatory compliance for common members and facilitating FINRA's
performance of its regulatory functions under the RSA.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \17\ and Rule 19b-4(f)(6) thereunder.\18\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6)(iii) thereunder.\19\
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    \17\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \18\ 17 CFR 240.19b-4(f)(6).
    \19\ 17 CFR 240.19b-4(f)(6)(iii). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission.
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    A proposed rule change filed under Rule 19b-4(f)(6) \20\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\21\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative upon filing. The Commission believes that waiving
the 30-day operative delay is consistent with the protection of
investors and the public interest, as it will result in greater
uniformity between Exchange and FINRA rules of similar purpose, and
facilitate FINRA's performance of its regulatory functions under the
RSA. For this reason, the Commission designates the proposed rule
change to be operative on filing.\22\
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    \20\ 17 CFR 240.19b-4(f)(6).
    \21\ 17 CFR 240.19b-4(f)(6)(iii).
    \22\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \23\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \23\ 15 U.S.C. 78s(b)(2)(B).
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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 email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2014-20 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2014-20. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's

Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the
submission, all subsequent amendments, all written statements with
respect to the proposed rule change that are filed with the Commission,
and all written communications relating to the proposed rule change
between the Commission and any person, other than those that may be
withheld from the public in accordance with the provisions of 5 U.S.C.
552, will be available for Web site viewing and printing in the
Commission's Public Reference Room, 100 F Street NE., Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of NYSE. 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-NYSE-2014-20, and should be submitted on
or before  May 19, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
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    \24\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-09524 Filed 4-25-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: April 29, 2010 (Volume 75, Number 82)]
[Notices]
[Page 22598-22599]
[DOCID:fr29ap10-75]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2010-N-0055]

Agency Information Collection Activities; Submission for Office
and Management and Budget Review; Comment Request; Guidance for
Industry on How to Submit a Protocol Without Data in Electronic Format
to the Center for Veterinary Medicine

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing that a
proposed collection of information has been submitted to the Office of
Management and Budget (OMB) for review and clearance under the
Paperwork Reduction Act of 1995.

DATES: Fax written comments on the collection of information by June 1,
2010.

ADDRESSES:  To ensure that comments on the information collection are
received, OMB recommends that written comments be faxed to the Office
of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer,
FAX:<PHONE_NUMBER>, or e-mailed to<EMAIL_ADDRESS>All
comments should be identified with the OMB control number 0910-0524.
Also include the FDA docket number found in brackets in the heading of
this document.

FOR FURTHER INFORMATION CONTACT: Denver Presley, Jr., Office of
Information

Management, Food and Drug Administration, 1350 Piccard Dr., Rockville,
MD 20850,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has
submitted the following proposed collection of information to OMB for
review and clearance.

Guidance for Industry on How to Submit a Protocol Without Data in
Electronic Format to the Center for Veterinary Medicine--(OMB Control
Number 0910-0524)--Extension

    Protocols for nonclinical laboratory studies (safety studies), are
required under 21 CFR 58.120 for approval of new animal drugs.
Protocols for adequate and well-controlled effectiveness studies are
required under 21 CFR 514.117(b). Upon request by the animal drug
sponsors, the Center for Veterinary Medicine (CVM) reviews protocols
for safety and effectiveness studies for which CVM and the sponsor
consider this to be an essential part of the basis for making the
decision to approve or not approve an animal drug application or
supplemental animal drug application. The establishment of a process
for acceptance of the electronic submission of protocols for studies
conducted by sponsors in support of new animal drug applications, is
part of CVM's ongoing initiative to provide a method for paperless
submissions. Sponsors may submit protocols to CVM in paper format.
CVM's guidance on how to submit a study protocol permits sponsors to
submit a protocol without data as an e-mail attachment via the
Internet. Further, this guidance also electronically implements
provisions of the Government Paperwork Elimination Act (GPEA). The GPEA
required Federal agencies, by October 21, 2003, to provide the
following: (1) The option of the electronic maintenance, submission, or
disclosure of information, if practicable, as a substitution for paper
and (2) the use and acceptance of electronic signatures, where
applicable. FDA Form 3536 is used to facilitate the use of electronic
submission of protocols. This collection of information is for the
benefit of animal drug sponsors, giving them the flexibility to submit
data for review via the Internet.
    The likely respondents are sponsors of new animal drug
applications.
    FDA estimates the burden for this collection of information as
follows:

                                                      Table 1--Estimated Annual Reporting Burden\1\
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                                                        Number of        Annual Frequency       Total Annual          Hours per
          21 CFR Section/  Form No. 3536               Respondents         per Response         Responses \2\          Response          Total Hours
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514.117(b) & 58.120                                                40                  1.8                    72                 20                 14.4
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\1\ There are no capital or operating and maintenance costs associated with this collection of information.
\2\ Electronic submissions received between January 1, 2008, and December 31, 2008.

    The number of respondents in table 1 of this document is the number
of sponsors registered to make electronic submissions (40). The number
of total annual responses is based on a review of the actual number of
such submissions made between January 1, 2008, and December 31, 2008,
(72 x hours per response (.20) = 14.4 total hours)).

    Dated: April 26, 2010.
Leslie Kux,
Acting Assistant Commissioner for Policy.
[FR Doc. 2010-10023 Filed 4-28-10; 8:45 am]
BILLING CODE 4160-01-S


[Federal Register: November 20, 2007 (Volume 72, Number 223)]
[Rules and Regulations]
[Page 65224-65226]
[DOCID:fr20no07-5]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-0180; Directorate Identifier 2007-SW-37-AD;
Amendment 39-15265; AD 2007-19-53]
RIN 2120-AA64

Airworthiness Directives; Bell Helicopter Textron, Inc. Model
204B, 205A, 205A-1, 205B, 210, 212, 412, 412EP, and 412CF Helicopters

AGENCY: Federal Aviation Administration, DOT.

ACTION: Final rule; request for comments.

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SUMMARY: This document publishes in the Federal Register an amendment
adopting Airworthiness Directive (AD) 2007-19-53, which was sent
previously to all known U.S. owners and operators of the specified Bell
Helicopter Textron, Inc. (BHTI) model helicopters by individual
letters. This AD requires replacing each affected tail rotor blade
(blade) with an airworthy blade with a serial number not listed in the
applicability of this AD. This AD is prompted by three incidents in
which blade tip weights were slung from the blades during flight
causing significant vibration. The actions specified by this AD are
intended to prevent loss of a blade tip weight, loss of a blade, and
subsequent loss of control of the helicopter.

DATES: Effective December 5, 2007, to all persons except those persons
to whom it was made immediately effective by Emergency AD 2007-19-53,
issued on September 14, 2007, which contained the requirements of this
amendment.
    Comments for inclusion in the Rules Docket must be received on or
before January 22, 2008.

ADDRESSES: Use one of the following addresses to submit comments on
this AD:
     Federal eRulemaking Portal: Go to http://www.regulations.gov.
 Follow the instructions for submitting comments.

     Fax:<PHONE_NUMBER>.
     Mail: 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: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
    You may get the service information identified in this AD from Bell
Helicopter Textron Canada, 12,800 Rue de l'Avenir, Mirabel, Quebec
J7J1R4, telephone<PHONE_NUMBER> or<PHONE_NUMBER>, fax<PHONE_NUMBER>.

EXAMINING THE DOCKET: You may examine the docket that contains the AD,
any comments, and other information on the Internet at http://www.regulations.gov
, or in person at the Docket Operations office

between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The Docket Operations office (telephone<PHONE_NUMBER>) is
located in Room W12-140 on the ground floor of the West Building at the
street address stated in the ADDRESSES section. Comments will be
available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Michael Kohner, Aviation Safety
Engineer, FAA, Rotorcraft Directorate, Rotorcraft Certification Office,
Fort Worth, Texas 76193-0170, telephone<PHONE_NUMBER>, fax (817) 222-
5783.

SUPPLEMENTARY INFORMATION: On September 14, 2007, the FAA issued
Emergency AD 2007-19-53 for the specified model helicopters, which
requires replacing each affected part-numbered and serial-numbered
blade with an airworthy blade with a serial number not listed in the
applicability of this AD. That action was prompted by three incidents
in which blade tip weights were slung from the blades during flight
causing significant vibration. The failures have occurred on blades
being returned to service from Rotor Blades, Inc. (RBI), from as short
as 12 minutes since repair to as long as 400 hours time-in-service. An
investigation indicates that the tip weights were missing the adhesive
that should have been applied during the weight-and-balance process on
these blades. This condition, if not corrected, could result in loss of
a blade tip weight, loss of a blade, and subsequent loss of control of
the helicopter.
    BHTI has issued the following Alert Service Bulletins (ASB):
     No. 204-07-61 for BHTI Model 204 helicopters,
     No. 205-07-95 for BHTI Model 205 helicopters,
     No. 205B-07-46 for BHTI Model 205B helicopters,
     No. 212-07-125 for BHTI Model 212 helicopters, and
     No. 412-07-123 for BHTI Model 412 helicopters.

All the ASBs are dated September 11, 2007, and contain a letter from
RBI indicating certain blades processed by RBI may be missing the
adhesive applied to the tip weight screws during the weight and balance
process. Emergency AD 2007-19-53 had the Model 230 helicopters
incorrectly linked to ASB No. 412-07-123; that ASB is for Model 412
helicopters. We have made that correction in this AD and determined
that this change will neither increase the economic burden on any
operator nor increase the scope of the AD.
    Since the unsafe condition described is likely to exist or develop
on other specified BHTI model helicopters of these same type designs,
the FAA issued Emergency AD 2007-19-53 to prevent loss of a blade tip
weight, loss of a blade, and subsequent loss of control of the
helicopter. The AD requires replacing each affected blade with an
airworthy blade. The short compliance

time involved is required because the previously described critical
unsafe condition can adversely affect the controllability or structural
integrity of the helicopter. Therefore, replacing each affected blade
with an airworthy blade is required before further flight, and this AD
must be issued immediately.
    Since it was found that immediate corrective action was required,
notice and opportunity for prior public comment thereon were
impracticable and contrary to the public interest, and good cause
existed to make the AD effective immediately by individual letters
issued on September 14, 2007, to all known U.S. owners and operators of
the specified BHTI model helicopters. These conditions still exist, and
the AD is hereby published in the Federal Register as an amendment to
14 CFR 39.13 to make it effective to all persons.
    The FAA estimates that this AD will affect 1013 helicopters of U.S.
registry, and it will take about 2 hours to determine if a blade is
affected per helicopter at an average labor rate of $80 per work hour.
The ASB contains a warranty statement that owners or operators of Bell
helicopters who comply with the instructions in the ASB will be
eligible to return defective blades identified by serial number in the
compliance section to their nearest RBI facility for inspection and
repair at no cost. Based on these figures, we estimate the total cost
impact of the AD on U.S. operators to be $162,080, assuming all
shipping inspection and repair costs are paid by RBI or Bell.

Comments Invited

    This AD is a final rule that involves requirements that affect
flight safety and was not preceded by notice and an opportunity for
public comment; however, we invite you to submit any written data,
views, or arguments regarding this AD. Send your comments to an address
listed under ADDRESSES. Include ``Docket No. FAA-2007-0180; Directorate
Identifier 2007-SW-37-AD'' at the beginning of your comments. We
specifically invite comments on the overall regulatory, economic,
environmental, and energy aspects of the AD. We will consider all
comments received by the closing date and may amend the AD in light of
those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov
, including any personal information you provide. We

will also post a report summarizing each substantive verbal contact
with FAA personnel concerning this AD. Using the search function of the
docket web site, you can find and read the comments to any of our
dockets, including the name of the individual who sent the comment. You
may review the DOT's complete Privacy Act Statement in the Federal
Register published on April 11, 2000 (65 FR 19477-78).

Regulatory Findings

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

Authority for This Rulemaking

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

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Safety.

Adoption of the Amendment

0
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

0
2. Section 39.13 is amended by adding a new airworthiness directive to
read as follows:
2007-19-53 Bell Helicopter Textron, Inc.: Amendment 39-15265. Docket
No. FAA-2007-0180; Directorate Identifier 2007-SW-37-D.

    Applicability: Model 204B, 205A, 205A-1, 205B, 210, 212, 412,
412EP, and 412CF helicopters, with a tail rotor blade (blade),
having a part and serial number as listed in the following table,
installed, certificated in any category.

------------------------------------------------------------------------
             Part No.                            Serial No.
------------------------------------------------------------------------
204-011-702-015...................  AFS-12703, AFS-12893, AFS-23525, or
                                     AFS-23573.
204-011-702-121...................  A-22020.
212-010-750-105FM.................  A-10090, A-10836, A-11207, or A-
                                     11332.
212-010-750-113...................  A-14953, A15090, or CS-12702.
212-010-750-113FM.................  A-12240, A-12296, A-12640, A-12670,
                                     A-12789, A-13033, A-13096, A-13134,
                                     A-13199, A-13264, or A-13366.
212-010-750-133...................  A15602.
------------------------------------------------------------------------

    Compliance: Required as indicated, unless accomplished
previously.
    To prevent loss of the blade tip weight, loss of a blade, and
subsequent loss of control of the helicopter do the following:
    (a) Before further flight, replace any affected blade with an
airworthy blade with a serial number not listed in the applicability
section of this AD.

    (b) To request a different method of compliance or a different
compliance time for this AD, follow the procedures in 14 CFR 39.19.
Contact the Manager, Rotorcraft Certification Office, FAA, ATTN:
Michael Kohner, Aviation Safety Engineer, Fort Worth, Texas 76193-
0170, telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>, for information
about previously approved alternative methods of compliance.
    (c) Special flight permits will not be issued.
    (d) This amendment becomes effective on December 5, 2007, to all
persons except those persons to whom it was made immediately
effective by Emergency AD 2007-19-53, issued September 14, 2007,
which contained the requirements of this amendment.

    Issued in Fort Worth, Texas, on October 31, 2007.
David A. Downey,
Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. E7-22439 Filed 11-19-07; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 77, Number 64 (Tuesday, April 3, 2012)]
[Proposed Rules]
[Pages 19954-19957]
[FR Doc No: 2012-7962]

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

Coast Guard

33 CFR Part 100

[Docket No. USCG-2012-0197]
RIN 1625-AA08

Special Local Regulations for Marine Events, Swim Event, Lake
Gaston; Littleton, NC

AGENCY: Coast Guard, DHS.

ACTION: Notice of proposed rulemaking.

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

SUMMARY: The Coast Guard proposes establishment of Special Local
Regulations for ``The Crossing'' swim event, to be held on the waters
of Lake Gaston, adjacent to the Eaton Ferry Bridge in Littleton, North
Carolina. This Special Local Regulation is necessary to provide for the
safety of life on navigable waters during the event. This action is
intended to restrict vessel traffic on Lake Gaston under the Eaton
Ferry Bridge and within 100 yards west of the bridge during the swim
event.

DATES: Comments and related material must be received by the Coast
Guard on or before May 3, 2012.

ADDRESSES: You may submit comments identified by docket number USCG-
2012-0197 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax:<PHONE_NUMBER>.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed
rule, call or email BOSN3 Joseph M. Edge, Coast Guard Sector North
Carolina, Coast Guard; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing or submitting
material to the docket, call Renee V. Wright, Program Manager, Docket
Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    We encourage you to participate in this rulemaking by submitting
comments and related materials. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided.

Submitting Comments

    If you submit a comment, please include the docket number for this
rulemaking (USCG-2012-0197), 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 (via http://www.regulations.gov) or by fax, mail, or hand
delivery, but please use only one of these means. If you submit a
comment online via www.regulations.gov, it will be considered received
by the Coast Guard when you successfully transmit the comment. If you
fax, hand deliver, or mail your comment, it will be considered as
having been received by the Coast Guard when it is received at the
Docket Management Facility. We recommend that you include your name and
a mailing address, an email address, or a telephone number in the body
of your document so that we can contact you if we have questions
regarding your submission.
    To submit your comment online, go to http://www.regulations.gov,
type the docket number USCG-2012-0197 in the ``SEARCH'' box and click
``SEARCH.'' Click on ``Submit a Comment'' on the line associated with
this rulemaking. If you submit your comments by mail or hand delivery,
submit them in an unbound format, no larger than 8\1/2\ by 11 inches,
suitable for copying and electronic filing. If you submit comments by
mail and would like to know that they reached the Facility, please
enclose a stamped, self-addressed postcard or envelope. We will
consider all comments and material received during the comment period
and may change the rule 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,
type the docket number (USCG-20120-0197 in the ``SEARCH'' box and click
``SEARCH.'' Click on Open Docket Folder on the line associated with
this rulemaking.
    You may also visit the Docket Management Facility in Room W12-140
on the ground floor of the Department of Transportation West Building,
1200 New Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. We have an
agreement with the Department of Transportation to use the Docket
Management Facility.

Privacy Act

    Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008, issue of the
Federal Register (73 FR 3316).

Public Meeting

    We do not now plan to hold a public meeting. But you may submit a
request for one using one of the four methods specified under
ADDRESSES. Please explain why you believe a public meeting would be
beneficial. If we determine that one would aid this rulemaking, we will
hold one at a time and place announced by a later notice in the Federal
Register.

Basis and Purpose

    On August 11, 2012 from 7:30 a.m. to 12 p.m., the Organization to
Support the Arts, Infrastructure, and Learning on Lake Gaston, also
known as O'SAIL, will sponsor ``The Crossing'' on the waters of Lake
Gaston, adjacent to Littleton, North Carolina. The swim event will
consist of approximately 350 swimmers entering Lake Gaston at the
Morning Star Marina on the south bank of Lake Gaston, west of the Eaton
Ferry Bridge, and swimming north along the western side of Eaton Ferry
Bridge to the Waterview Restaurant. A fleet of spectator vessels are
expected to gather near the event site to view the competition. To
provide for the safety of participants, spectators and other transiting
vessels, the Coast Guard will temporarily restrict vessel traffic in
the event area during this event.
    In an effort to enhance safety of event participants the channel in
the vicinity of Eaton Ferry Bridge will remain closed during the event
on August 11, 2012 from 7:30 a.m. to 12 p.m. The Coast Guard will
temporarily restrict access to this section of Lake Gaston during the
event.

Discussion of Proposed Rule

    The Coast Guard proposes to establish Special Local Regulations
that will restrict vessel movement on the specified waters of Lake
Gaston, Littleton, NC. During the Marine Event no vessel will be
allowed to transit the waterway unless the vessel operator receives
permission from the Patrol Commander.
    Special Local Regulations will encompass the waters of Lake Gaston
under the Eaton Ferry Bridge, latitude 36[deg]31'06'' North, longitude
077[deg]57'37'' West, and within 100 yards of the western side of Eaton
Ferry Bridge. All vessels are prohibited from transiting this section
of the waterway while the regulation is in effect. Entry into the
regulated area will not be permitted except as specifically authorized
by the Captain of the Port or a designated representative. To request
permission to transit the area, mariners may contact Coast Guard Sector
North Carolina at<PHONE_NUMBER>. The regulated area will be enforced
from 7:30 a.m. to 12 p.m. on August 11, 2012. This proposed restriction
of vessel movement and access to the waterway is for the protection and
safety of swimmers participating in the event.

Regulatory Analyses

    We developed this proposed rule after considering numerous statutes
and executive orders related to rulemaking. Below we summarize our
analyses based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
as supplemented by Executive Order 13563, Improving Regulation and
Regulatory Review, and does not require an assessment of potential
costs and benefits under section 6(a)(3) of Executive Order 12866 or
under section 1 of Executive Order 13563. The Office of Management and
Budget has not reviewed it under those Orders.
    Although this regulation will restrict access to the area, the
effect of this rule will not be significant because the regulated area
will be in effect for a limited time, from 7:30 a.m. to 12 p.m., on
August 11, 2012. The Coast Guard will provide advance notification via
maritime advisories so mariners can adjust their plans accordingly. The
regulated area will apply only to the section of Lake Gaston in the
immediate vicinity of Eaton Ferry Bridge. Coast Guard vessels enforcing
this regulated area can be contacted on marine band radio VHF-FM
channel 16 (156.8 MHz).

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this proposed rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed
rule would not have a significant economic impact on a substantial
number of small entities.
    This rule will affect the following entities, some of which may be
small entities: The owners or operators of recreational vessels
intending to transit the specified portion of Lake Gaston from 7:30
a.m. to 12 p.m. on August 11, 2012.
    This rule will not have a significant economic impact on a
substantial number of small entities for the following reasons. This
rule will only be in effect for 4 and one-half hours from 7:30 a.m. to
12 p.m. The regulated area applies only to the section of Lake Gaston
in the vicinity of Eaton Ferry Bridge. Vessel traffic may be allowed to
pass through the regulated area with the permission of the Coast Guard
Patrol Commander. In the case where the Patrol Commander authorizes
passage through the regulated area, vessels shall proceed at the
minimum speed necessary to maintain a safe course that minimizes wake
near the swim course. The Patrol Commander will allow non-participating
vessels to transit the event area once all swimmers are safely clear of
navigation channels and vessel traffic areas. Before the enforcement
period, we will issue maritime advisories so mariners can adjust their
plans accordingly.
    If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rule would have
a significant economic impact on it, please submit a comment (see
ADDRESSES) explaining why you think it qualifies and how and to what
degree this rule would economically affect it.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule so that they can better
evaluate its effects on them and participate in the rulemaking. If the
rule would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please contact CWO3 Joseph Edge, Waterways
Management Division Chief, Coast Guard Sector North Carolina, at (252)
247-4525. The Coast Guard will not retaliate against small entities
that question or complain about this proposed rule or any policy or
action of the Coast Guard.

Collection of Information

    This proposed rule would call for no new collection of information
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520.).

Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this proposed rule under that Order and
determined that this rule does not have implications for federalism.

Unfunded Mandates Reform Act

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

Taking of Private Property

    This proposed rule would not cause a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.

Civil Justice Reform

    This proposed rule meets applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this proposed rule under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and would not
create an environmental risk to health or risk to safety that might
disproportionately affect children.

Indian Tribal Governments

    This proposed rule does not have tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes.

Energy Effects

    We have analyzed this proposed rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
    This proposed rule does not use technical standards. Therefore, we
did not consider the use of voluntary consensus standards.

Environment

    We have analyzed this proposed rule under Department of Homeland
Security Management Directive 023-01 and Commandant Instruction
M16475.lD, which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and
have made a preliminary determination, under figure 2-1, paragraph
34(h) of the Instruction, that this action is one of a category of
actions that do not individually or cumulatively have a significant
effect on the human environment. A preliminary environmental analysis
checklist supporting this determination is available in the docket
where indicated under ADDRESSES. This proposed rule involves
implementation of regulations within 33 CFR Part 100 that apply to
organized marine events on the navigable waters of the United States
that may have potential for negative impact on the safety or other
interest of waterway users and shore side activities in the event area.
This special local regulation is necessary to provide for the safety of
the general public and event participants from potential hazards
associated with movement of vessels near the event area. We seek any
comments or information that may lead to the discovery of a significant
environmental impact from this proposed rule.

List of Subjects in 33 CFR Part 100

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

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

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

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

    Authority: 33 U.S.C. 1233.

    2. Add a temporary Sec.  100.35T05-0197 to read as follows:

Sec.  100.35T05-0197  Lake Gaston, Enterprise, NC.

    (a) Regulated area. The following location is a regulated area: All
waters of Lake Gaston directly under the Eaton Ferry Bridge, latitude
36[deg]31'06'' North, longitude 077[deg]57'37'' West, and within 100
yards of the western side of the bridge at Littleton, North Carolina.
All coordinates reference Datum NAD 1983.

    (b) Definitions: (1) Coast Guard Patrol Commander means a
commissioned, warrant, or petty officer of the U.S. Coast Guard who has
been designated by the Commander, Coast Guard Sector North Carolina.
    (2) Official Patrol means any vessel assigned or approved by
Commander, Coast Guard Sector North Carolina with a commissioned,
warrant, or petty officer on board and displaying a Coast Guard ensign.
    (3) Participant means all vessels participating in the ``The
Crossing'' swim event under the auspices of the Marine Event Permit
issued to the event sponsor and approved by Commander, Coast Guard
Sector North Carolina.
    (4) Spectator means all persons and vessels not registered with the
event sponsor as participants or official patrol.
    (c) Special local regulations: (1) The Coast Guard Patrol Commander
will control the movement of all vessels in the vicinity of the
regulated area. When hailed or signaled by an official patrol vessel, a
vessel approaching the regulated area shall immediately comply with the
directions given. Failure to do so may result in termination of voyage
and citation for failure to comply.
    (2) The Coast Guard Patrol Commander may terminate the event, or
the operation of any support vessel participating in the event, at any
time it is deemed necessary for the protection of life or property. The
Coast Guard may be assisted in the patrol and enforcement of the
regulated area by other Federal, State, and local agencies.
    (3) Vessel traffic, not involved with the event, may be allowed to
transit the regulated area with the permission of the Patrol Commander.
Vessels that desire passage through the regulated area shall contact
the Coast Guard Patrol Commander on VHF-FM marine band radio for
direction. Only participants and official patrol vessels are allowed to
enter the regulated area.
    (4) All Coast Guard vessels enforcing the regulated area can be
contacted on marine band radio VHF-FM channel 16 (156.8 MHz) and
channel 22 (157.1 MHz). The Coast Guard will issue marine information
broadcast on VHF-FM marine band radio announcing specific event date
and times.
    (d) Enforcement period: This section will be enforced from 7:30
a.m. to 12 p.m. on August 11, 2012.

    Dated: March 21, 2012.
A. Popiel,
Captain, U.S. Coast Guard, Captain of the Port North Carolina.
[FR Doc. 2012-7962 Filed 4-2-12; 8:45 am]
BILLING CODE 9110-04-P