[Federal Register Volume 77, Number 117 (Monday, June 18, 2012)]
[Proposed Rules]
[Pages 36220-36222]
[FR Doc No: 2012-14805]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0632; Directorate Identifier 2011-SW-044-AD]
RIN 2120-AA64

Airworthiness Directives; Eurocopter France Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: We propose to adopt a new airworthiness directive (AD) for all
Eurocopter France (Eurocopter) Model SA-365N, SA-365N1, AS-365N2, AS
365 N3, EC 155B, EC155B1, SA-365C, SA-365C1, SA-365C2, and SA-366G1
helicopters. This proposed AD is prompted by reports of corrosion on
the main gearbox (MGB) casing lower area between the two servo-control
anchoring fitting attachment ribs. An investigation determined that the
corrosion was associated with sealing compound on the lower part of the
fitting/casing attachment. The proposed actions are intended to detect
corrosion on the MGB casing, which could lead to a crack, failure of
the MGB, and subsequent loss of control of the helicopter.

DATES: We must receive comments on this proposed AD by August 17, 2012.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Docket: Go to http://www.regulations.gov. Follow the online instructions for sending your
comments electronically.
     Fax:<PHONE_NUMBER>.
     Mail: Send comments to the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
     Hand Delivery: Deliver to the ``Mail'' address between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    Examining the AD Docket: You may examine the AD docket 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 AD docket contains this proposed AD, the
economic evaluation, any comments received, and other information. The
street address for the Docket Operations Office (telephone 800-647-
5527) is in the ADDRESSES section. Comments will be available in the AD
docket shortly after receipt.
    For service information identified in this proposed AD, contact
American Eurocopter Corporation, 2701 Forum Drive, Grand Prairie, TX
75053-4005, telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>, or at http://www.eurocopter.com. You may review a copy of the referenced service
information at the FAA, Office of the Regional Counsel, Southwest
Region, 2601 Meacham Blvd., Room 663, Fort Worth, Texas 76137.

FOR FURTHER INFORMATION CONTACT: Rao Edupuganti, Aviation Safety
Engineer, Regulations and Policy Group, Rotorcraft Directorate, FAA,
2601 Meacham Blvd., Fort Worth, Texas 76137; telephone<PHONE_NUMBER>;
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to participate in this rulemaking by submitting
written comments, data, or views. We also invite comments relating to
the economic, environmental, energy, or federalism impacts that might
result from adopting the proposals in this document. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. To
ensure the docket does not contain duplicate comments, commenters
should send only one copy of written comments, or if comments are filed
electronically, commenters should submit only one time.
    We will file in the docket all comments that we receive, as well as
a report summarizing each substantive public contact with FAA personnel
concerning this proposed rulemaking. Before acting on this proposal, we
will consider all comments we receive on or before the closing date for
comments. We will consider comments filed after the comment period has
closed if it is possible to do so without incurring expense or delay.
We may change this proposal in light of the comments we receive.

Discussion

    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Union, has issued AD No.:
2011-0127, dated July 1, 2011 (AD No. 2011-0127), which supersedes
Directorate General for Civil Aviation (DGAC France) AD F-2008-04,
dated June 4, 2008, for the Eurocopter Model EC 155 B, EC 155 B1, SA
365 N, SA 365 N1, AS 365 N2, AS 365 N3, SA 366 G1, SA 365 C, SA 365 C1,
SA 365 C2, and SA 365 C3 helicopters with a MGB, all part numbers, that
was delivered before December 5, 2007, installed on helicopters
delivered before December 5, 2007, or overhauled or repaired before
September 30, 2008. EASA states that in 2008, it received two reports
of atmospheric corrosion on the MGB casing lower area of two
helicopters between the two servo-control anchoring fitting attachment
ribs. The investigation showed that the corrosion occurred in this area
due to the presence of ``PR sealing compound'' on the lower part of the
fitting/casing attachment. The ``PR sealing compound'' may have been
applied incorrectly on some helicopters due to a misinterpretation of
the Eurocopter documentation during installation. EASA states that this
condition, if not corrected, could lead to ``crack initiation and crack
growth in the affected area of the casing,'' which could cause this
area to fail and result in loss of control of the helicopter.

FAA's Determination

    These helicopters have been approved by the aviation authority of
France and are approved for operation in the United States. Pursuant to
our bilateral agreement with France, EASA, its technical
representative, has notified us of the unsafe condition described in
its AD. We are proposing this AD because we evaluated all known
relevant information and determined that an

unsafe condition is likely to exist or develop on other products of
these same type designs.

Related Service Information

    Eurocopter has issued one Emergency Alert Service Bulletin (EASB),
Revision 0, dated May 7, 2008, with five different numbers. EASB No.
63.00.17 is for the Model AS 365-series helicopters; EASB No. 63.00.12
is for the military Model AS 565-series helicopters, which are not FAA
type certificated; EASB No. 63A011 is for the Model EC 155-series
helicopters; EASB No. 65.03 is for the Model SA 366-series helicopters;
and EASB No. 65.47 is for the Model SA 365-series helicopters and the
non-FAA type certificated Model SA 360-series helicopters. The EASB
specifies inspecting for ``PR sealing compound'' on the lower parts of
the MGB anchoring fittings, removing any ``PR sealing compound,'' and
repairing any corrosion. EASA classified this EASB as mandatory and
issued AD No. 2011-0127 to ensure the continued airworthiness of these
helicopters.

Proposed AD Requirements

    This proposed AD would require the following actions:
     Within 30 hours time-in-service (TIS), inspecting the
lower parts of the anchoring fittings for sealing compound.
     If there is sealing compound on the lower parts of the
anchoring fittings, removing the sealing compound and inspecting the
anchoring fittings for corrosion.
     If there is corrosion, repairing the affected area. If
there is no corrosion, applying touch up protective treatment and
renewing any damaged sealing compound bead in the lower part of the
anchoring fitting.

Differences Between This Proposed AD and the EASA AD

    The EASA AD requires inspecting the anchoring fittings for ``PR
sealing compound'' within 15 flight hours, while this proposed AD would
require inspecting within 30 hours TIS. The EASA AD applies to the
Model SA-365C3, and this proposed AD does not include this model
because it does not have an FAA-issued type certificate. This AD would
not allow the compliance times provided in Appendix 1 of the EASA AD,
since it is desirable to accomplish any required repairs before further
flight.

Costs of Compliance

    We estimate that this proposed AD would affect 31 helicopters of
U.S. Registry. We estimate that operators may incur the following costs
in order to comply with this AD. Inspecting the anchor fittings for
sealing compound and corrosion will require about .5 work hour at an
average labor rate of $85 per hour, for a cost per helicopter of about
$43 and a cost to the entire U.S. fleet of $1,318. To remove any
sealing compound and repair any corrosion damage will require about 8
work hours at an average labor rate of $85 per hour, for a cost per
helicopter of $680.

Authority for This Rulemaking

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

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would 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, I certify this proposed 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);
    3. Will not affect intrastate aviation in Alaska to the extent that
it justifies making a regulatory distinction; and
    4. 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 proposed AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

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

The Proposed Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

    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]

    2. The FAA amends Sec.  39.13 by adding the following new
Airworthiness Directive (AD):

Eurocopter France Helicopters: Docket No. FAA-2012-0632; Directorate
Identifier 2011-SW-044-AD.

(a) Applicability

    This AD applies to Eurocopter Model SA-365N, SA-365N1, AS-365N2,
AS 365 N3, EC 155B, EC155B1, SA-366G1, SA-365C, SA-365C1, and SA-
365C2 helicopters, with a main gearbox (MGB) installed, certificated
in any category.

(b) Unsafe Condition

    This AD defines the unsafe condition as corrosion on the MGB
casing lower area between the servo-control anchoring ribs, caused
by sealing compound on the lower part of the fitting/casing
attachment. This condition could result in a crack, failure of the
MGB, and subsequent loss of control of the helicopter.

(c) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless it has already been
accomplished prior to that time.

(d) Required Actions

    (1) Within 30 hours time-in-service, inspect the lower parts of
the MGB servo-control anchoring fittings (anchor fittings) for
sealing compound, referring to Figure 1 of Eurocopter Emergency
Alert Service Bulletin No. 63.00.17 (for Models SA-365N, SA-365N1,
AS-365N2 and AS 365 N3); No. 63A011 (for Models EC 155B and
EC155B1); No. 65.03 (for Model SA-366G1); and No. 65.47 (for Models
SA-365C, SA-365C1, and SA-365C2), Revision 0, dated May 7, 2008
(EASB).

    Note to (d)(1): The Eurocopter EASB is one document with
multiple EASB numbers, each applicable to different base model
Eurocopter helicopters.

    (2) If there is sealing compound on the lower part of an MGB
anchor fitting, remove the sealing compound and inspect for
corrosion in the lower area of the MGB casing.
    (i) If there is corrosion, before further flight, repair the
corrosion area.

    (ii) If there is no corrosion, apply touch up protective
treatment, if required, and renew the bead of any damaged sealing
compound in the upper part of the anchor fitting.

(e) Alternative Methods of Compliance (AMOC)

    (1) The Manager, Safety Management Group, FAA, may approve AMOCs
for this AD. Send your proposal to: Rao Edupuganti, Aviation Safety
Engineer, Regulations and Policy Group, Rotorcraft Directorate, FAA,
2601 Meacham Blvd., Fort Worth, Texas 76137; telephone (817) 222-
4389; email<EMAIL_ADDRESS>    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, we suggest that you
notify your principal inspector, or lacking a principal inspector,
the manager of the local flight standards district office or
certificate holding district office before operating any aircraft
complying with this AD through an AMOC.

(f) Additional Information

    (1) Eurocopter Repair Sheet 365-63-36-08, dated April 4, 2008
and Standard Practices Manual (MTC) Work Cards 20.04.04, 20.04.05,
and 20.05.01, which are not incorporated by reference, contain
additional information regarding the subject of this proposed AD and
in particular regarding the procedures for corrosion repair,
protective treatment touch-up, and renewing the damaged sealing
bead.
    (2) For service information identified in this AD, contact
American Eurocopter Corporation, 2701 Forum Drive, Grand Prairie, TX
75053-4005, telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>, or at
http://www.eurocopter.com. You may review a copy of the service
information at the FAA, Office of the Regional Counsel, Southwest
Region, 2601 Meacham Blvd., Room 663, Fort Worth, Texas 76137.
    (3) The subject of this AD is addressed in European Aviation
Safety Agency AD No. 2011-0127, dated July 1, 2011.

 (g) Subject

    Joint Aircraft Service Component (JASC) Code: 6320: Main Rotor
Gearbox.

    Issued in Fort Worth, Texas, on June 7, 2012.
Kim Smith,
Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. 2012-14805 Filed 6-15-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 88, Number 208 (Monday, October 30, 2023)]
[Notices]
[Page 74171]
[FR Doc No: 2023-23926]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER24-171-000]

Skysol, LLC; Supplemental Notice That Initial Market-Based Rate
Filing Includes Request for Blanket Section 204 Authorization

    This is a supplemental notice in the above-referenced proceeding of
Skysol, LLC's application for market-based rate authority, with an
accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is November 13, 2023.
    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 may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at [email protected] or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.
    The Commission's Office of Public Participation (OPP) supports
meaningful public engagement and participation in Commission
proceedings. OPP can help members of the public, including landowners,
environmental justice communities, Tribal members and others, access
publicly available information and navigate Commission processes. For
public inquiries and assistance with making filings such as
interventions, comments, or requests for rehearing, the public is
encouraged to contact OPP at<PHONE_NUMBER> or [email protected].

    Dated: October 24, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-23926 Filed 10-27-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: December 8, 2009 (Volume 74, Number 234)]
[Notices]
[Page 64774-64776]
[DOCID:fr08de09-109]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61083; File No. SR-FINRA-2009-084]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt
FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA
Rulebook

December 1, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on November 24, 2009, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by FINRA. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to adopt NASD Rule 3220 (Adjustment of Open
Orders) as a FINRA rule in the consolidated FINRA rulebook with several
changes and to renumber NASD Rule 3220 as FINRA Rule 5330 in the
consolidated FINRA rulebook.
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    As part of the process of developing a new consolidated rulebook
(``Consolidated FINRA Rulebook''),\3\ FINRA is proposing to adopt NASD
Rule 3220 (Adjustment of Open Orders) into the Consolidated FINRA
Rulebook with several changes, which are described below.
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    \3\ The current FINRA rulebook consists of (1) FINRA Rules; (2)
NASD Rules; and (3) rules incorporated from NYSE (``Incorporated
NYSE Rules'') (together, the NASD Rules and Incorporated NYSE Rules
are referred to as the ``Transitional Rulebook''). While the NASD
Rules generally apply to all FINRA members, the Incorporated NYSE
Rules apply only to those members of FINRA that are also members of
the NYSE (``Dual Members''). The FINRA Rules apply to all FINRA
members, unless such rules have a more limited application by their
terms. For more information about the rulebook consolidation
process, see Information Notice, March 12, 2008 (Rulebook
Consolidation Process).
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    NASD Rule 3220 sets forth the requirements a member has regarding
an open order held by the member when the order involves a security
that is subject to a dividend, payment, or distribution.\4\ Paragraph
(a) of the rule sets forth how members are to adjust the terms of open
orders, depending upon whether the dividend, payment, or distribution
is in cash, stock, combined cash and stock, or determined by the
stockholder. Under the rule, members are required to adjust open orders
as follows:
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    \4\ For purposes of the rule, an ``open order'' is an order to
buy or an open stop order to sell. These include, for example,
``good 'til cancelled,'' ``limit,'' and ``stop limit'' orders that
remain in effect for a definite or indefinite period of time until
executed, cancelled, or expired. See NASD Rule 3220(d).
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     In the case of a cash dividend or distribution, the price
of the open order is reduced by the dollar amount of the dividend or
distribution and rounded down to the next lowest minimum quotation
variation.
     In the case of a stock dividend or split, the price of the
open order is reduced by rounding the dollar value of the dividend
distribution or split to the next higher minimum quotation variation
and subtracting that amount from the price of the order. The size of
the order is increased by multiplying the size of the original order by
the numerator of the ratio of the dividend or split, dividing the
result by the denominator of the ratio of the dividend or split and
then rounding the result to the next lower round lot.
     In the case of a dividend payable in either cash or
securities at the option of the stockholder, the price of the open
order is reduced by the dollar value of the cash or securities,
whichever is greater, as determined by the formulas described above.
    If the value of a distribution cannot be determined, paragraph (b)
of the rule prohibits members from executing or permitting the
execution of open orders without first reconfirming the order with the
customer. Paragraph (c) requires members to cancel all open orders if a
security is the subject of a reverse split. The rule also includes a
list of order types to which it does not apply and a provision
addressing the conversion of securities from fractional pricing to
decimal pricing.
    The proposed rule change includes substantive changes, as well as
multiple wording and organizational changes, that conform much of the
FINRA rule to the analogous Nasdaq and NYSE-Arca rules.\5\ The proposed
rule change also updates certain provisions of the rule that refer to
trading in fractional amounts (as opposed to decimals).
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    \5\ See Nasdaq Rule 4761; NYSE-Arca Rule 7.39. Although the NYSE
has a rule regarding the adjustment of orders (NYSE Rule 118), the
Transitional Rulebook does not include the provision. Consequently,
NASD Rule 3220 is the only FINRA rule addressing the adjustment of
orders.
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    First, the proposed rule change provides that, after adjusting an
open order in the case of a stock dividend or

split, the order should be rounded down to the next lowest share,
rather than the next lowest round lot. Although NYSE Rule 118 requires
rounding down to the next lowest round lot, both Nasdaq Rule 4761 and
NYSE-Arca Rule 7.39 require that, after being adjusted, orders be
rounded down to the next lowest share. FINRA believes that rounding to
the next lowest share, rather than the next lowest round lot, will
result in an adjustment that more accurately reflects the customer's
initial intent when placing the order.\6\
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    \6\ FINRA notes that, when Nasdaq amended its open order
adjustment rule in 2002, Nasdaq stated that it believed that
rounding adjusted orders to the next lowest share ``will result in
more accurate representation of buying and selling interest.'' See
Securities Exchange Act Release No. 45968 (May 20, 2002), 67 FR
36946 (May 28, 2002). Like NASD Rule 3220, NYSE Rule 118 requires
that, after adjustment, orders be rounded down to the next lowest
round lot. The proposed rule will continue to exclude any order
``governed by the rules of a national securities exchange.''
Consequently, an order subject to the rules of the NYSE will
continue to be rounded as required under NYSE rules. Moreover, if a
customer wants to avoid the potential of having an order rounded
down in a manner that results in an odd lot, the customer could
include any such instructions at the time it gives the member the
order.
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    Second, the proposed rule change clarifies the treatment of open
orders involving securities that are subject to a combined cash and
stock dividend/split. Unlike Nasdaq Rule 4761 and NYSE-Arca Rule 7.39,
NASD Rule 3220 does not directly address the adjustment requirements if
a security is subject to a combined cash and stock dividend/split. The
proposed rule change makes the provision consistent with the analogous
Nasdaq and NYSE-Arca rules by specifying that, in these circumstances,
members should calculate the cash portion of the adjustment using the
existing formula in subparagraph (1) of the rule and should calculate
the stock portion of the adjustment using the existing formula in
subparagraph (2) of the rule.
    Third, the proposed rule change applies the provision regarding
reverse splits to all orders (both buy and sell) rather than just
``open orders,'' as that term is defined in the rule.\7\ Thus, the
proposed rule broadens the obligation of members to cancel orders
involving securities subject to a reverse split and requires that all
such orders be cancelled.
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    \7\ This proposed change will conform the FINRA rule to the
analogous provisions in the NYSE, Nasdaq, and NYSE-Arca rules. See
Nasdaq Rule 4761(c)(6); NYSE-Arca Rule 7.39(b)(5); NYSE Rule 118.21.
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    In addition to the conforming changes described above, FINRA is
proposing one additional substantive change to the rule. NASD Rule 3220
provides that some pending customer orders (e.g., open sell orders and
open stop orders to buy) are not adjusted if there is a stock split in
the security, notwithstanding that a stock split could have a
significant impact on the price of the security. This could be
detrimental to a customer with a pending order in the security, as the
order may become inconsistent with the customer's original intent and/
or unexecutable. Therefore, the proposed rule change requires members
to notify customers who have pending orders that are not otherwise
required to be adjusted under the rule of any stock splits in the
security.
    Finally, the proposed rule change updates the language in the rule
regarding trading in fractional amounts and deletes the portion of the
rule addressing the conversion from fractional pricing to decimal
pricing.
    FINRA will announce the implementation date of the proposed rule
change in a Regulatory Notice to be published no later than 90 days
following Commission approval.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\8\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change will
bring more uniformity to the treatment of open orders and will enhance
customer protection with respect to pending orders involving securities
that are the subject of a stock split or reverse split.
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    \8\ 15 U.S.C. 78o-3(b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act.

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

    Written comments were neither solicited nor received.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2009-084 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.
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    \9\ The text of the proposed rule change is available on the
Commission's Web site at http://www.sec.gov/.

All submissions should refer to File Number SR-FINRA-2009-084. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, \9\ all subsequent
amendments, all written statements with respect to the proposed rule
change that are filed with the Commission, and all written
communications relating to the proposed rule change between the
Commission and any person, other than those that may be withheld from
the public in accordance with the provisions of 5 U.S.C. 552, will be
available for inspection and copying in the Commission's Public
Reference Room, 100 F Street, NE., Washington, DC 20549, on official
business days between the hours of 10 a.m. and 3 p.m. Copies of the
filing also will be available

for inspection and copying at the principal office of FINRA. 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-FINRA-2009-084 and should be
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submitted on or before December 29, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-29130 Filed 12-7-09; 8:45 am]

BILLING CODE 8011-01-P


October 26th and 27th 2011 Meeting Summary. December 2011.
USEPA. 2011e. Exposure Factors Handbook 2011 Edition (Final). U.S.
Environmental Protection Agency, Washington, DC, EPA/600/R-09/052F.
USEPA. 2011f. Pesticide Industry Sales and Usage: 2006 and 2007
Market Estimates. Biological and Economic Analysis Division, Office
of Pesticide Programs. Available on the Internet at: http://www.epa.gov/opp00001/pestsales/.
USEPA. 2012a. TRI Explorer: Trends. Available on the Internet at:
http://www.epa.gov/triexplorer/trends.htm. Accessed March 9, 2012.
USEPA. 2012b. Storage and Retrieval (STORET) Data Warehouse.
Available on the Internet at: http://www.epa.gov/storet/index.html.
Data Warehouse consulted March 2012.
USEPA. 2012c. Age Dependent Adjustment Factor Application. Office of
Water Policy Document. Office of Science and Technology. Office of
Water. Washington, DC. Draft.
USEPA. 2014a. Protocol for the Regulatory Determinations 3.
Including Appendices A-F. April 2014. EPA Publication # 815-R14-005.
USEPA. 2014b. Regulatory Determinations 3 Support Document. April
2014. EPA Publication # 815-R14-003.
USEPA. 2014c. Health Effects Support Document for Strontium. EPA
Publication # 820-P14-001.
USEPA. 2014d. Occurrence Data from the Second Unregulated
Contaminant Monitoring Regulation (UCMR 2). April 2014. EPA
Publication # 815-R14-004
USEPA. 2014e. Preliminary analysis of monitoring results from the
January 2014 upload of the third Unregulated Contaminant Monitoring
(UCMR 3). April 2014.
United States Geological Survey (USGS). 2007. Pesticide National
Synthesis Project, 2002 Pesticide Use Maps. Available on the
Internet at: http://water.usgs.gov/nawqa/pnsp/usage/maps/compound_listing.php?year=02. Accessed October 30, 2008.
USGS. 2009. Strontium, from Mineral Commodities Summaries. January
2009. Pp. 158-159. Available on the Internet at: http://minerals.usgs.gov/minerals/pubs/commodity/strontium/mcs-2009-stron.pdf.
United States Renal Data System (USRDS). 2010. USRDS 2010 Annual
Data Report. Available online at: www.usrds.org/adr.htm. Accessed
November 8, 2010. (The USRDS End-Stage Renal Disease Incident and
Prevalent Quarterly Update is available at http://www.usrds.org/qtr/default.aspx.)
Van Sande, J., C. Massart, R. Beauwens, et al. 2003. Anion
selectivity by the sodium iodide symporter. Endocrinology. 144(1):
247-252.
Verna, L., J. Shysner, and G.M. Williams. 1996. N-
Nitrosodiethylamine mechanistic data and risk assessment:
Bioactivation, DNA-adduct formation, mutagenicity, and tumor
initiation. Pharmacology and Therapeutics 71(1-2):57-81.
Vesselinovitch, S.D., M. Koka, N. Mihailovich, and K.V.N. Rao. 1984.
Carcinogenicity of diethylnitrosamine in newborn, infant, and adult
mice. Journal of Cancer Research and Clinical Oncology 108(1):60-65.
von Gunten, U. 2003. Ozonation of drinking water: Part II.
Disinfection and by-product formation in presence of bromide, iodide
or chlorine. Water Research 37(7):1469-1487.
World Health Organization (WHO). 2005. Chlorite and Chlorate in
Drinking-water, Background Document for Development of WHO
Guidelines for Drinking-water Quality, WHO/SDE/WSH/05.08/86.
Yurchenko, S. and U. M[ouml]lder. 2007. The occurrence of volatile
N-nitrosamines in Estonian meat products. Food Chemistry
100(4):1713-1721.

    Dated: October 3, 2014.
Gina A. McCarthy,
Administrator.

Appendix: HRL Derivation With Age-Related Exposure Factors

        Derivation of the Health Reference Level (HRL) for Strontium Using Age-Specific Exposure Factors
----------------------------------------------------------------------------------------------------------------
                                                                 Age-specific fractions
              Age range                  DWI/BWR  (L/kg/day)     of a 19-year exposure    Time-weighted DWI/BWR
                                                                        duration                (L/kg/day)
----------------------------------------------------------------------------------------------------------------
Birth to <1 month....................                    0.235                    0.004                    0.001
1 to <3 months.......................                    0.228                    0.009                    0.002
3 to <6 months.......................                    0.148                    0.013                    0.002
6 to <12 months......................                    0.112                    0.026                    0.003
1 to <2 years........................                    0.056                    0.053                    0.003
2 to <3 years........................                    0.052                    0.053                    0.003
3 to <6 years........................                    0.043                    0.158                    0.007
6 to <11 years.......................                    0.035                    0.263                    0.009
11 to <16 years......................                    0.026                    0.263                    0.007
16 to <18 years......................                    0.023                    0.105                    0.002
18 to <21 years #....................                    0.026                    0.053                    0.001
----------------------------------------------------------------------------------------------------------------
Summation of the Time-Weighted DWI/BWRs =..............................................         0.040 L/kg/day *
----------------------------------------------------------------------------------------------------------------
Reference Dose =.......................................................................            0.3 mg/kg/day
----------------------------------------------------------------------------------------------------------------
RSC =..................................................................................                      20%
----------------------------------------------------------------------------------------------------------------
\+\HRL = (0.3 mg/kg/day / 0.040 L/kg/day) x .20 =......................................               1.500 mg/L
----------------------------------------------------------------------------------------------------------------
Final child specific HRL:..............................................................             1500 [mu]g/L
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
* Rounded; # includes 18th year; DWI/BWR = drinking water intake to body weight ratio; HRL= health reference
  level; RSC = relative source contribution.
\+\ HRL = (RfD/[sum](DWI/BWR x F)) x RSC.

    The age-specific data on drinking water intakes in units of L/kg/
day from birth through age 3 are from Table 3-19 in the EPA Exposures
Factors Handbook (USEPA, 2011e) and from Table 3-38 for ages 3 to <19 .
The exposure duration adjustment was calculated by dividing the age-
specific fraction of a 19 year exposure by the total exposure in months
or years as appropriate (e.g., birth to <1 month = (1/12)/19 years =
0.00439; 6 to <11 years = 5/19 years = 0.26316). The time-weighted DWI/
BWR values are the product of the age-specific DWI/BWR multiplied by
the age-specific fraction of a 19 year exposure. The time-weighted DWI/
BWRs are summed to obtain the normalized value.
[FR Doc. 2014-24582 Filed 10-17-14; 8:45 am]
BILLING CODE 6560-50-P