[Federal Register Volume 86, Number 53 (Monday, March 22, 2021)]
[Notices]
[Pages 15236-15237]
[FR Doc No: 2021-05800]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4583-DR; Docket ID FEMA-2021-0001]

Maryland; Major Disaster and Related Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This is a notice of the Presidential declaration of a major
disaster for the State of Maryland (FEMA-4583-DR), dated February 4,
2021, and related determinations.

DATES: The declaration was issued February 4, 2021.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated February 4, 2021, the President issued a major disaster
declaration under the authority of the Robert T. Stafford Disaster
Relief and Emergency Assistance Act, 42 U.S.C. 5121 et seq. (the
``Stafford Act''), as follows:

    I have determined that the damage in certain areas of the State
of Maryland resulting from Tropical Storm Isaias during the period
of August 3 to August 4, 2020, is of sufficient severity and
magnitude to warrant a major disaster declaration under the Robert
T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C.
5121 et seq. (the ``Stafford Act''). Therefore, I declare that such
a major disaster exists in the State of Maryland.
    In order to provide Federal assistance, you are hereby
authorized to allocate from funds available for these purposes such
amounts as you find necessary for Federal disaster assistance and
administrative expenses.
    You are authorized to provide Public Assistance in the
designated areas and Hazard Mitigation throughout the State.
Consistent with the requirement that Federal assistance be
supplemental, any Federal funds provided under the Stafford Act for
Public Assistance and Hazard Mitigation will be limited to 75
percent of the total eligible costs.
    Further, you are authorized to make changes to this declaration
for the approved assistance to the extent allowable under the
Stafford Act.

    The Federal Emergency Management Agency (FEMA) hereby gives notice
that pursuant to the authority vested in the Administrator, under
Executive Order 12148, as amended, E. Craig Levy, Sr., of FEMA is
appointed to act as the Federal Coordinating Officer for this major
disaster.
    The following areas of the State of Maryland have been designated
as adversely affected by this major disaster:

    Calvert, Dorchester, and St. Mary's Counties for Public
Assistance.
    All areas within the State of Maryland are eligible for
assistance under the Hazard Mitigation Grant Program.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance

(Presidentially Declared Disasters); 97.039, Hazard Mitigation
Grant.

Robert J. Fenton,
Senior Official Performing the Duties of the Administrator, Federal
Emergency Management Agency.
[FR Doc. 2021-05800 Filed 3-19-21; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 83, Number 103 (Tuesday, May 29, 2018)]
[Notices]
[Pages 24472-24473]
[FR Doc No: 2018-11449]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OECA-2013-0349; FRL-9978-60-OEI]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; NESHAP for Pharmaceuticals Production
(Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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    The Environmental Protection Agency has submitted an information
collection request (ICR)--NESHAP for Pharmaceuticals Production (40 CFR

part 63, subpart GGG) (Renewal), EPA ICR Number 1781.08, OMB Control
Number 2060-0358--to the Office of Management and Budget (OMB) for
review and approval in accordance with the Paperwork Reduction Act.
This is a proposed extension of the ICR, which is currently approved
through May 31, 2018. Public comments were previously requested via the
Federal Register (82 FR 29552) on June 29, 2017 during a 60-day comment
period. This notice allows for an additional 30 days for public
comments. A fuller description of the ICR is given below, including its
estimated burden and cost to the public. An agency may neither conduct
nor sponsor, and a person is not required to respond to, a collection
of information unless it displays a currently valid OMB control number.

DATES: Additional comments may be submitted on or before June 28, 2018.

ADDRESSES: Submit your comments, referencing Docket ID Number EPA-HQ-
OECA-2013-0349, to: (1) EPA online using www.regulations.gov (our
preferred method), or by email to [email protected], or by mail to:
EPA Docket Center, Environmental Protection Agency, Mail Code 28221T,
1200 Pennsylvania Ave. NW, Washington, DC 20460; and (2) OMB via email
to [email protected]. Address comments to OMB Desk Officer
for EPA.
    EPA's policy is that all comments received will be included in the
public docket without change, including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI), or other
information whose disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Patrick Yellin, Monitoring,
Assistance, and Media Programs Division, Office of Compliance, Mail
Code 2227A, Environmental Protection Agency, 1200 Pennsylvania Ave. NW,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number:
(202) 564-0050; email address: [email protected].

SUPPLEMENTARY INFORMATION: Supporting documents, which explain in
detail the information that the EPA will be collecting, are available
in the public docket for this ICR. The docket can be viewed online at
www.regulations.gov or in person at the EPA Docket Center, WJC West,
Room 3334, 1301 Constitution Ave. NW, Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional
information about EPA's public docket, visit: http://www.epa.gov/dockets.
    Abstract: The National Emission Standards for Hazardous Air
Pollutants (NESHAP) for Pharmaceuticals Production (40 CFR part 63,
subpart GGG) were proposed on April 2, 1997; promulgated on September
21, 1998; and amended on both April 21, 2011 and February 27, 2014. The
2014 amendment promulgated technical correction was made to allow for
EPA Method 320 as an alternative to EPA Method 18 for demonstrating
that a `vent' is not a process vent. These regulations apply to
existing and new pharmaceuticals manufacturing operations that are
major sources of hazardous air pollutants (HAP). The affected
facilities encompass all pharmaceuticals manufacturing operations that
include process vents, storage tanks, equipment components, and
wastewater systems. New facilities include those that commenced
construction or reconstruction after the date of proposal. This
information is being collected to assure compliance with 40 CFR part
63, subpart GGG. In general, all NESHAP standards require initial
notifications, performance tests, and periodic reports by the owners/
operators of the affected facilities. They are also required to
maintain records of the occurrence and duration of any startup,
shutdown, or malfunction in the operation of an affected facility, or
any period during which the monitoring system is inoperative. These
notifications, reports, and records are essential in determining
compliance, and are required of all affected facilities subject to
NESHAP. Any owner/operator subject to the provisions of this part shall
maintain a file containing these documents, and retain the file for at
least five years following the generation date of such maintenance
reports and records. All reports are sent to the delegated state or
local authority. In the event that there is no such delegated
authority, the reports are sent directly to the U.S. Environmental
Protection Agency (EPA) regional office.
    Form Numbers: None.
    Respondents/affected entities: Pharmaceutical manufacturing
operations.
    Respondent's obligation to respond: Mandatory (40 CFR part 63,
subpart GGG).
    Estimated number of respondents: 27 (total).
    Frequency of response: Initially, occasionally, quarterly and
semiannually.
    Total estimated burden: 44,300 hours (per year). Burden is defined
at 5 CFR 1320.3(b).
    Total estimated cost: $4,760,000 (per year), which includes
$112,000 in either annualized capital and/or operation & maintenance
costs.
    Changes in the Estimates: There is a reduction in the estimated
number of responses, by one. The previous ICR included one response for
affirmative defense. However, that item has subsequently been removed
from this ICR as those provisions are outdated. There is an adjustment
increase in the respondent labor hours as currently identified in the
OMB Inventory of Approved Burdens. This increase is not due to any
program changes. The change in the burden and cost estimates occurred
due to a change in assumption. In accordance with the Terms of
Clearance, this ICR assumes all existing respondents will have to
familiarize with the regulatory requirements each year. There is also a
small adjustment decrease in the total capital and O&M costs as
compared the previously-approved ICR. This decrease is not due to any
program changes, but occurred because, in accordance with the terms of
clearance, this ICR rounds totals to three significant figures.

Courtney Kerwin,
Director, Regulatory Support Division.
[FR Doc. 2018-11449 Filed 5-25-18; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 77, Number 154 (Thursday, August 9, 2012)]
[Notices]
[Pages 47697-47699]
[FR Doc No: 2012-19575]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[Docket No. NHTSA-2012-0006; Notice 1]

General Motors, LLC, Receipt of Petition for Decision of
Inconsequential Noncompliance

AGENCY: National Highway Traffic Safety Administration, DOT.

ACTION: Receipt of Petition.

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SUMMARY: General Motors, LLC (GM) \1\ has determined that certain model
year 2012; Cadillac SRX, Chevrolet Equinox, GMC Terrain and Saab 9-4x
multipurpose passenger vehicles, and Chevrolet Cruze passenger cars, do
not fully comply with paragraph S19.2.2 of Federal Motor Vehicle Safety
Standard (FMVSS) No. 208, Occupant Crash Protection. GM has filed an
appropriate report dated September 6, 2011, pursuant to 49 CFR part
573, Defect and Noncompliance Responsibility and Reports.
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    \1\ General Motors, LLC, is a manufacturer of motor vehicles and
is registered under the laws of the state of Michigan.
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    Pursuant to 49 U.S.C. 30118(d) and 30120(h) (see implementing rule
at 49 CFR part 556), GM submitted a petition for an exemption from the
notification and remedy requirements of 49 U.S.C. Chapter 301 on the
basis that this noncompliance is inconsequential to motor vehicle
safety.
    This notice of receipt of GM's petition is published under 49
U.S.C. 30118 and 30120 and does not represent any agency decision or
other exercise of judgment concerning the merits of the petition.
    Vehicles involved: approximately 3,599 Cadillac SRX, 11,459
Chevrolet Equinox, 5,080 GMC Terrain and 24 Saab 9-4x multipurpose
passenger vehicles; and 27,392 Chevrolet Cruze passenger cars. All of
the vehicles are model year 2012 and were manufactured within the
period from April 6, 2011 through August 20, 2011.
    NHTSA notes that the statutory provisions (49 U.S.C. 30118(d) and
30120(h)) that permit manufacturers to file petitions for a
determination of inconsequentiality allow NHTSA to exempt manufacturers
only from the duties found in sections 30118 and 30120, respectively,
to notify owners, purchasers, and dealers of a defect or noncompliance
and to remedy the defect or noncompliance. Therefore, these provisions
only apply to the subject 47,554 \2\ model year vehicles that GM no
longer controlled at the time it determined that the noncompliance
existed.
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    \2\ GM's petition, which was filed under 49 CFR part 556,
requests an agency decision to exempt GM as a motor vehicles
manufacturer from the notification and recall responsibilities of 49
CFR part 573 for the 47,554 affected vehicles. However, a decision
on this petition cannot relieve vehicle distributors and dealers of
the prohibitions on the sale, offer for sale, introduction or
delivery for introduction into interstate commerce of the
noncompliant vehicles under their control after GM notified them
that the subject noncompliance existed.
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    Noncompliance: GM explains that the noncompliance is that on rare
occasions, the air bag suppression telltale on the subject vehicles may
remain illuminated during a particular ignition cycle and indicate that
the passenger air bag is OFF regardless of whether the air bag is or is
not suppressed.
    GM further explains that for this noncompliance condition to exist,
the following must occur:
    (1) The engine must be restarted within approximately 24 seconds of
having been turned OFF;
    (2) The key \3\ must be turned rapidly, spending less than 10
milliseconds (0.01 seconds) in the RUN position before it reaches the
START position; and
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    \3\ Cadillac SRX and Saab 9-4X vehicles have a push button
start/stop switch.
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    (3) The crank power mode (approximately how long the starter motor
runs) must be less than 1.2 seconds. GM's data predicts that the
conditions for a noncompliance to occur will happen, on average,
approximately once every 18 months, independent of whether the front
seat is occupied or not.
    Rule text: Paragraph S19 of FMVSS No. 208 requires in pertinent
part:

    S19 Requirements to provide protection for infants in rear
facing and convertible child restraints and car beds.

    S19.1 Each vehicle certified as complying with S14 shall, at the
option of the manufacturer, meet the requirements specified in S19.2
or S19.3, under the test procedures specified in S20.
    S19.2 Option 1--Automatic suppression feature. Each vehicle
shall meet the requirements specified in S19.2.1 through S19.2.3. *
* *
    S19.2.2 The vehicle shall be equipped with at least one telltale
which emits light whenever the passenger air bag system is
deactivated and does not emit light whenever the passenger air bag
system is activated, except that the telltale(s) need not illuminate
when the passenger seat is unoccupied. Each telltale: * * *
    (h) The telltale must not emit light except when the passenger
air bag is turned off or during a bulb check upon vehicle starting.

Summary of GM's Analysis and Arguments

    GM stated its belief that this noncompliance is inconsequential to
motor vehicle safety for the following reasons:
    A. The noncompliance does not increase the risk to motor vehicle
safety because it has no effect on occupant restraint. The noncompliant
condition has absolutely no effect on the proper operation of the
occupant classification system. If the telltale error occurs when

an occupant or a Child Restraint System (CRS) is in the front passenger
seat, the occupant classification system will operate as designed, and
will enable or disable the air bag, as intended, and continue to meet
the requirements of FMVSS No. 208 in all other regards. As a result,
all occupants will continue to receive the benefit of the air bag when
they otherwise would, regardless of whether or not the telltale is
operating properly during a particular ignition cycle.
    B. The noncompliance condition is an extremely remote event. The
noncompliance condition will not occur unless the engine is shut off
and restarted within about 24 seconds. Even then, the condition will
not occur unless the ignition key spends less than a hundredth of a
second in the RUN position before reaching the START position, and the
crank power mode lasts less than 1.2 seconds. These are very
prescribed, unusual conditions. GM discovered the condition during an
assembly plant end of line audit when it was noted that the telltale
illuminated OFF when an adult passenger was present. GM is not aware of
any reports in the field about the condition.
    When this condition occurs, it sets a Diagnostic Trouble Code (DTC)
that is stored in history in the sensing diagnostic module for 100
ignition cycles. GM reviewed its test fleet experience for the subject
vehicles, and determined that the conditions needed to produce the
telltale error will occur on average once every 535 days, or
approximately, once every 18 months regardless of whether the front
passenger seat is occupied or not.
    C. Even if the air bag was enabled when the telltale indicated it
was disabled, that would be extremely unlikely to increase the risk to
motor vehicle safety. A potential safety risk could exist if the
telltale indicated the air bag was OFF when the air bag was actually ON
and a small child or CRS was placed in the front passenger seat. As
explained in more detail below, this is extremely unlikely to occur in
the present case. Parents and caregivers are warned to properly
restrain small children and CRSs in the rear seat, and field data shows
small children and CRSs are generally not placed in the front seat. In
addition, GM has conducted significant testing to help assure that the
air bag suppression system will properly disable the air bag system for
small children and CRSs, as designed.
    1. Children and CRSs generally are not placed in the front seat. It
is very unlikely that a small child or a CRS would be placed in the
front seat since parents and caregivers are routinely advised by NHTSA,
pediatricians, child safety advocacy groups, and public service
messages to properly restrain them in the rear seat. As NHTSA states in
its Child Safety Recommendations for All Ages, ``All children under 13
should ride in the back seat.''
    In addition, the label on the vehicle's sun visor warns against
placing a rear facing infant seat in the front passenger seat, and the
owner's manual warns against placing children in the front seat, as
well, even for vehicles equipped with a passenger sensing system.
    Publicly available data confirms that parents and caregivers
generally do not place small children in the front passenger seat.
According to GM's calculations using National Accident Sampling System
(NASS) data, six month old, three year old and six year old children
collectively are likely to occupy the front passenger seat during less
than one half of one percent of all trips. This fact, together with the
infrequency with which the noncompliance condition occurs, makes it
extremely unlikely that a child or CRS would be placed in the front
seat when the conditions needed to produce the telltale error occur.
    2. Even if a small child or CRS was in the front seat. GM has
conducted extensive testing to help assure that the air bag suppression
system will properly characterize these occupants, so that the air bag
will be suppressed, as designed. GM has had significant field
experience with suppression systems of the type used in the subject
vehicles. GM has used pattern recognition based suppression systems
since 2005 and capacitance based suppression systems since 2009.
    GM has conducted over 15,000 tests of the suppression systems in
the subject vehicles, based on FMVSS 208 as well as GM's own internal
requirements, to judge performance for properly positioned as well as
out of position occupants and CRSs. In each of the over 10,000 tests
involving the systems in the Cruze, Equinox, Terrain and Saab 9-4X
vehicles, the suppression system properly characterized the occupant or
CRS and enabled or disabled the air bag system, as appropriate. The
same is true in the vast majority of SRX tests.
    In over 5,000 of GM's SRX tests, the air bag system was enabled or
disabled as desired. In just four of GM's internal (non-FMVSS) SRX
tests involving three year old dummies in a particular forward facing
CRSs, the suppression system enabled the air bag. In each of these
tests, the CRS was installed over a 1O mm thick blanket.
    These tests have no significant bearing on the present risk
analysis, since more than 98 percent of the tests involving a three
year old dummy in a forward-facing CRS classified correctly, and in
each of the discrepant tests, the CRS would classify correctly when
installed without the blanket.
    There was not a single discrepancy in the over 10,000 tests
involving the Cruze, Equinox, Terrain and Saab 9-4X vehicles,
representing over 92 percent of the subject vehicle population. In
addition, in over 99.8 percent of the SRX tests with CRSs or occupants,
the air bag system was enabled or disabled, as desired, and in the
remainder of the CRS tests, the air bag system was properly suppressed
when the CRS was installed according to the CRS manufacturer's
instructions.
    The very low rate at which the conditions needed to produce the
telltale error occur, coupled with the very low chance that a small
child or CRS would be located in the front seat at that time, makes the
potential for any safety consequence extremely small. That potential is
reduced even further since it is extremely unlikely that the
noncompliance condition would occur at that same time that a CRS is
being installed in the vehicle, for the first time. Anyone who used
such a restraint, would in all probability, have received numerous AIR
BAG ON telltale illuminations before and after the infrequent
noncompliant OFF illumination, and would have moved the CRS to a rear
seating location or modified the installation accordingly.
    GM concludes by stating that the telltale error at issue in this
petition does not increase the risk to motor vehicle safety because it
has no effect on occupant restraint. The air bag classification system
will continue to characterize the front seat occupants and enable or
disable the air bag, as designed. In addition, the noncompliance
condition will rarely occur. For the error to occur at all, the vehicle
must be restarted--in a very particular manner--within less than half
of one minute of having been turned off. The conditions needed to
produce the telltale error are estimated to occur approximately once
every 18 months. The potential for any consequence to result is further
reduced by the fact that the front seat is occupied only about a
quarter of the time, and by small children and CRSs, much more
infrequently. Parental and caregiver education and information in the
vehicle owner's manuals and labels warn against placing infants,
children and CRSs in the front seat, and NASS data bears out that small
children and

CRSs are placed in the front less than one percent of the time. More
importantly, GM has conducted more than 10,000 tests confirming that
the air bag system in over 93 percent of the subject vehicles will
properly characterize occupants and CRSs, so that the air bag will or
will not be suppressed, as appropriate. With respect to the remaining
vehicles, the air bag system was enabled or disabled, as desired, over
99.8 percent of the time in GM's testing. Even so, the chance that a
CRS would be installed in the front seat for the first time, at the
same time that the noncompliance occurred, would be even more remote.
GM has additionally informed NHTSA that it has corrected the
noncompliance so that all future production vehicles will comply with
FMVSS No. 208.
    In summation, GM believes that the described noncompliance of its
vehicles is inconsequential to motor vehicle safety, and that its
petition, to exempt from providing recall notification of noncompliance
as required by 49 U.S.C. 30118 and remedying the recall noncompliance
as required by 49 U.S.C. 30120 should be granted.

Comments

    Interested persons are invited to submit written data, views, and
arguments on this petition. Comments must refer to the docket and
notice number cited at the beginning of this notice and be submitted by
any of the following methods:
    a. By mail addressed to: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
    b. By hand delivery to: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590. The Docket Section is open on
weekdays from 10 a.m. to 5 p.m. except Federal Holidays.
    c. Electronically: by logging onto the Federal Docket Management
System (FDMS) Web site at http://www.regulations.gov/. Follow the
online instructions for submitting comments. Comments may also be faxed
to 1-202-493-2251.
    Comments must be written in the English language, and be no greater
than 15 pages in length, although there is no limit to the length of
necessary attachments to the comments. If comments are submitted in
hard copy form, please ensure that two copies are provided. If you wish
to receive confirmation that your comments were received, please
enclose a stamped, self-addressed postcard with the comments. Note that
all comments received will be posted without change to http://www.regulations.gov, including any personal information provided.
    Documents submitted to a docket may be viewed by anyone at the
address and times given above. The documents may also be viewed on the
Internet at http://www.regulations.gov by following the online
instructions for accessing the dockets. DOT's complete Privacy Act
Statement is available for review in the Federal Register published on
April 11, 2000, (65 FR 19477-78).
    The petition, supporting materials, and all comments received
before the close of business on the closing date indicated below will
be filed and will be considered. All comments and supporting materials
received after the closing date will also be filed and will be
considered to the extent possible. When the petition is granted or
denied, notice of the decision will be published in the Federal
Register pursuant to the authority indicated below.

DATES: Comment Closing Date: September 10, 2012.

    Authority:  (49 U.S.C. 30118, 30120: delegations of authority at
CFR 1.50 and 501.8)

    Issued on: July 30, 2012.
Claude H. Harris,
Director, Office of Vehicle Safety Compliance.
[FR Doc. 2012-19575 Filed 8-8-12; 8:45 am]
BILLING CODE 4910-59-P


[Federal Register Volume 81, Number 64 (Monday, April 4, 2016)]
[Notices]
[Pages 19222-19224]
[FR Doc No: 2016-07494]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2016-0002; Internal Agency Docket No. FEMA-B-1601]

Proposed Flood Hazard Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: Comments are requested on proposed flood hazard
determinations, which may include additions or modifications of any
Base Flood Elevation (BFE), base flood depth, Special Flood Hazard Area
(SFHA) boundary or zone designation, or regulatory floodway on the
Flood Insurance Rate Maps (FIRMs), and where applicable, in the
supporting Flood Insurance Study (FIS) reports for the communities
listed in the table below. The purpose of this notice is to seek
general information and comment regarding the preliminary FIRM, and
where applicable, the FIS report that the Federal Emergency Management
Agency (FEMA) has provided to the affected communities. The FIRM and
FIS report are the basis of the floodplain management measures that the
community is required either to adopt or to show evidence of having in
effect in order to qualify or remain qualified for participation in the
National Flood Insurance Program (NFIP). In addition, the FIRM and FIS
report, once effective, will be used by insurance agents and others to
calculate appropriate flood insurance premium rates for new buildings
and the contents of those buildings.

DATES: Comments are to be submitted on or before July 5, 2016.

ADDRESSES: The Preliminary FIRM, and where applicable, the FIS report
for each community are available for inspection at both the online
location and the respective Community Map Repository address listed in
the tables below. Additionally, the current effective FIRM and FIS
report for each community are accessible online through the FEMA Map
Service Center at www.msc.fema.gov for comparison.
    You may submit comments, identified by Docket No. FEMA-B-1601, to
Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance
and Mitigation Administration, FEMA, 500 C Street SW., Washington, DC
20472,<PHONE_NUMBER>, or (email<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Luis Rodriguez, Chief, Engineering
Management Branch, Federal Insurance and Mitigation Administration,
FEMA, 500 C Street SW., Washington, DC 20472,<PHONE_NUMBER>, or
(email<EMAIL_ADDRESS>or visit the FEMA Map Information
eXchange (FMIX) online at www.floodmaps.fema.gov/fhm/fmx_main.html.

SUPPLEMENTARY INFORMATION: FEMA proposes to make flood hazard
determinations for each community listed below, in accordance with
section 110 of the Flood Disaster Protection Act of 1973, 42 U.S.C.
4104, and 44 CFR 67.4(a).
    These proposed flood hazard determinations, together with the
floodplain management criteria required by 44 CFR 60.3, are the minimum
that are required. They should not be construed to mean that the
community must change any existing ordinances that are more stringent
in their floodplain management requirements. The community may at any
time enact stricter requirements of its own or pursuant to policies
established by other Federal, State, or regional entities. These flood
hazard determinations are used to meet the floodplain management
requirements of the NFIP and also are used to calculate the appropriate
flood insurance premium rates for new buildings built after the FIRM
and FIS report become effective.
    The communities affected by the flood hazard determinations are
provided in the tables below. Any request for reconsideration of the
revised flood hazard information shown on the Preliminary FIRM and FIS
report that satisfies the data requirements outlined in 44 CFR 67.6(b)
is considered an appeal. Comments unrelated to the flood hazard
determinations also will be considered before the FIRM and FIS report
become effective.
    Use of a Scientific Resolution Panel (SRP) is available to
communities in support of the appeal resolution process. SRPs are
independent panels of experts in hydrology, hydraulics, and other
pertinent sciences established to review conflicting scientific and
technical data and provide recommendations for resolution. Use of the
SRP only may be exercised after FEMA and local communities have been
engaged in a collaborative consultation process for at least 60 days
without a mutually acceptable resolution of an appeal. Additional
information regarding the SRP process can be found online at http://floodsrp.org/pdfs/srp_fact_sheet.pdf.
    The watersheds and/or communities affected are listed in the tables
below. The Preliminary FIRM, and where applicable, FIS report for each
community are available for inspection at both the online location and
the respective Community Map Repository address listed in the tables.
For communities with multiple ongoing Preliminary studies, the studies
can be identified by the unique project number and Preliminary FIRM
date listed in the tables. Additionally, the current effective FIRM and
FIS report for each community are accessible online through the FEMA
Map Service Center at www.msc.fema.gov for comparison.
(Catalog of Federal Domestic Assistance No. 97.022, ``Flood
Insurance.'')

    Dated: March 20, 2016.
Roy E. Wright,
Deputy Associate Administrator for Insurance and Mitigation, Department
of Homeland Security, Federal Emergency Management Agency.

    I. Watershed-based studies:

------------------------------------------------------------------------
                                             Community map repository
               Community                             address
------------------------------------------------------------------------
                          San Bernard Watershed
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
             Fort Bend County, Texas, and Incorporated Areas
------------------------------------------------------------------------
City of Kendleton......................  City Hall, 430 Farm Market
                                          2919, Kendleton, TX 77451.
Unincorporated Areas of Fort Bend        Fort Bend County Drainage
 County.                                  District, 1124 Blume Road,
                                          Rosenberg, TX 77471.
------------------------------------------------------------------------
              Wharton County, Texas, and Incorporated Areas
------------------------------------------------------------------------
City of East Bernard...................  City Hall, 704 Church Street,
                                          East Bernard, TX 77435.
City of Wharton........................  City Hall, 120 East Caney
                                          Street, Wharton, TX 77488.
Unincorporated Areas of Wharton County.  Wharton County Annex, 315 East
                                          Milam Street, Suite 102,
                                          Wharton, TX 77488.
------------------------------------------------------------------------

    II. Non-watershed-based studies:

------------------------------------------------------------------------
                                             Community map repository
               Community                             address
------------------------------------------------------------------------
            Boulder County, Colorado, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
          Project: 15-08-0076S Preliminary Date: July 23, 2015
------------------------------------------------------------------------
City of Boulder........................  Municipal Building Plaza, 1777
                                          Broadway, Boulder, CO 80302.
Unincorporated Areas of Boulder County.  Boulder County Transportation
                                          Department, 2525 13th Street,
                                          Suite 203, Boulder, CO 80304.
------------------------------------------------------------------------
            El Paso County, Colorado, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
          Project: 07-08-0392S Preliminary Date: July 29, 2015
------------------------------------------------------------------------
City of Colorado Springs...............  City Administration, 30 South
                                          Nevada Avenue, Colorado
                                          Springs, CO 80903.
City of Fountain.......................  City Hall, 116 South Main
                                          Street, Fountain, CO 80817.
City of Manitou Springs................  City Hall, 606 Manitou Avenue,
                                          Manitou Springs, CO 80829.
Town of Calhan.........................  Town Hall, 556 Colorado Avenue,
                                          Calhan, CO 80808.
Town of Green Mountain Falls...........  Town Hall, 10615 Unit B Green
                                          Mountain Falls Road, Green
                                          Mountain Falls, CO 80819.
Town of Monument.......................  Town Hall, 645 Beacon Lite
                                          Road, Monument, CO 80132.
Town of Palmer Lake....................  Town Hall, 42 Valley Crescent
                                          Street, Palmer Lake, CO 80133.
Town of Ramah..........................  Town Hall, 113 South Commercial
                                          Street, Ramah, CO 80832.
Unincorporated Areas of El Paso County.  Pikes Peak Regional Building
                                          Department, 2880 International
                                          Circle, Colorado Springs, CO
                                          80910.
------------------------------------------------------------------------
             Summit County, Colorado, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
          Project: 13-08-0037S Preliminary Date: June 25, 2015
------------------------------------------------------------------------
Town of Blue River.....................  Town Hall, 0110 Whispering
                                          Pines Circle, Blue River, CO
                                          80424.
Town of Breckenridge...................  Town Hall, 150 Ski Hill Road,
                                          Breckenridge, CO 80424.
Town of Frisco.........................  Town Hall, One Main Street,
                                          Frisco, CO 80443.
Town of Silverthorne...................  Town Hall, 601 Center Circle,
                                          Silverthorne, CO 80498.
Unincorporated Areas of Summit County..  Frisco Commons Building, 0037
                                          Peak One Drive, Frisco, CO
                                          80443.
------------------------------------------------------------------------
            Allegany County, Maryland, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
        Project: 09-03-0015S Preliminary Date: September 30, 2015
------------------------------------------------------------------------
City of Cumberland.....................  City Hall, 57 North Liberty
                                          Street, Cumberland, MD 21502.
City of Frostburg......................  City Hall, 59 East Main Street,
                                          Frostburg, MD 21532.
Town of Barton.........................  Town Hall, 19018 Legislative
                                          Road SW, Barton, MD 21521.
Town of Lonaconing.....................  Town Hall, Seven Jackson
                                          Street, Lonaconing, MD 21539.
Town of Luke...........................  City Building, 510 Grant
                                          Street, Luke, MD 21540.

Town of Midland........................  Town Hall, 19823 Big Lane SW,
                                          Midland, MD 21532.
Town of Westernport....................  City Building, 107 Washington
                                          Street, Westernport, MD 21562.
Unincorporated Areas of Allegany County  County Office Building, 701
                                          Kelly Road, Cumberland, MD
                                          21502.
------------------------------------------------------------------------
              Erie County, Pennsylvania (All Jurisdictions)
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
        Project: 13-03-0299S Preliminary Date: December 18, 2015
------------------------------------------------------------------------
Borough of Lake City...................  Borough Building, 2350 Main
                                          Street, Lake City, PA 16423.
City of Erie...........................  Mayor's Office, 626 State
                                          Street, Room 500, Erie, PA
                                          16501.
Township of Fairview...................  Township Building, 7471 McCray
                                          Road, Fairview, PA 16415.
Township of Girard.....................  Township Building, 10140 Ridge
                                          Road, Girard, PA 16417.
Township of Harborcreek................  Township Building, 5601 Buffalo
                                          Road, Harborcreek, PA 16421.
Township of Lawrence Park..............  Lawrence Park Township
                                          Building, 4230 Iroquois
                                          Avenue, Erie, PA 16511.
Township of Millcreek..................  Millcreek Township Municipal
                                          Building, 3608 West 26th
                                          Street, Erie, PA 16506.
Township of North East.................  Township Building, 10300 West
                                          Main Street, North East, PA
                                          16428.
Township of Springfield................  Springfield Township Building,
                                          13300 Ridge Road, West
                                          Springfield, PA 16443.
------------------------------------------------------------------------
        Dorchester County, South Carolina, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
         Project: MICS-18447 Preliminary Date: November 13, 2015
------------------------------------------------------------------------
Town of Summerville....................  Engineering Department, 200
                                          South Main Street,
                                          Summerville, SC 29483.
------------------------------------------------------------------------
              Wharton County, Texas, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: http://www.fema.gov/preliminaryfloodhazarddata preliminaryfloodhazarddata
------------------------------------------------------------------------
         Project: 14-06-1566S Preliminary Date: August 21, 2015
------------------------------------------------------------------------
City of East Bernard...................  City Hall, 704 Church Street,
                                          East Bernard, TX 77435.
City of Wharton........................  City Hall, 120 East Caney
                                          Street, Wharton, TX 77488.
Unincorporated Areas of Wharton County.  Wharton County Annex, 315 East
                                          Milam Street, Suite 102,
                                          Wharton, TX 77488.
------------------------------------------------------------------------

[FR Doc. 2016-07494 Filed 4-1-16; 8:45 am]
 BILLING CODE 9110-12-P


is the average between the two middle numbers. Express the spread as a
percentage, rounded to the nearest hundredth percent.
    (c) Determine the mid-range spread cost for each number of
transactions in the table according to the following formula:

(SMid/2) * $10,000 * T

Where:

SMid = Median spread as calculated in Instruction 5(b)
during most recently completed calendar year, expressed as a
percentage;
T = Number of Transactions (1 and 25).

    (d) Determine the high-end spread cost for each number of
transactions in the table according to the following formula:

(SHigh/2) * $10,000 * T

Where:

SHigh = High-end spread is calculated by dividing the
difference between the ask and the bid by the midpoint of the ask
and the bid for each ten-second interval throughout each trading day
of the Exchange-Traded Fund's most recently completed fiscal year.
Once the bid-ask spread for each ten-second interval throughout the
fiscal year is determined, sort the spreads from lowest to highest.
The high end spread is the number closest to the 95th percentile,
expressed as a percentage. If two numbers are equally close to the
95th percentile, use the average of the two numbers;
T = Number of Transactions (1 and 25).

    (e) Provide an interactive calculator in a clear and prominent
format on the Fund website which uses the calculations in Instructions
5(a)-(d) to Item 3 to provide the information required by Q&As 3, 4 and
5.
* * * * *
0
9. Amend Item 6 of Form N-1A as follows:
* * * * *
Item 6. Purchase and Sale of Fund Shares
    (a) Purchase of Fund Shares. Disclose the Fund's minimum initial or
subsequent investment requirements.
    (b) Sale of Fund Shares. Also disclose that the Fund's shares are
redeemable and briefly identify the procedures for redeeming shares
(e.g., on any business day by written request, telephone, or wire
transfer).
    (c) Exchange-Traded Funds. If the Fund is an Exchange-Traded Fund,
the Fund may omit the information required by this Item.
* * * * *
0
10. Amend Items 11(a)(1) and 11(g) of Form N-1A as follows:
* * * * *
Item 11. Shareholder Information
    (a) Pricing of Fund Shares. Describe the procedures for pricing the
Fund's shares, including:
    (1) An explanation that the price of Fund shares is based on the
Fund's net asset value and the method used to value Fund shares (market
price, fair value, or amortized cost); except that if the Fund is an
Exchange-Traded Fund, an explanation that the price of Fund shares is
based on a market price.
* * * * *
    (g) Exchange-Traded Funds. If the Fund is an Exchange-Traded Fund,
the Fund may omit from the prospectus the information required by Items
11(a)(2), (b), and (c).
* * * * *
0
11. Remove Item 27(b)(7)(iv) of Form N-1A and instructions thereto.
0
12. Amend Instruction 1(e)(ii) of Item 27(d)(1) of Form N-1A as
follows:
* * * * *
Instructions
* * * * *
    1. General.
* * * * *
    (e) If the fund is an Exchange-Traded Fund:
* * * * *
    (ii) Exclude any fees charged for the purchase and redemption of
the Fund's creation units.
* * * * *
0
13. Amend Form N-8B-2 (referenced in Sec. Sec.  239.16 and 274.12) as
follows:
    The additions and revisions read as follows:
    Note: The text of Form N-8B-2 does not, and this amendment will
not, appear in the Code of Federal Regulations.
Form N-8B-2
* * * * *
GENERAL INSTRUCTIONS FOR FORM N-8B-2
* * * * *

Definitions

* * * * *
    Exchange-Traded Fund (ETF): The term ``Exchange-Traded Fund'' or
``ETF'' means a trust, the shares of which are listed and traded on a
national securities exchange, and that has formed and operates under an
exemptive order granted by the Commission.
* * * * *

Information Concerning Loads, Fees, Charges, and Expenses

    13.
* * * * *
    (h) If the trust is an Exchange-Traded Fund, furnish an explanation
indicating that an ETF investor may pay additional fees not described
by any other item in this form, such as brokerage commissions and other
fees to financial intermediaries.
    (i) If the trust is an Exchange-Traded Fund, furnish the
disclosures and information set forth in Item 3 of Form N-1A
[referenced in 17 CFR 274.11A], in the section of that Item titled
``Exchange-Traded Fund Trading Information and Related Costs.'' Provide
information specific to the trust as necessary, utilizing the ETF-
specific methodology set forth in the Instructions to Form N-1A Item 3.
* * * * *
0
14. Amend Items C.7. and E.2. Form N-CEN (referenced in Sec.  274.101):

    The additions read as follows:
    Note: The text of Form N-CEN does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-CEN
ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES
* * * * *
Part C. Additional Questions for Management Investment Companies
* * * * *
Item C.7.
* * * * *
    k. Rule 6(c)-11 (17 CFR 270.6c-11): ___
* * * * *
Part E. Additional Questions for Exchange-Traded Funds and Exchange-
Traded Managed Funds
* * * * *
Item E.2.
* * * * *
    Instruction. The term ``authorized participant'' means a member or
participant of a clearing agency registered with the Commission, which
has a written agreement with the Exchange-Traded Fund or Exchange-
Traded Managed Fund or one of its service providers that allows the
authorized participant to place orders for the purchase and redemption
of creation units.
* * * * *

    By the Commission.

    Dated: June 28, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-14370 Filed 7-30-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 17 (Friday, January 25, 2013)]
[Notices]
[Pages 5532-5535]
[FR Doc No: 2013-01495]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68701; File No. SR-FINRA-2013-006]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change Relating to FINRA Rule 4530 (Reporting
Requirements)

January 18, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on January 14, 2013, Financial Industry Regulatory Authority, Inc.
(``FINRA'') 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. FINRA has
designated the proposed rule change as constituting a ``non-
controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under
the Act,\3\ which renders the proposal effective upon receipt of this
filing by the Commission. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend FINRA Rule 4530 (Reporting
Requirements) to: (1) Provide an exception from the rule for
information disclosed on the Form U4 (Uniform Application for
Securities Industry Registration or Transfer); (2) enable members to
file required documents with FINRA online; and (3) provide an exception
from the rule for findings and actions by FINRA.
    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
    FINRA Rule 4530, which became effective on July 1, 2011,\4\
requires members to report to FINRA specified events (e.g., findings by
a regulatory body) and quarterly statistical and summary information
regarding written customer complaints.\5\
---------------------------------------------------------------------------

    \4\ FINRA Rule 4530 replaced NASD Rule 3070 (Reporting
Requirements) and the corresponding provisions in Incorporated NYSE
Rule 351 (Reporting Requirements). See Regulatory Notice 11-06
(February 2011).
    \5\ The specified events and customer complaint information must
be electronically reported to FINRA via an application on FINRA's
Firm Gateway. See Regulatory Notice 11-10 (March 2011).
---------------------------------------------------------------------------

Exception for Information Disclosed on the Form U4
    FINRA Rule 4530(e) currently provides that a firm is not required
to report a specified event under the rule if it reports that event on
the Form U5 (Uniform Termination Notice for Securities Industry
Registration), consistent with the requirements of that form.\6\ This
provision is intended to eliminate duplicative reporting of information
disclosed on the Form U5. FINRA proposes to provide a similar exception
for certain specified events reported on the Form U4. The process
applicable under the proposed Form U4 exception will, however, be
slightly different, in part because of differences in the reporting
criteria between Form U4 and FINRA Rule 4530 events.\7\
---------------------------------------------------------------------------

    \6\ This exception does not extend to the reporting of quarterly
statistical and summary customer complaint information under the
rule.
    \7\ For example, a registered person's Form U4 must be amended
to report pending arbitration claims initiated by a customer where
the registered person is the subject of such a claim, the customer
alleges sales practice violations, and the customer claims damages
in the amount of $5,000 or more. A member must report such a matter
promptly (in general, not later than 30 days after the member is
served with the customer claim) and before the claim has a final
disposition. In contrast, FINRA Rule 4530(a)(1)(G) requires the
reporting of such matters only when there has been a final
disposition that results in an award or a settlement for an amount
exceeding $15,000.
---------------------------------------------------------------------------

    Under the Form U4 exception process, a member will be required to
affirmatively request through functionality on the Central Registration
Depository (CRD[supreg] system) that the data reported on a Form U4
Disclosure Reporting Page (DRP) also be applied to satisfy its
corresponding FINRA Rule 4530 reporting obligation. Specifically, FINRA
proposes to enable filers to designate through the use of checkboxes in
the CRD system that the data reported on certain Form U4 DRPs also be
applied to satisfy the corresponding requirement under FINRA Rule
4530(a)(1).\8\ FINRA expects that this affirmative designation by the
member will facilitate the staff's review process by allowing the staff
to continue to identify, categorize and review Rule FINRA 4530
reportable events in a timely fashion and reduce the number of staff
inquiries to the member to confirm or clarify the firm's intention.
FINRA proposes to enable firms to designate that data on the following
Form U4 DRPs be applied to satisfy the applicable FINRA Rule 4530(a)(1)
events: (1) Criminal; (2) Regulatory Action; (3) Civil Judicial; and
(4) Customer Complaint/Arbitration/Civil Litigation.
---------------------------------------------------------------------------

    \8\ FINRA Rules 4530(a)(1)(A) through (H), which address the
reporting of regulatory, criminal and civil actions, in general,
correspond with information disclosed on the Form U4. There is no
corresponding provision on the Form U4 for matters reportable under
FINRA Rule 4530(a)(2) (disciplinary actions taken by a member
against an associated person) or FINRA Rule 4530(b) (a member's
internal conclusions of violations).
---------------------------------------------------------------------------

    The proposed rule change will be effected through functionality in
the CRD system; FINRA is not proposing changes to the Form U4.
Moreover, firms can continue to report an event via the FINRA Rule 4530
application on the Firm Gateway. Finally, similar to the Form U5
exception, the proposed Form U4 exception will not extend to the
reporting of quarterly statistical and summary customer complaint
information pursuant to FINRA Rule 4530(d).
Availability of Online Filings
    FINRA Rule 4530(f) requires firms to promptly file with FINRA
copies of certain criminal actions, civil complaints and arbitration
claims.\9\ Firms have the option of filing the required documents
either electronically (as a scanned email attachment or scanned and
saved on a disk) or in paper form. Currently, firms do not have the
option of filing these documents with FINRA online. FINRA proposes to
amend FINRA Rule 4530 to give members the option of filing the required
documents online via FINRA's Firm Gateway.\10\ This will provide firms
an online platform to satisfy both their reporting and filing
obligations under FINRA Rule 4530. The documents will be automatically
uploaded in an existing centralized FINRA database. This change has the
potential to reduce the burden on those firms that prefer to file
documents electronically while also providing firms and FINRA with a
more efficient audit trail and saving FINRA staff time currently spent
uploading documents to the centralized database.
---------------------------------------------------------------------------

    \9\ FINRA Rule 4530 provides an exception for any arbitration
claim that is originally filed in the FINRA Dispute Resolution forum
and for those documents that have already been requested by FINRA's
Registration and Disclosure (RAD) staff, provided that the firm
produces those requested documents to RAD staff within 30 days after
receipt of such request.
    \10\ See proposed FINRA Rule 4530(g).
---------------------------------------------------------------------------

    However, firms that choose to file their documents electronically
using the Firm Gateway will be required to provide limited summary
information regarding the documents,\11\ such as the name and telephone
number of the contact person and the name of the complainant or
plaintiff. The required summary information will also automatically
populate the centralized database. This will allow FINRA staff to
retrieve and analyze information contained in these submissions from a
consolidated source. Further, because the summary information will
automatically populate the centralized database, FINRA staff will not
have to separately enter such information into the database, which will
improve the efficiency of the review process.
---------------------------------------------------------------------------

    \11\ See supra note 10.
---------------------------------------------------------------------------

    In conjunction with the proposed rule change, FINRA proposes to
create a new form, which will be available through the Firm
Gateway.\12\ Members that choose to file their documents online will be
required to complete the mandatory fields on the new online form and
attach to the form a scanned copy of the required documents, in a
format such as Adobe PDF.
---------------------------------------------------------------------------

    \12\ A copy of the proposed online form, including explanations
of certain fields on the form, is attached as Exhibit 3. The
Commission notes that Exhibit 3 is attached to the filing, not to
this Notice.
---------------------------------------------------------------------------

    Firms will continue to have the option of filing the documents
required under FINRA Rule 4530(f) via mail or email. In addition, the
requirement to provide limited summary information regarding the
documents only applies to firms that choose to file the documents with
FINRA online using the new form; the requirement does not apply to
firms that use other permissible electronic means (e.g., email) to file
the documents with FINRA.\13\
---------------------------------------------------------------------------

    \13\ FINRA is not proposing to require firms that use other
permissible electronic means to file the documents with FINRA to
provide the summary information, because the functionality to
prepopulate the centralized database with such information is
limited to online filings.

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

Exception for FINRA Findings and Actions
    FINRA Rule 4530(a)(1)(A) requires a member to report external
findings regarding the member or an associated person. FINRA Rules
4530(a)(1)(C) and (D) require a member to report regulatory actions
against the member or an associated person. FINRA Rules 4530(a)(1)(A),
(C) and (D) do not expressly exclude findings and actions by FINRA.
However, since FINRA staff has access to such information through an
enterprise-wide solution, FINRA proposes to add Supplementary Material
.10 to FINRA Rule 4530 to provide that, for purposes of FINRA Rules
4530(a)(1)(A), (C) and (D) only, members are not required to report
findings and actions by FINRA. This exception is, in general,
consistent with the exception under FINRA Rule 4530(f) for arbitration
claims filed in the FINRA Dispute Resolution forum.
    FINRA has filed the proposed rule change for immediate
effectiveness. FINRA will announce the implementation date of the
proposed rule change in a Regulatory Notice to be published no later
than 60 days following the date of filing. The implementation date will
be no later than 180 days after the date of filing.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\14\ 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
further these purposes by eliminating unnecessary duplicative reporting
of information to FINRA and providing firms with the option to file
documents required under FINRA Rule 4530 online. FINRA believes that
the proposed rule change will serve to reduce potential burdens imposed
by the rule without compromising the regulatory information available
to FINRA.
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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.
    The proposed amendment to FINRA Rule 4530(e) to provide an
exception for information disclosed on the Form U4 will eliminate the
burden on firms of having to report the same event twice. While firms
will be required to affirmatively request that the data reported on a
Form U4 be applied to satisfy a corresponding FINRA Rule 4530 reporting
obligation, FINRA believes any resulting burden will be less than the
current burden of separately reporting an event via the FINRA Rule 4530
application. In addition, as noted above, FINRA expects the affirmative
designation requirement to facilitate the staff's review process and
reduce the need for follow-up communications with firms.
    The proposed change to FINRA Rule 4530(g) to provide firms the
option of filing required documents online will not impact or burden
firms that wish to continue filing the required documents via mail or
email. With respect to those firms that choose to file the required
documents online, FINRA believes that the burden on them will be
negligible for the following reasons. All members have an existing
obligation to have online access to FINRA, including a user ID and
password, for purposes of other regulatory filings.\15\ In addition,
with respect to the requirement to attach to the online form a scanned
copy of the required documents, FINRA believes that the requirement
does not create an unreasonable burden for members given the widespread
use of scanning technology, such as PDF. Further, the proposed rule
change will require that they provide limited summary information
regarding the documents. However, FINRA believes that any
administrative burden imposed upon such members by this requirement
would be outweighed by the benefit to FINRA's regulatory program in
allowing the staff to retrieve and analyze information contained in
these submissions from a consolidated source that is prepopulated by
the firms' submissions.
---------------------------------------------------------------------------

    \15\ See, e.g., FINRA Rule 1010 (Electronic Filing Requirements
for Uniform Forms).
---------------------------------------------------------------------------

    Moreover, FINRA does not believe that the proposed change to FINRA
Rule 4530(g) places members that cannot submit their documents
electronically because they lack scanning technology at a disadvantage
to those members that have the capability to do so. As noted above,
members that cannot submit their documents electronically can continue
to submit their documents via mail without any interruption to their
existing processes. In addition, while such members will not have the
benefit of tracking their submissions electronically, they can use non-
electronic means, such a return receipt, for tracking purposes.
    Finally, the addition of Supplementary Material .10 to FINRA Rule
4530 eliminates the burden on firms of having to report findings and
actions by FINRA for purposes of FINRA Rules 4530(a)(1)(A), (C) and
(D). FINRA staff will continue to have access to such information
through an enterprise-wide solution.

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

    Because the foregoing 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 for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \16\ and Rule 19b-
4(f)(6) thereunder.\17\
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78s(b)(3)(A).
    \17\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file 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.
FINRA has satisfied this requirement.
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the 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 to
determine whether the proposed rule should be approved or 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 email to<EMAIL_ADDRESS>Please include
File

Number SR-FINRA-2013-006 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.

All submissions should refer to File Number SR-FINRA-2013-006. 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 such 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-2013-006 and should be
submitted on or before February 15, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
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    \18\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-01495 Filed 1-24-13; 8:45 am]
BILLING CODE 8011-01-P