[Federal Register Volume 76, Number 171 (Friday, September 2, 2011)]
[Proposed Rules]
[Pages 54721-54727]
[FR Doc No: 2011-22478]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

49 CFR Chapter III

[Docket No. FMCSA-2010-0257]
RIN 2126-AB28

Parts and Accessories Necessary for Safe Operation: Brakes;
Adjustment Limits

AGENCY: Federal Motor Carrier Safety Administration, DOT.

ACTION: Notice of proposed rulemaking; request for comments.

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SUMMARY: The Federal Motor Carrier Safety Administration (FMCSA)
proposes to revise the requirements regarding clamp and rotochamber
brake actuator readjustment limits in the Federal Motor Carrier Safety
Regulations (FMCSRs). The purpose of this notice of proposed rulemaking
(NPRM) is to amend the readjustment limits, clarify their application,
and correct an error in cross-referencing a Federal Motor Vehicle
Safety Standard (FMVSS). This proposal responds to a petition for
rulemaking from the Commercial Vehicle Safety Alliance (CVSA).

DATES: Send your comments on or before November 1, 2011.

ADDRESSES: You may submit comments identified by Docket ID Number
FMCSA-2010-0257 by any of the following methods:
    Federal eRulemaking Portal: http://www.regulations.gov. Follow the
online instructions for submitting comments.
    Mail: Docket Management Facility: U.S. Department of
Transportation, 1200 New Jersey Avenue, SE., West Building, Ground
Floor, Room W12-140, Washington, DC 20590-0001.
    Hand Delivery or Courier: West Building, Ground Floor, Room W12-
140, 1200 New Jersey Avenue, SE., between 9 a.m. and 5 p.m. ET, Monday
through Friday, except Federal holidays.
    Fax:<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: Ms. Deborah M. Freund, Vehicle and
Roadside Operations Division, Office of Bus and Truck Standards and
Operations (MC-PSV), Federal Motor Carrier Safety Administration, 1200
New Jersey Avenue, SE., Washington, DC 20590-0001;
<EMAIL_ADDRESS>telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Public Participation and Request for Comments
    A. Submitting Comments
    B. Viewing Comments and Documents
    C. Privacy Act
II. Abbreviations
III. Legal Basis for the Rulemaking
IV. Background
V. CVSA's Petition
VI. Agency Analysis
VII. Discussion of the Proposed Rule
VIII. Regulatory Analyses

I. Public Participation and Request for Comments

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

A. Submitting Comments

    If you submit a comment, please include the docket number for this
rulemaking (FMCSA-2010-0257), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online or by fax, mail, or hand delivery, but please use only one of
these means. FMCSA recommends that you include your name and a mailing
address, an e-mail address, or a phone number in the body of your
document so that FMCSA can contact you if there are questions regarding
your submission.
    To submit your comment online, go to http://www.regulations.gov and
click on the ``Submit a Comment'' box, which will then become
highlighted in blue. In the ``Document Type'' drop-down menu, select
``Proposed Rules,'' insert ``FMCSA-2010-0257'' in the ``Keyword'' box,
and click ``Search.''

When the new screen appears, click on ``Submit a Comment'' in the
``Actions'' column. If you submit your comments by mail or hand
delivery, submit them in an unbound format, no larger than 8\1/2\ by 11
inches, suitable for copying and electronic filing. If you submit
comments by mail and would like to know that they reached the facility,
please enclose a stamped, self-addressed postcard or envelope.
    FMCSA will consider all comments and material received during the
comment period and may change this proposed rule based on your
comments.

B. Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble,
available in the docket, go to http://www.regulations.gov and click on
the ``Read Comments'' box in the upper right-hand side of the screen.
Then, in the ``Keyword'' box insert ``FMCSA-2010-0257'' and click
``Search.'' Next, click the ``Open Docket Folder'' in the ``Actions''
column. Finally, in the ``Title'' column, click on the document you
would like to review. If you do not have access to the Internet, you
may view the docket online by visiting the Docket Management Facility
in Room W12-140 on the ground floor of the Department of Transportation
West Building, 1200 New Jersey Avenue SE., Washington, DC 20590,
between 9 a.m. and 5 p.m. ET, Monday through Friday, except Federal
holidays.

C. Privacy Act

    Anyone is able to search the electronic form for all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review the
U.S. Department of Transportation's (DOT) Privacy Act system of records
notice for DOT Federal Docket Management System (FDMS) in the Federal
Register published on January 17, 2008 (73 FR 3316) at http://edocket.access.gpo.gov/2008/pdf/E8-785.pdf.

II. Abbreviations

ATA American Trucking Associations.
CMV commercial motor vehicle.
CVSA Commercial Vehicle Safety Alliance.
DOT U.S. Department of Transportation.
FHWA Federal Highway Administration.
FMCSRs Federal Motor Carrier Safety Regulations.
FMVSSs Federal Motor Vehicle Safety Standards.
NHTSA National Highway Traffic Safety Administration.
NPRM Notice of Proposed Rulemaking.
OOS out of service.
SAE Society of Automotive Engineers.

III. Legal Basis for the Rulemaking

    Appendix G, Minimum Periodic Inspection Standards, was added to the
FMCSRs in 1988 (53 FR 49411, Dec. 7, 1988). Under the inspection
standards of Appendix G, all items required to be inspected must be in
proper adjustment, must not be defective, and must function properly
before a commercial motor vehicle (CMV) is placed in service. Appendix
G includes, among many other things, brake adjustment (readjustment)
limits. Paragraph 1.a.(5) of this appendix currently reads:

    Readjustment limits. The maximum stroke at which brakes should
be readjusted is given below. Any brake 1/4'' or more past the
readjustment limit or any two brakes less than 1/4'' beyond the
readjustment limit shall be cause for rejection. Stroke shall be
measured with engine off and reservoir pressure of 80 to 90 psi with
brakes fully applied.

    The figures in the rightmost column of each of the three tables
following paragraph 1.a.(5) indicate the maximum stroke at which brakes
should be readjusted.
    Subsequently, in June 1991, the Society of Automotive Engineers
(SAE) developed International Recommended Practice J1817 (SAE J1817) to
provide a marking system that distinguishes long-stroke from standard-
stroke air brake actuators, rotochambers, and their components. It
defines ``rated stroke'' as the minimum design stroke of a brake
actuator.
    The 2001 revision of SAE J1817 includes tables listing recommended
values for minimum rated stroke and maximum readjustment stroke for
clamp band/sealed design standard-stroke brake actuators (Table 1A),
clamp band/sealed design long-stroke brake actuators (Table 1B), and
rotochamber designs (Table 1C). Table 1B is further broken down to
include three classes of long-stroke actuators. The classes are defined
according to the range of difference between the maximum readjustment
stroke and the standard rated stroke. In most but not all cases, the
maximum readjustment stroke is 80 percent of the minimum rated stroke.
The differences are greatest for the smaller sizes of brake chambers.
    In 1997, the Federal Highway Administration (FHWA), FMCSA's
predecessor agency within the U.S. Department of Transportation (DOT),
published in the Federal Register an NPRM titled ``Parts and
Accessories Necessary for Safe Operation; General Amendments'' (62 FR
18169, Apr. 14, 1997). This NPRM proposed to amend 49 CFR part 393 by
removing obsolete and redundant regulations; responding to several
petitions for rulemaking; providing improved definitions of vehicle
types, systems, and components; resolving inconsistencies between part
393 and 49 CFR part 571 (FMVSSs); and codifying certain regulatory
guidance regarding the requirements of part 393. Generally, the
amendments did not establish new or more stringent requirements but
clarified existing requirements.
    As part of that NPRM, FHWA proposed to add a new Sec.  393.47(e) to
the FMCSRs to specify the maximum permissible stroke for different
types (sizes) of brake chambers and incorporate by reference SAE J1817,
Long-Stroke Air-Brake Actuator Marking (June 1991). The NPRM proposed
to require that the maximum values for pushrod travel for clamp- and
rotochamber-type actuators must be less than 80 percent of the rated
strokes listed in SAE J1817, or 80 percent of the rated stroke marked
on the brake chamber by the chamber manufacturer, or the readjustment
limit marked on the brake chamber by the chamber manufacturer. For
types 16 and 20 long-stroke clamp-type brake actuators, the NPRM
proposed that the pushrod travel must be less than 51 mm (2 in.), or 80
percent of the rated stroke marked on the brake chamber by the chamber
manufacturer, or the readjustment limit marked on the brake chamber by
the chamber manufacturer. The NPRM did not propose to revise the
Appendix G brake readjustment-limits tables.
    FMCSA published the final rule on August 15, 2005 (70 FR 48007).
The Agency revised Sec.  393.47(e) as proposed, except that it
incorporated by reference the July 2001 revision of SAE J1817 rather
than the June 1991 edition. The preamble to the final rule did not
indicate whether the Agency received comments on the decision to
incorporate the July 2001 revision.

IV. Background

    On April 16, 2007, CVSA petitioned the Agency to revise Sec.
393.47(e). CVSA stated that, although the readjustment (or brake
actuator stroke) limits of SAE J1817 are consistent with those listed
in Appendix G and CVSA's North American Standard Out-of-Service (OOS)
Criteria, Sec.  393.47(e) ``specifies readjustment (stroke) limits
based on 80 percent of the rated (full) strokes listed in SAE J1817.''
Relying on this criterion introduces discrepancies between Sec.
393.47(e) and SAE J1817. Although the readjustment limits listed in SAE
J1817 agree with those in Appendix G and the OOS Criteria, they differ,
for some brake chambers, from the ``80 percent of rated

stroke'' specified in Sec.  393.47(e). Consequently, ``[t]he
enforcement and/or noting of Sec.  393.47(e) violations by cross-
referencing the regulation to 80% of SAE J1817--Long Stroke Air-Brake
Actuator Marking, July, 2001 is proving problematic for inspectors and
industry.''
    CVSA also pointed out that Sec.  393.47(e) considers a brake with
the stroke at the readjustment limit to be out of adjustment. In
contrast, both Appendix G and the OOS Criteria state that the brake
travel must exceed the readjustment limit for the brake to be
considered out of adjustment. The petitioners added that the values in
both Appendix G and the OOS Criteria were established consistent with
brake manufacturers' recommendations. Although the CVSA subsequently
updated the OOS Criteria to include several types of long-stroke clamp-
type brake chambers, FMCSA has not similarly revised the Appendix G
values.
    In addition, CVSA requested that FMCSA revise Sec.  393.53,
Automatic brake adjusters and brake adjustment indicators, to include
references to the FMVSSs applicable to trailers. Sections 393.53(b) and
(c) would be revised so that the FMVSS citations read, ``49 CFR
571.121, S5.1.8 or S5.2.2.''
    On June 10, 2008, CVSA amended its April 2007 petition to correct
the text of the table subheadings for clamp-type and rotochamber-type
chamber data in the original petition and to add tables for Bendix DD-3
and bolt-type brake chamber data. The amended petition changed the
table subheadings ``Brake Chamber Pushrod Stroke Limit'' and ``RC
Actuate Pushrod Stroke Limit'' to read ``Brake Adjustment Limit'' and
``Rotochamber Type Brake Chamber Data,'' respectively.
    FMCSA has placed copies of CVSA's 2007 petition and 2008 correction
in the docket for this rulemaking.

V. CVSA's Petition

    This NPRM is based on the authority of the Motor Carrier Act of
1935 (1935 Act) and the Motor Carrier Safety Act of 1984 (the 1984
Act), both of which provide broad discretion to the Secretary of
Transportation (Secretary) in implementing their provisions.
    The 1935 Act provides that the Secretary may prescribe requirements
for (1) Qualifications and maximum hours of service of employees of,
and safety of operation and equipment of, a motor carrier [49 U.S.C.
31502(b)(1)], and (2) qualifications and maximum hours of service of
employees of, and standards of equipment of, a motor private carrier,
when needed to promote safety of operation [Sec.  31502(b)(2)]. The
2005 final rule amending part 393 of the FMCSRs (Parts and Accessories
Necessary for Safe Operation, 70 FR 48007, Aug. 15, 2005) and these
proposed amendments are based on the Secretary's authority to regulate
the safety and standards of equipment of for-hire and private carriers.
    The 1984 Act gives the Secretary concurrent authority to regulate
drivers, motor carriers, and vehicle equipment. Codified in 49 U.S.C.
31136(a), section 206(a) of the Act requires the Secretary to publish
regulations on commercial motor vehicle (CMV) safety. Specifically, the
Act sets forth minimum safety standards to ensure that (1) CMVs are
maintained, equipped, loaded, and operated safely [Sec.  31136(a)(1)];
(2) the responsibilities imposed on operators of CMVs do not impair
their ability to operate the vehicles safely [Sec.  31136(a)(2)]; (3)
the physical condition of CMV operators is adequate to enable them to
operate the vehicles safely * * * [Sec.  31136(a)(3)]; and (4) the
operation of CMVs does not have a deleterious effect on the physical
condition of the operators [Sec.  31136(a)(4)].
    The proposed rule would provide improved guidance concerning CMV
brake adjustment limits. The proposed maximum pushrod travel for brake
actuators would enhance the braking performance of the vehicle,
consistent with Sec.  31136(a)(1). The rule does not address the
responsibilities or physical condition of drivers addressed by Sec.
31136(a)(2) and (3), respectively, and deals with Sec.  31136(a)(4)
only to the extent that a safer vehicle is less likely to have a
deleterious effect on the physical condition of a driver. Before
prescribing any such regulations, however, FMCSA must consider the
``costs and benefits'' of any proposal (49 U.S.C. 31136(c)(2)(A) and
31502(d)).

VI. Agency Analysis

    SAE J1817, ``Long-Stroke Air-Brake Actuator Marking,'' describes a
marking system to distinguish long-stroke from standard-stroke air
brake actuators, rotochambers, and components. Long-stroke air brake
actuators are designed to provide longer pushrod stroke capabilities
than standard-stroke actuators. Because some of these chambers are
nearly identical in exterior appearance to the standard chambers, a
unique marking system is needed for the purpose of identification by
mechanics, inspectors, and others in the field. This marking helps
ensure that both types of actuators are serviced correctly and brakes
are adjusted properly. This is important because long-stroke actuator
components from different actuator manufacturers are not
interchangeable, nor are they interchangeable with standard actuator
components.
    In addition to providing discrete marking requirements for
differentiating long-stroke from standard-stroke actuators, SAE J1817
includes tables that specify the rated stroke and the maximum
readjustment stroke for various types of air brake actuators. Tables 1A
and 1B provide data for standard-stroke and long-stroke clamp-type
brake chambers, respectively, and Table 1C provides data for
rotochamber designs.
    Section 393.47(e) of the FMCSRs, as amended in the August 2005
final rule, outlines three options for determining brake actuator
readjustment limits for clamp- and rotochamber-type actuators. The
pushrod travel for these actuators must be:
    (1) Less than 80 percent of the rated stroke listed in Tables 1A,
1B, or 1C of SAE J1817; or
    (2) Less than 80 percent of the rated stroke marked on the brake
chamber by its manufacturer; or
    (3) Less than the readjustment limit marked on the chamber by the
chamber manufacturer.
    As CVSA's petition notes, while Sec.  393.47(e) specifies that
readjustment (stroke) limits may be based on 80 percent of the rated
(full) strokes listed in SAE J1817, relying on this criterion may
introduce discrepancies between Sec.  393.47(e) and SAE J1817. Although
in some cases, the readjustment limits listed in SAE J1817 are 80
percent of the rated stroke for a given actuator, deviations exist.
Where the readjustment limit listed in SAE J1817 for a given actuator
differs from a value equal to 80 percent of the rated stroke, the
difference generally is small. In some cases, however, the deviations
can be considered more significant (i.e., close to, or greater than,
\1/8\ inch).\1\ The differences vary according to the type (size) of
brake chamber. Using the ``80 percent of rated stroke'' criterion in
Sec.  393.47(e) may produce a value that is either more stringent or
less stringent than the value specified in SAE J1817. The differences,
however, are only a fraction of an inch.
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    \1\ Brake stroke is measured in increments of \1/8\ inch.
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    CVSA recommends incorporation of a set of tables into Sec.
393.47(e)--similar to the tables that already exist in (a) SAE J1817,
(b) the CVSA OOS Criteria, and (c) Appendix G to the FMCSRs--that, if
included, would eliminate the discrepancies resulting from application
of the ``80 percent'' criterion currently

permitted under Sec.  393.47(e) as discussed above. Inclusion of these
tables would eliminate confusion in the enforcement community and the
industry by providing explicit values for the actuator readjustment
limits.
    In reviewing the tables in SAE J1817, FMCSA confirmed that the
specified readjustment limits for certain actuators are not equal to 80
percent of the corresponding rated stroke for those actuators.\2\ For
example, the readjustment limit for a T-30-L3 chamber (common on new
trucks) is listed at 2.5 inches in SAE J1817 and the CVSA OOS Criteria
(Appendix G has not been updated to include long-stroke chambers), yet
under the requirements of Sec.  393.47(e), 80 percent of its rated
stroke of 3.0 inches (as provided in SAE J1817) is 2.4 inches, a
difference of slightly less than an eighth of an inch. In another
example, for a standard T-36 chamber (common on transit buses), SAE
J1817, the CVSA OOS Criteria, and Appendix G all list the readjustment
limit as 2.25 inches--but under the requirements of Sec.  393.47(e), 80
percent of the rated stroke of 3.0 inches (as provided in SAE J1817) is
2.4 inches, a difference of slightly more than an eighth of an inch. In
the first example, the Sec.  393.47(e) criterion is more stringent; in
the second it is less stringent. But in both cases the differences are
only a small fraction of an inch.
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    \2\ Whereas SAE J1817 provides values for (1) rated stroke and
(2) corresponding readjustment limits, the CVSA OOS Criteria and
Appendix G provide only readjustment limits.
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    Even though the discrepancies are minimal, they are confusing to
the enforcement community and the industry. Accordingly, for the
reasons discussed above, FMCSA proposes to amend Sec.  393.47(e) as
recommended by CVSA.
    FMCSA does not, however, agree with CVSA's recommendation to limit
out-of-adjustment findings to cases where the brake travel exceeds the
readjustment limit. An s-cam brake that is at the readjustment limit
when it is cold will be beyond the readjustment limit when it gets hot.
FMCSA believes that vehicles should not be dispatched with brakes at
the readjustment limit, because those brakes will be found to be beyond
the adjustment limit--and out of compliance with the regulations--if
evaluated during a roadside inspection after the brakes have become hot
due to operational use. Based on these fundamental performance
characteristics of s-cam brakes, the August 2005 final rule included a
provision in Sec.  393.47(e) that requires brake stroke to be ``less
than'' the readjustment limit(s), as opposed to the Appendix G
provision under which brakes ``at'' the adjustment limit are in
compliance with the FMCSRs. This difference reflects roadside
inspection tolerances. Roadside inspectors typically refrain from
citing a brake adjustment violation until the brake is beyond the
adjustment limit. Further, under the 20 percent rule for brake
violations in the OOS Criteria, roadside inspectors do not remove a CMV
from service unless 20 percent of the vehicle's brakes are out of
adjustment. The Agency believes, however, that it is appropriate to
require motor carriers to take action under the requirements of Sec.
393.47 when a brake is at the adjustment limit. This position is
consistent with findings from a 1995 study concerning the accuracy with
which brake adjustment can be measured \3\ performed by the University
of Michigan Transportation Research Institute for FHWA's Office of
Motor Carrier Safety. To avoid confusion in the enforcement community
and the industry, this NPRM proposes to amend Appendix G to make its
requirements consistent with those of Sec.  393.47(e) adopted in the
August 2005 rule.
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    \3\ ``Evaluation of Brake Adjustment Criteria for Heavy
Trucks,'' FHWA-MC-94-016, March 1995. A copy of the report is in the
docket referenced at the beginning of this notice.
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VII. Discussion of the Proposed Rule

    This NPRM proposes to revise and expand the readjustment-limits
tables as recommended by CVSA, and includes these revised tables in
Sec.  393.47(e) and Appendix G. The revised tables cover readjustment
limits not only for clamp-, bolt-, and rotochamber-type brake chambers
but also for Bendix DD-3 chambers. The table for clamp-type brake
chambers also differentiates between adjustment limits for more sizes
of standard-stroke and long-stroke chambers.
    The NPRM also proposes to eliminate the cross-reference to SAE
J1817 in Sec.  393.47(e). Inclusion of the new tables in Sec.
393.47(e) would provide explicit readjustment limits for each type of
actuator, eliminating the need for the cross-reference.
    FMCSA notes that the SAE Truck and Bus Brake Actuator Committee has
initiated work on a new SAE Recommended Practice, J2899, which would
describe the physical characteristics of air brake actuators that allow
the correct brake readjustment limits to be determined. The new
recommended practice would also define the maximum readjustment limits
based on the rated stroke and type (size) of the chamber. The committee
voted to develop this new J-specification to identify maximum
readjustment limits independently of SAE J1817 and focus the latter on
actuator long-stroke marking requirements. As the committee noted,
limiting SAE J1817 to the topic defined within its scope will
facilitate maintenance of the standard. This project was initiated in
May 2009, and it is not known when the new recommended practice will be
published.
    The proposed rule would adopt CVSA's suggestion to replace the
heading ``Maximum stroke at which brakes should be readjusted'' with
the term ``Brake Adjustment Limit.'' The proposed wording is more
concise and direct.
    As discussed in the Agency Analysis section, FMCSA proposes changes
to paragraph 1.a.(5) of Appendix G, ``Brake System, Service Brakes,''
to be consistent with the Sec.  393.47(e) requirement that pushrod
travel be less than the values specified in the accompanying tables.
For actuator types not listed in these tables, the pushrod stroke must
be less than 80 percent of the rated stroke marked on the actuator by
the actuator manufacturer, or less than the readjustment limit marked
on the actuator by the actuator manufacturer.
    Lastly, the Agency would revise Sec.  393.53 in response to CVSA's
request. Although the introductory text of each paragraph clearly
states that it is applicable to ``each commercial motor vehicle,''
Sec.  393.53(b) and (c) omit a cross-reference to the FMVSSs applicable
to trailers (S.5.2.2). The proposed rule adds this cross-reference to
eliminate potential confusion.

VIII. Regulatory Analyses

Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures

    This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
as supplemented by Executive Order 13563, and does not require an
assessment of potential costs and benefits under section 6(a)(3) of
that Order. FMCSA expects the economic impact of this NPRM to be
minimal. The proposal affects the conditions under which motor carriers
are cited for out-of-adjustment brakes during roadside inspections and
CMVs are placed OOS for such violations. Each brake adjustment
violation cited during a roadside inspection must be addressed

by the carrier, and each OOS order results in time lost for the carrier
and driver because the vehicle may not be operated until the OOS
defects have been corrected. Consequently, a decrease in OOS orders can
be considered a benefit of these proposed amendments to the
readjustment limits, while any increase in violations and OOS orders
would be a cost. With respect to the safety impact of OOS orders for
brake adjustment violations, more such orders on vehicles with defects
may produce a safety benefit by reducing crashes. Neither the
petitioners nor the Agency, however, are able to estimate whether the
number of brake-adjustment violations resulting from this proposal
would increase or decrease by a significant amount. It should be noted,
however, that FMCSA requires motor carriers to maintain their vehicles
in safe and proper operating condition at all times and to have a
systematic inspection, repair, and maintenance program to avoid
dispatching CMVs with safety defects and deficiencies (see, e.g., 49
CFR 396.3(a)(1) and 398.7). Therefore, the potential costs of this NPRM
relate only to carrying out the maintenance task (e.g., readjusting the
brakes or replacing an inoperable slack adjuster) at the inspection
location rather than at one of the carrier's usual maintenance
locations.
    From 2000 to 2009, the annual number of Level I and Level V
roadside inspections of CMVs--the only inspection levels that include
brake stroke measurement--ranged from about 0.94 to 1.25 million, and
the percentage of inspections resulting in the CMV being placed OOS for
brake violations of all kinds ranged from a high of 17 percent to a low
of 12.2 percent. Roughly half of these violations concerned out-of-
adjustment brakes, but the Agency believes that the changes in this
proposal would have relatively little impact on this ratio. By
proposing to: (1) Remove from Sec.  393.47(e) the cross-reference to
the readjustment-limits tables in SAE J1817 and the requirement that
pushrod travel be less than 80 percent of the rated stroke listed in
those tables, (2) incorporate into Sec.  393.47(e) a set of tables
(duplicating those in Appendix G) providing explicit readjustment
limits, and (3) require that pushrod travel be less than the values
specified in those tables, the NPRM would eliminate certain
discrepancies between the brake adjustment values derived using the
``80 percent of rated stroke'' criterion under Sec.  393.47(e) and the
values specified in the SAE J1817 tables. In addition, these changes
would make Sec.  393.47(e) consistent with Appendix G, eliminating
confusion in the enforcement community and the industry.
    Although substituting the readjustment-limits tables for the cross-
reference to SAE J1817 in Sec.  393.47(e) would resolve discrepancies
that the cross-reference introduced, these differences are in many
cases quite small. The differences vary according to the type (size) of
brake chamber. Using the ``80 percent of rated stroke'' criterion may
produce a value that is either more stringent or less stringent than
the value specified in SAE J1817. For these reasons, FMCSA anticipates
that certain brake adjustments that comply with the current rule would
be out of compliance with the proposed standard--while the reverse
could just as often be true. On the other hand, the proposed Appendix G
amendment mirroring the proposed Sec.  393.47(e) requirement that
pushrod travel be less than the values specified in the readjustment-
limits tables would have no effect on the rate of OOS violations for
brake adjustment--because roadside inspection procedures do not
reference the readjustment limits in Appendix G.
    In summary, although FMCSA is unable to estimate the net economic
and safety impacts of the changes proposed in this NPRM, these impacts
clearly would be minimal.

Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
Federal agencies to determine whether proposed rules could have a
significant economic impact on a substantial number of small entities.
FMCSA estimates that the economic impact of this rule would be minimal.
Consequently, I certify that this proposed action would not have a
significant economic impact on a substantial number of small entities.

Unfunded Mandates Reform Act of 1995

    This rulemaking does not impose an unfunded Federal mandate, as
defined by the Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1532 et
seq.), that will result in the expenditure by State, local, and Tribal
governments, in the aggregate, or by the private sector, of $141.3
million (which is the value of $100 million in 2010 after adjusting for
inflation) or more in any 1 year.

Executive Order 12988 (Civil Justice Reform)

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

Executive Order 13045 (Protection of Children)

    FMCSA analyzed this action under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. The
Agency determined that this rulemaking does not pose an environmental
risk to health or safety that may disproportionately affect children.

Executive Order 12630 (Taking of Private Property)

    This rulemaking does not effect a taking of private property or
otherwise have takings implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.

Executive Order 13132 (Federalism)

    A rulemaking has implications for Federalism under Executive Order
13132, Federalism, if it has a substantial direct effect on State or
local governments and would either preempt State law or impose a
substantial direct cost of compliance on them. FMCSA analyzed this
proposed action in accordance with Executive Order 13132. The proposal
would not have a substantial direct effect on States, nor would it
limit the policymaking discretion of States. Nothing in this rulemaking
would preempt any State law or regulation.

Executive Order 12372 (Intergovernmental Review)

    The regulations implementing Executive Order 12372 regarding
intergovernmental consultation on Federal programs and activities do
not apply to this action.

Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires
that FMCSA consider the impact of paperwork and other information
collection burdens imposed on the public. The Agency determined that no
new information collection requirements are associated with this
proposed rule.

National Environmental Policy Act

    FMCSA analyzed this NPRM for the purpose of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and
determined under our environmental procedures Order 5610.1, published
in the Federal Register on March 1, 2004 (69 FR 9680), that this
proposed action does not have any effect on the quality of the
environment.

Therefore, this NPRM is categorically excluded from further analysis
and documentation in an environmental assessment or environmental
impact statement under FMCSA Order 5610.1, paragraph 6(bb) of Appendix
2. The Categorical Exclusion under paragraph 6(bb) relates to
``regulations concerning vehicle operation safety standards,'' such as
the amended brake inspection standards proposed in this rulemaking. A
Categorical Exclusion determination is available for inspection or
copying in the Regulations.gov Web site listed under ADDRESSES.
    FMCSA also analyzed this proposal under section 176(c) of the Clean
Air Act (CAA), as amended (42 U.S.C. 7401 et seq.), and implementing
regulations promulgated by the Environmental Protection Agency.
Approval of this action is exempt from the CAA's general conformity
requirement since it does not affect direct or indirect emissions of
criteria pollutants.

Executive Order 13211 (Energy Effects)

    FMCSA analyzed this action under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. The Agency has determined that it is not a
``significant energy action'' under that Executive Order because it is
not economically significant and is not likely to have an adverse
effect on the supply, distribution, or use of energy.

List of Subjects in 49 CFR Part 393

    Highways and roads, Motor carriers, Motor vehicle equipment, Motor
vehicle safety.

    In consideration of the foregoing, FMCSA proposes to amend title
49, Code of Federal Regulations, subchapter B, chapter III, as follows:

PART 393--[AMENDED]

    1. The authority citation for part 393 is revised to read as
follows:

    Authority: 49 U.S.C. 31136, 31151, and 31502; Sec. 1041(b) of
Pub. L. 102-240, 105 Stat. 1914, 1993 (1991); and 49 CFR 1.73.

    2. In Sec.  393.7, remove paragraph (b)(15) and redesignate
paragraphs (b)(16) through (b)(22) as paragraphs (b)(15) through
(b)(21), respectively.
    3. Amend Sec.  393.47 by revising paragraph (e) to read as follows:

Sec.  393.47  Brake actuators, slack adjusters, linings/pads, and
drums/rotors.

* * * * *
    (e) Clamp, Bendix DD-3, bolt-type, and rotochamber brake actuator
readjustment limits. The pushrod travel for clamp- and rotochamber-type
actuators must be less than the values specified in the following
tables:

                                            Clamp-Type Brake Chambers
----------------------------------------------------------------------------------------------------------------
                                                  Brake adjustment
        Type              Outside diameter         limit: Standard        Brake adjustment limit: Long  stroke
                                                   stroke chamber                       chamber
----------------------------------------------------------------------------------------------------------------
6...................  4 \1/2\ in. (114 mm)...  1 \1/4\ in. (32 mm).    .........................................
9...................  5 \1/4\ in. (133 mm)...  1 \3/8\ in. (35 mm).    .........................................
12..................  5 \11/16\ in. (145 mm).  1 \3/8\ in. (35 mm)...  1 \3/4\ in. (45 mm)
16..................  6 \3/8\ in. (162 mm)...  1 \3/4\ in. (45 mm)...  2 in. (51 mm)
20..................  6 \25/32\ in. (172 mm).  1 \3/4\ in. (45 mm)...  2 in. (51 mm)
                                                                       2 \1/2\ in. (64 mm)*
24..................  7 \7/32\ in. (184 mm)..  1 \3/4\ in. (45 mm)...  2 in. (51 mm)
                                                                       2 \1/2\ in. (64 mm)**
30..................  8 \3/32\ in. (206 mm)..  2 in. (51 mm).........  2 \1/2\ in. (64 mm)
36..................  9 in. (229 mm).........  2 \1/4\ in. (57 mm).    .........................................
----------------------------------------------------------------------------------------------------------------
* For type 20 chambers with a 3-inch (76 mm) rated stroke.
** For type 24 chambers with a 3-inch (76 mm) rated stroke.

                       Bendix DD-3 Brake Chambers
------------------------------------------------------------------------
       Type             Outside  diameter        Brake adjustment limit
------------------------------------------------------------------------
30...............  8 \1/8\ in. (206 mm)......  2 \1/4\ in. (57 mm)
------------------------------------------------------------------------

                        Bolt-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside  diameter        Brake adjustment limit
------------------------------------------------------------------------
A................  6 \5/16\ in. (176 mm).....  1 \3/8\ in. (35 mm)
B................  9 \3/16\ in. (234 mm).....  1 \3/4\ in. (45 mm)
C................  8 \1/16\ in. (205 mm).....  1 \3/4\ in. (45 mm)
D................  5 \1/4\ in. (133 mm)......  1 \1/4\ in. (32 mm)
E................  6 \3/16\ in. (157 mm).....  1 \3/8\ in. (35 mm)
F................  11 in. (279 mm)...........  2 \1/4\ in. (57 mm)
G................  9 \7/8\ in. (251 mm)......  2 in. (51 mm)
------------------------------------------------------------------------

                     Rotochamber-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside  diameter        Brake adjustment limit
------------------------------------------------------------------------
9................  4 \9/32\ in. (109 mm).....  1 \1/2\ in. (38 mm)
12...............  4 \13/16\ in. (122 mm)....  1 \1/2\ in. (38 mm)
16...............  5 \13/32\ in. (138 mm)....  2 in. (51 mm)
20...............  5 \15/16\ in. (151 mm)....  2 in. (51 mm)
24...............  6 \13/32\ in. (163 mm)....  2 in. (51 mm)
30...............  7 \1/16\ in. (180 mm).....  2 \1/4\ in. (57 mm)
36...............  7 \5/8\ in. (194 mm)......  2 \3/4\ in. (70 mm)
50...............  8 \7/8\ in. (226 mm)......  3 in. (76 mm)
------------------------------------------------------------------------

    For actuator types not listed in these tables, the pushrod stroke
must be less than 80 percent of the rated stroke marked on the actuator
by the actuator manufacturer, or less than the readjustment limit
marked on the actuator by the actuator manufacturer.
* * * * *
    4. Amend Sec.  393.53 by revising paragraphs (b) and (c) to read as
follows:

Sec.  393.53  Automatic brake adjusters and brake adjustment
indicators.

* * * * *
    (b) Automatic brake adjusters (air brake systems). Each commercial
motor vehicle manufactured on or after October 20, 1994, and equipped
with an air brake system must meet the automatic brake adjustment
system requirements of Federal Motor Vehicle Safety Standard No. 121
(49 CFR 571.121, S5.1.8 or S5.2.2) applicable to the vehicle at the
time it was manufactured.
    (c) Brake adjustment indicator (air brake systems). On each
commercial motor vehicle manufactured on or after October 20, 1994, and
equipped with an air brake system which contains an external automatic
adjustment mechanism and an exposed pushrod, the condition of service
brake under-adjustment must be displayed by a brake adjustment
indicator conforming to the requirements of Federal Motor

Vehicle Safety Standard No. 121 (49 CFR 571.121, S5.1.8 or S5.2.2)
applicable to the vehicle at the time it was manufactured.
    5. Amend Appendix G to Subchapter B by revising paragraph (1)(a)(5)
to read as follows:

Appendix G to Subchapter B of Chapter III--Minimum Periodic Inspection
Standards

* * * * *
    (1) * * *
    (a) * * *
    (5) Readjustment limits. The maximum pushrod travel or stroke
must be less than the values given in the tables below and at Sec.
393.47(e). Any brake \1/4\'' or more past the readjustment limit, or
any two brakes less than \1/4\'' past the readjustment limit, will
be rejected. Stroke must be measured with engine off and reservoir
pressure of 80 to 90 psi with brakes fully applied.

                        Clamp-Type Brake Chambers
------------------------------------------------------------------------
                                     Brake adjustment   Brake adjustment
      Type        Outside diameter   limit: Standard      limit: Long
                                      stroke chamber     stroke chamber
------------------------------------------------------------------------
6..............  4\1/2\ in. (114    1\1/4\ in. (32     .................
                  mm).               mm).
9..............  5\1/4\ in. (133    1\3/8\ in. (35     .................
                  mm).               mm).
12.............  5\11/16\ in. (145  1\3/8\ in. (35     1\3/4\ in. (45
                  mm).               mm).               mm)
16.............  6\3/8\ in. (162    1\3/4\ in. (45     2 in. (51 mm)
                  mm).               mm).
20.............  6\25/32\ in. (172  1\3/4\ in. (45     2 in. (51 mm);
                  mm).               mm).               2\1/2\ in. (64
                                                        mm) *
24.............  7\7/32\ in. (184   1\3/4\ in. (45     2 in. (51 mm);
                  mm).               mm).               2\1/2\ in. (64
                                                        mm) **
30.............  8\3/32\ in. (206   2 in. (51 mm)....  2\1/2\ in. (64
                  mm).                                  mm)
36.............  9 in. (229 mm)...  2 \1/4\ in. (57    .................
                                     mm).
------------------------------------------------------------------------
* For type 20 chambers with a 3-inch (76 mm) rated stroke.
** For type 24 chambers with a 3-inch (76 mm) rated stroke.

                       Bendix DD-3 Brake Chambers
------------------------------------------------------------------------
       Type             Outside  diameter        Brake adjustment limit
------------------------------------------------------------------------
30...............  8\1/8\ in. (206 mm).......  2\1/4\ in. (57 mm)
------------------------------------------------------------------------

                        Bolt-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside  diameter        Brake adjustment limit
------------------------------------------------------------------------
A................  6\5/16\ in. (176 mm)......  1\3/8\ in. (35 mm)
B................  9\3/16\ in. (234 mm)......  1\3/4\ in. (45 mm)
C................  8\1/16\ in. (205 mm)......  1\3/4\ in. (45 mm)
D................  5\1/4\ in. (133 mm).......  1\1/4\ in. (32 mm)
E................  6\3/16\ in. (157 mm)......  1\3/8\ in. (35 mm)
F................  11 in. (279 mm)...........  2\1/4\ in. (57 mm)
G................  9\7/8\ in. (251 mm).......  2 in. (51 mm)
------------------------------------------------------------------------

                     Rotochamber-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside  diameter        Brake adjustment limit
------------------------------------------------------------------------
9................  4\9/32\ in. (109 mm)......  1\1/2\ in. (38 mm)
12...............  4\13/16\ in. (122 mm).....  1\1/2\ in. (38 mm)
16...............  5\13/32\ in. (138 mm).....  2 in. (51 mm)
20...............  5\15/16\ in. (151 mm).....  2 in. (51 mm)
24...............  6\13/32\ in. (163 mm).....  2 in. (51 mm)
30...............  7\1/16\ in. (180 mm)......  2\1/4\ in. (57 mm)
36...............  7\5/8\ in. (194 mm).......  2\3/4\ in. (70 mm)
50...............  8\7/8\ in. (226 mm).......  3 in. (76 mm)
------------------------------------------------------------------------

    For actuator types not listed in these tables, the pushrod
stroke must be less than 80 percent of the rated stroke marked on
the actuator by the actuator manufacturer, or less than the
readjustment limit marked on the actuator by the actuator
manufacturer.
* * * * *

Anne S. Ferro,
Administrator.
[FR Doc. 2011-22478 Filed 9-1-11; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register: February 4, 2009 (Volume 74, Number 22)]
[Notices]
[Page 6020-6021]
[DOCID:fr04fe09-29]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

January 16, 2009.
    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:
    Docket Numbers: RP09-128-001.
    Applicants: Texas Gas Transmission, LLC.
    Description: Texas Gas Transmission, LLC submits Third Revised
Sheet 1801 et al. to FERC Gas Tariff, Third Revised Volume 1.
    Filed Date: 01/14/2009.
    Accession Number: 20090116-0108.
    Comment Date: 5 p.m. Eastern Time on Monday, January 26, 2009.

    Docket Numbers: RP09-214-000.
    Applicants: Gas Transmission Northwest Corporation.
    Description: Gas Transmission Northwest Corp submits a refund
report reflecting interruptible transportation revenue credits on their
Coyote Springs Later for the period of 11/1/07-10/31/08.
    Filed Date: 01/14/2009.
    Accession Number: 20090116-0107.
    Comment Date: 5 p.m. Eastern Time on Monday, January 26, 2009.

    Docket Numbers: CP06-459-002.
    Applicants: Transwestern Pipeline Company, LLC.
    Description: Application of Transwestern Pipeline Company, LLC to
amend initial incremental transportation rates for the Phoenix
Expansion Project.
    Filed Date: 01/07/2009.
    Accession Number: 20090108-5014.
    Comment Date: 5 p.m. Eastern Time on Wednesday, January 21, 2009.

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

notification when a document is added to a subscribed dockets(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For TTY,
call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. E9-2344 Filed 2-3-09; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 192 (Wednesday, October 3, 2018)]
[Notices]
[Pages 49957-49959]
[FR Doc No: 2018-21482]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84294; File No. SR-NYSE-2018-41]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Section 902.04 of the NYSE Listed Company Manual To Apply a
$50,000 Fee Cap per Transaction for Issuances of Additional Shares by
Closed End Funds

September 27, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on September 19, 2018, New York Stock Exchange LLC
(``NYSE'' or the ``Exchange'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I, II, and III below, which Items have been prepared by the
self-regulatory organization. The Commission is publishing this notice
to solicit comments on the proposed rule change from interested
persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend Section 902.04 of the NYSE Listed
Company Manual (the ``Manual'') to apply a $50,000 fee cap per
transaction for issuances of additional shares by closed end funds. The
proposed rule change is available on the Exchange's website at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization
included

statements concerning the purpose of, and basis for, the proposed rule
change and discussed any comments it received on the proposed rule
change. The text of those statements may be examined at the places
specified in Item IV below. The Exchange has prepared summaries, set
forth in sections A, B, and C below, of the most significant parts of
such statements.

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

1. Purpose
    Under Section 902.04 of the Manual, listing fees on the issuance of
additional shares of an already listed class of stock are capped at
$500,000 per transaction.\4\ The Exchange proposes to amend this
provision to establish a fee cap of $50,000 in relation to an issuance
of additional shares by a closed end fund.
---------------------------------------------------------------------------

    \4\ Section 902.04 includes a list of examples of transactions
that are subject to this fee cap, including ``in the case where
shares are issued in conjunction with a merger or consolidation
where a listed company survives, subsequent public offerings of a
listed security and conversions of convertible securities into a
listed security.''
---------------------------------------------------------------------------

    Under Section 902.02 of the Manual, operating companies benefit
from a $500,000 fee cap per calendar year with respect to the aggregate
of all annual fees and fees paid for the issuance of additional shares.
Giving effect to the payment of annual fees and any earlier payments of
listing fees for additional share issuances during the same calendar
year, the annual $500,000 fee cap may cause an operating company to be
subject to a significantly reduced fee obligation in connection with a
material share issuance, or even no additional fees at all. By
contrast, Section 902.04 does not include an annual cap on fees for
closed end funds at the individual fund level.\5\ Therefore, a closed
end fund receives no reduction in its fee obligations with respect to a
material share issuance as a consequence of its annual fee payments or
even the fees paid with respect to other material transactions earlier
in the same calendar year. As such, a closed end fund may be charged as
much as $500,000 for a transaction for which it would have been charged
far smaller fees if it had been an operating company, if any at all.
---------------------------------------------------------------------------

    \5\ There is a fund family discount that is exclusively
applicable to annual fees. Fund families that list between three and
14 closed end funds receive a 5% discount off the calculated annual
fee for each fund listed, and those with 15 or more listed closed
end funds receive a discount of 15%. Fund families that list between
three and 14 closed end funds receive a 5% discount off the
calculated annual fee for each fund listed, those with between 15
and 19 listed closed end funds receive a discount of 15%, and those
with 20 or more listed closed end funds receive a discount of 50%.
No fund family is required to pay aggregate annual fees in excess of
$1,000,000 in any given year. A fund family consists of closed-end
funds with a common investment adviser or investment advisers who
are ``affiliated persons'' as defined in Section 2(a)(3) of the
Investment Company Act of 1940, as amended.
---------------------------------------------------------------------------

    It is impossible to specify the fee disparity that would exist
between the amount that would be paid by any closed end fund under
Section 902.04 as currently in effect and how much it would owe under
the operating company fee provisions if they applied, as the
differential would be affected by the amount of annual fees the company
paid, the number of shares issued and whether individual issuances had
their fees capped. Nevertheless, the Exchange believes that a $50,000
cap per transaction is a reasonable approach. In reaching this
conclusion, the Exchange reviewed the fee impact of additional share
issuances on operating companies as limited by the $500,000 annual cap
and also examined the likely impact on closed end funds of a $50,000
per transaction fee cap. Based on this review, the Exchange concluded
that a $50,000 cap per transaction for closed end funds would generally
result in a treatment of closed end funds that would be reasonably
similar to the treatment of similarly-situated operating companies. As
a per share rate would continue to be applied up to $50,000 under the
proposed amendment, the fees for additional issuances would generally
be greater for closed end funds that issued greater numbers of
additional shares in the course of a year.
    The Exchange does not believe that any reduction in revenue would
have an impact on its ability to conduct its regulatory activities.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\6\ in general, and furthers the
objectives of Sections 6(b)(4) \7\ of the Act, in particular, in that
it is designed to provide for the equitable allocation of reasonable
dues, fees, and other charges and is not designed to permit unfair
discrimination among its members and issuers and other persons using
its facilities. The Exchange also believes that the proposed rule
change is consistent with Section 6(b)(5) of the Act, in particular in
that it is designed to promote just and equitable principles of trade,
to foster cooperation and coordination with persons engaged in
regulating, clearing, settling, processing information with respect to,
and facilitating transactions in securities, to remove impediments to
and perfect the mechanism of a free and open market and a national
market system, and, in general, to protect investors and the public
interest.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change is consistent
with Sections 6(b)(4) and 6(b)(5) of the Act in that it represents an
equitable allocation of fees and does not unfairly discriminate among
listed companies. The proposed rule change provides for an equitable
allocation of fees and is reasonable under Section 6(b)(4) in that it
is designed to reasonably address a discrepancy in the fees paid by
closed end funds when compared to fees paid by operating companies for
similar transactions. The proposal is not unfairly discriminatory under
Section 6(b)(5) because all closed end funds will be subject to the
same fee schedule for additional share issuances. In addition, as
discussed above in the section entitled ``Purpose,'' the proposal is
not unfairly discriminatory because it is reasonably designed to
address a significant discrepancy in the fee impact of an issuance of
additional shares by a closed end fund when compared to the impact of a
similar issuance on an operating company that is otherwise similarly
situated.

B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purpose of the Act. The proposed amendment does
not impose and burden on competition as its purpose is to address an
anomaly in how closed end funds are charged for additional share
issuances compared to the treatment of operating companies.

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

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

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \8\ of the Act and subparagraph (f)(2) of Rule 19b-
4 \9\ thereunder, because it establishes a due,

fee, or other charge imposed by the Exchange.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \10\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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 protected]. Please include
File Number SR-NYSE-2018-41 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2018-41. 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 website (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 website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSE-2018-41 and should be submitted on
or before October 24, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-21482 Filed 10-2-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 246 (Thursday, December 22, 2016)]
[Notices]
[Pages 93975-93976]
[FR Doc No: 2016-30815]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79587; File Nos. SR-NYSE-2011-55; SR-NYSEAmex-2011-84]

Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE
MKT LLC; Order Granting an Extension to Limited Exemptions From Rule
612(c) of Regulation NMS In Connection With the Exchanges' Retail
Liquidity Programs Until June 30, 2017

December 16, 2016
    On July 3, 2012, the Securities and Exchange Commission
(``Commission'') issued an order pursuant to its authority under Rule
612(c) of Regulation NMS (``Sub-Penny Rule'') \1\ that granted the New
York Stock Exchange LLC (``NYSE'') and NYSE MKT LLC \2\ (``NYSE MKT''
and, together with NYSE, the ``Exchanges'') limited exemptions from the
Sub-Penny Rule in connection with the operation of the Exchanges'
respective Retail Liquidity Programs (``Programs'').\3\ The limited
exemptions were granted concurrently with the Commission's approval of
the Exchanges' proposals to adopt their respective Programs for one-
year pilot terms.\4\ The exemptions were granted coterminous with the
effectiveness of the pilot Programs; both the pilot Programs and
exemptions are scheduled to expire on December 31, 2016.\5\
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    \1\ 17 CFR 242.612(c).
    \2\ At the time it filed the original proposal to adopt the
Retail Liquidity Program, NYSE MKT went by the name NYSE Amex LLC.
On May 14, 2012, the Exchange filed a proposed rule change,
immediately effective upon filing, to change its name from NYSE Amex
LLC to NYSE MKT LLC. See Securities Exchange Act Release No. 67037
(May 21, 2012), 77 FR 31415 (May 25, 2012) (SR-NYSEAmex-2012-32).
    \3\ See Securities Exchange Act Release No. 67347 (July 3,
2012), 77 FR 40673 (July 10, 2012) (SR-NYSE-2011-55; SR-NYSEAmex-
2011-84) (``Order'').
    \4\ See id.
    \5\ The pilot terms of the Programs were originally scheduled to
end on July 31, 2013, but the Exchanges initially extended the terms
for an additional year, through July 31, 2014, see Securities
Exchange Act Release Nos. 70096 (August 2, 2013), 78 FR 48520 (Aug.
8, 2013) (SR-NYSE-2013-48), and 70100 (Aug. 2, 2013), 78 FR 48535
(Aug. 8, 2013) (SR-NYSEMKT-2013-60), and then, through various
extensions, through December 31, 2016. See Securities Exchange Act
Release Nos. 72629 (July 16, 2014), 79 FR 42564 (July 22, 2014) (SR-
NYSE-2014-35); 72625 (July 16, 2014), 79 FR 42566 (July 22, 2014)
(SR-NYSEMKT-2014-60); 74454 (Mar. 6, 2015), 80 FR 13054 (Mar. 12,
2015) (SR-NYSE-2015-10); 74455 (Mar. 6, 2015), 80 FR 13047 (Mar. 12,
2015) (SR-NYSEMKT-2015-14); 75993 (Sept. 28, 2015), 80 FR 59844
(Oct. 2, 2015) (SR-NYSE-2015-41); 75995 (Sept. 28, 2015), 80 FR
59836 (Oct. 2, 2015) (SR-NYSEMKT-2015-69); 77426 (Mar. 23, 2016), 81
FR 17533 (Mar. 29, 2016) (SR-NYSE-2016-25); 77424 (Mar. 23, 2016),
81 FR 17522 (Mar. 29, 2016) (SR-NYSEMKT-2016-39); 78600 (Aug. 17,
2016), 81 FR 57642 (Aug. 23, 2016) (SR-NYSE-2016-54); and 78602
(Aug. 17, 2016), 81 FR 57639 (Aug. 23, 2016) (SR-NYSEMKT-2016-76).
Each time the pilot terms of the Programs were extended, the
Commission also granted the Exchanges' requests to extend the Sub-
Penny exemptions. See Securities Exchange Act Release Nos. 70085
(July 31, 2013), 78 FR 47807 (Aug. 6, 2013); 72732 (July 31, 2014),
79 FR 45851 (Aug. 6, 2014); 74507 (Mar. 13, 2015), 80 FR 14421 (Mar.
19, 2015); 76020 (Sept. 29, 2015), 80 FR 60201 (Oct. 5, 2015); 77438
(Mar. 24, 2016), 81 FR 17752 (Mar. 30, 2016); and 78678 (Aug. 25,
2016), 81 FR 60031 (Aug. 31, 2016). The current exemptions expire
December 31, 2016.

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    The Exchanges now seek to extend the exemptions until June 30,
2017.\6\ The Exchanges' request was made in conjunction with
immediately effective filings that extend the operation of the Programs
through the same date.\7\ In their request to extend the exemptions,
the Exchanges note that the participation in the Programs has increased
more recently. Accordingly, the Exchanges have asked for additional
time to allow themselves and the Commission to analyze more robust data
concerning the Programs, which the Exchanges committed to provide to
the Commission.\8\ For this reason and the reasons stated in the Order
originally granting the limited exemptions, the Commission finds that
extending the exemptions, pursuant to its authority under Rule 612(c)
of Regulation NMS, is appropriate in the public interest and consistent
with the protection of investors.
---------------------------------------------------------------------------

    \6\ See Letter from Martha Redding, Assistant Secretary, NYSE,
to Brent J. Fields, Secretary, Securities and Exchange Commission,
dated November 28, 2016.
    \7\ See Securities Exchange Act Release Nos. 79493 (Dec. 7,
2016), 81 FR 90019 (Dec. 13, 2016) (SR-NYSE-2016-82), and 79509
(Dec. 8, 2016), 81 FR 90389 (Dec. 14, 2016) (SR-NYSEMKT-2016-112).
    \8\ See Order, supra note 3, 77 FR at 40681.
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    Therefore, it is hereby ordered that, pursuant to Rule 612(c) of
Regulation NMS, each Exchange is granted a limited exemption from Rule
612 of Regulation NMS that allows it to accept and rank orders priced
equal to or greater than $1.00 per share in increments of $0.001, in
connection with the operation of its Retail Liquidity Program, until
June 30, 2017.
    The limited and temporary exemptions extended by this Order are
subject to modification or revocation if at any time the Commission
determines that such action is necessary or appropriate in furtherance
of the purposes of the Securities Exchange Act of 1934. Responsibility
for compliance with any applicable provisions of the Federal securities
laws must rest with the persons relying on the exemptions that are the
subject of this Order.
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    \9\ 17 CFR 200.30-3(a)(83).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
Brent J. Fields,
Secretary.
[FR Doc. 2016-30815 Filed 12-21-16; 8:45 am]
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[Federal Register: April 13, 2007 (Volume 72, Number 71)]
[Notices]
[Page 18644-18645]
[DOCID:fr13ap07-49]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2007-0260; FRL-8123-1]

The Association of American Pesticide Control Officials (AAPCO)/
State FIFRA Issues Research and Evaluation Group (SFIREG) Working
Committee on Water Quality/Pesticide Disposal (WC/WQ/PD); Notice of
Public Meeting

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Association of American Pesticide Control Officials
(AAPCO)/State FIFRA Issues Research and Evaluation Group (SFIREG)
Working Committee on Water Quality/Pesticide Disposal (WC/WQ/PD) will
hold a 2-day meeting, beginning on April 30, 2007 and ending May 1,
2007. This notice announces the location and times for the meeting and
sets forth the tentative agenda topics.

DATES: The meeting will be held on April 30, 2007 from 8.30 a.m. to 5
p.m. and 8:30 a.m. to 12 noon on May 1, 2007.
    To request accommodation of a disability, please contact the person
listed under FOR FURTHER INFORMATON CONTACT, preferably at least 10
days prior to the meeting, to give EPA as much time as possible to
process your request.

ADDRESSES: The meeting will be held at USEPA 2777 South Crystal Dr.,
One Potomac Yards (South Bldg.) 4th Floor Conference Center/South

FOR FURTHER INFORMATION CONTACT: Georgia McDuffie, Field and External
Affairs Division (7506P), Office of Pesticide Programs, Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-
0001; telephone number:<PHONE_NUMBER>; fax number:<PHONE_NUMBER>; e-
mail address<EMAIL_ADDRESS>or Philip H. Gray, SFIREG
Executive Secretary, P.O. Box 1249, Hardwick, VT 05843-1249; telephone
number:<PHONE_NUMBER>; fax<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>

SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    You may be potentially affected by this action if you are
interested in SFIREG information exchange relationship with EPA
regarding important issues related to human health, environmental
exposure to pesticides, and insight into EPA's decision-making process
are invited and encouraged to attend the meetings and participate as
appropriate.'' Potentially affected entities may include, but are not
limited to: Those persons who are or may be required to conduct testing
of chemical substances under the Federal Food, Drug and Cosmetic Act
(FFDCA), or the Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA).

B. How Can I Get Copies of this Document and Other Related Information?

    1. Docket. EPA has established a docket for this action under
docket

identification (ID) number EPA-HQ-OPP-2006-0260. Publicly available
docket materials are available either in the electronic docket at
http://www.regulations.gov, or, if only available in hard copy, at the

Office of Pesticide Programs (OPP) Regulatory Public Docket in Rm. S-
4400, One Potomac Yard (South Bldg.), 2777 S. Crystal Dr., Arlington,
VA. The hours of operation of this Docket Facility are from 8:30 a.m.
to 4 p.m., Monday through Friday, excluding legal holidays. The Docket
Facility telephone number is<PHONE_NUMBER>.

II. Tentative Agenda

    1. Chemigation PRN 87-1: Subsurface Drip Irrigation and Water
Quality Concerns
    2. Pesticide Degradates
    3. Drinking Water Levels of Comparison and State Review Triggers
for New Active Ingredients
    4. Safe Drinking Water Act and OPP Interaction on Maximum
Contaminant Levels in Public Drinking Water Supplies
    5. Draft Protocols for State Retrieval of Registration Data
    6. Container Recycling: State Survey and Draft Rule
    7. SFIREG WQ/PD State Reporting Form: Results and Future
    8. Exposure Modeling Public Meeting: Activities Report
    9. Performance Measures, ``Pesticides of Interest'' List, On-line
Reporting
    10. ASIWPCA-SFIREG Partnerships
    11. SFIREG WQ/PD Committee Structure and Member Term Expirations
    12. Federal Aquatic Life Benchmarks Update
    13. Sate-level Aquatic Life Criteria Development
    14. Atrazine Issues: Eco-monitoring, Scientific Advisory Panel
Update,State-Federal Program Interaction
    15. EPA Updates:
    a. Office of Pesticide Programs Update
    b. Office of Enforcement Compliance Assurance Update

List of Subjects

    Environmental protection.

    Dated: April 5, 2007.
 Kevin Keaney,
Director, Field External Affairs Division, Office of Pesticide Programs
[FR Doc. E7-6945 Filed 4-12-07; 8:45 am]

BILLING CODE 6560-50-S


[Federal Register Volume 76, Number 188 (Wednesday, September 28, 2011)]
[Notices]
[Page 60115]
[FR Doc No: 2011-24592]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Aviation Rulemaking Advisory Committee Meeting on Transport
Airplane and Engine Issues

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of public meeting.

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SUMMARY: This notice announces a public meeting of the FAA's Aviation
Rulemaking Advisory Committee (ARAC) to discuss transport airplane and
engine (TAE) issues.

DATES: The meeting is scheduled for Wednesday, October 19, 2011,
starting at 9 am Eastern Daylight Time. Arrangements for oral
presentations must be made by October 12, 2011.

ADDRESSES: The Boeing Company, 1200 Wilson Boulevard, Room 234,
Arlington, Virginia 22209.

FOR FURTHER INFORMATION CONTACT: Ralen Gao, Office of Rulemaking, ARM-
209, FAA, 800 Independence Avenue, SW., Washington, DC 20591, Telephone
(202) 267-3168, Fax<PHONE_NUMBER>, or e-mail at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Pursuant to Section 10(a)(2) of the Federal
Advisory Committee Act (Pub. L. 92-463; 5 U.S.C. app. 2), notice is
given of an ARAC meeting to be held October 19, 2011.
    The agenda for the meeting is as follows:
     Opening Remarks, Review Agenda and Minutes.
     FAA Report.
     ARAC Executive Committee Report.
     Update on Rulemaking Prioritization Working Group.
     Transport Canada Report.
     Materials Flammability Working Group Report.
     Avionics Harmonization Working Group Report.
     AA Working Group Report.
     Flight Controls Working Group Report.
     Rudder Reversal Tasking.
     Any Other Business.
     Action Items Review.
    Attendance is open to the public, but will be limited to the
availability of meeting room space. Please confirm your attendance with
the person listed in the FOR FURTHER INFORMATION CONTACT section no
later than October 12, 2011. Please provide the following information:
Full legal name, country of citizenship, and name of your industry
association, or applicable affiliation. If you are attending as a
public citizen, please indicate so.
    The FAA will arrange for teleconference service for individuals
wishing to join in by teleconference if we receive notice by October
12, 2011. For persons participating by telephone, please contact Ralen
Gao by e-mail or phone for the teleconference call-in number and
passcode. Anyone calling from outside the Arlington, VA, metropolitan
area will be responsible for paying long-distance charges.
    The public must make arrangements by October 12, 2011, to present
oral statements at the meeting. Written statements may be presented to
the ARAC at any time by providing 25 copies to the person listed in the
FOR FURTHER INFORMATION CONTACT section or by providing copies at the
meeting. Copies of the documents to be presented to ARAC may be made
available by contacting the person listed in the FOR FURTHER
INFORMATION CONTACT section.
    If you need assistance or require a reasonable accommodation for
the meeting or meeting documents, please contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Sign and oral
interpretation, as well as a listening device, can be made available if
requested 10 calendar days before the meeting.

    Issued in Washington, DC, on September 20, 2011.
Julie Ann Lynch,
Acting Director, Office of Rulemaking.
[FR Doc. 2011-24592 Filed 9-27-11; 8:45 am]
BILLING CODE 4910-13-P