[Federal Register Volume 82, Number 175 (Tuesday, September 12, 2017)]
[Notices]
[Pages 42819-42821]
[FR Doc No: 2017-19259]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2016-D-0734]

Evaluation and Reporting of Age, Race, and Ethnicity Data in
Medical Device Clinical Studies; Guidance for Industry and Food and
Drug Administration Staff; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of the guidance entitled ``Evaluation and Reporting of
Age, Race, and Ethnicity Data in Medical Device Clinical Studies.'' The
purpose of this document is to outline FDA's recommendations and
expectations for the evaluation and reporting of age, race, and
ethnicity data in medical device clinical studies. The primary intent
of these recommendations is to improve the quality, consistency, and
transparency of data regarding the performance of medical devices
within specific age, race, and ethnic groups.

DATES: The announcement of the guidance is published in the Federal
Register on September 12, 2017.

ADDRESSES: You may submit either electronic or written comments on
Agency guidances at any time as follows:

Electronic Submissions

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

written/paper submission and in the manner detailed (see ``Written/
Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2016-D-0734 for ``Evaluation and Reporting of Age, Race, and
Ethnicity Data in Medical Device Clinical Studies; Guidance for
Industry and Food and Drug Administration Staff; Availability.''
Received comments will be placed in the docket and, except for those
submitted as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852.
    An electronic copy of the guidance document is available for
download from the internet. See the SUPPLEMENTARY INFORMATION section
for information on electronic access to the guidance. Submit written
requests for a single hard copy of the guidance document entitled
``Evaluation and Reporting of Age, Race, and Ethnicity Data in Medical
Device Clinical Studies'' to the Office of the Center Director,
Guidance and Policy Development, Center for Devices and Radiological
Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg.
66, Rm. 5431, Silver Spring, MD 20993-0002 or the Office of
Communication, Outreach, and Development, Center for Biologics
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 71, Rm. 3128, Silver Spring, MD 20993-0002. Send
one self-addressed adhesive label to assist that office in processing
your request.

FOR FURTHER INFORMATION CONTACT: Katheryn O'Callaghan, Center for
Devices and Radiological Health, Food and Drug Administration, 10903
New Hampshire Ave., Bldg. 66, Rm. 5418, Silver Spring, MD 20993-0002,
301-796-6349; or Stephen Ripley, Center for Biologics Evaluation and
Research, Food and Drug Administration, 10903 New Hampshire Ave., Bldg.
71, Rm. 7301, Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    Section 907 of the Food and Drug Administration Safety and
Innovation Act (Pub. L. 112-144) (FDASIA) directed the Agency to
publish and provide to Congress a report describing the extent to which
clinical trial participation and safety and effectiveness data by
demographic subgroups, including sex, age, race, and ethnicity, is
included in applications submitted to FDA (Ref. 1). Section 907 also
directed FDA to publish and provide to Congress an action plan
outlining recommendations to improve the completeness and quality of
analyses of data on demographic subgroups in summaries of product
safety and effectiveness data and in labeling; on the inclusion of such
data, or the lack of availability of such data, in labeling, and to
improve the public availability of such data to patients health care
providers and researchers, and to indicate the applicability of these
recommendations to the types of medical products addressed in section
907. In the Action Plan, FDA committed to developing this guidance as
part of the strategy to fulfill FDASIA requirements (Ref. 2).
    This guidance outlines FDA's recommendations and expectations for
patient enrollment, data analysis, and reporting of age, race, and
ethnicity data in medical device clinical studies. Specific objectives
of this guidance are to (1) encourage the collection and consideration
of age, race, ethnicity, and associated covariates (e.g., body size,
biomarkers, bone density) during the study design stage; (2) outline
recommended analyses of study subgroup data with a framework for
considering demographic data when interpreting overall study outcomes;
and (3) specify FDA's recommendations for reporting age, race, and
ethnicity-specific information in summaries and labeling for approved
or cleared medical devices. FDA believes these recommendations will
help improve the quality, consistency, and transparency of data
regarding the performance of medical devices within specific age, race,
and ethnic groups as well as encourage appropriate enrollment of
diverse populations including relevant age, race, and ethnic groups.
Proper evaluation and reporting of these data can benefit patients,
clinicians, researchers, regulators, and other stakeholders.
    FDA considered comments received on the draft guidance that
appeared in the Federal Register of June 20, 2016 (81 FR 39927). FDA
revised the guidance as appropriate in response to the comments. This
document extends the policy established in FDA's guidance entitled
``Evaluation of Sex-Specific Data in Medical Device Clinical Studies''
to additional demographic subgroups of age, race, and ethnicity (Ref.
3).

II. Significance of Guidance

    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
current thinking of FDA on ``Evaluation and Reporting of Age, Race, and
Ethnicity data in Medical Device Clinical

Studies.'' It does not establish any rights for any person and is not
binding on FDA or the public. You can use an alternative approach if it
satisfies the requirements of the applicable statutes and regulations.
This guidance is not subject to Executive Order 12866.

III. Electronic Access

    Persons interested in obtaining a copy of the guidance may do so by
downloading an electronic copy from the internet. A search capability
for all Center for Devices and Radiological Health guidance documents
is available at https://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/default.htm. Guidance
documents are also available at https://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/default.htm or https://www.regulations.gov. Persons unable to download
an electronic copy of ``Evaluation and Reporting of Age, Race, and
Ethnicity Data in Medical Device Clinical Studies'' may send an email
request to<EMAIL_ADDRESS>to receive an electronic copy of
the document. Please use the document number 1500626 to identify the
guidance you are requesting.

IV. Paperwork Reduction Act of 1995

    This guidance refers to previously approved collections of
information found in FDA regulations. These collections of information
are subject to review by the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). These
collections of information in 21 CFR part 812 have been approved under
OMB control number 0910-0078; the collections of information in 21 CFR
part 807, subpart E, have been approved under OMB control number 0910-
0120; the collections of information in 21 CFR part 814, subparts A
through E, have been approved under OMB control number 0910-0231; the
collections of information in 21 CFR part 814, subpart H, have been
approved under OMB control number 0910-0332; the collections of
information in 21 CFR part 822 have been approved under OMB control
number 0910-0449; and the collections of information in 21 CFR part 801
have been approved under OMB control number 0910-0485.

V. References

    The following references are on display in the Dockets Management
Staff office (see ADDRESSES) and are available for viewing by
interested persons between 9 a.m. and 4 p.m., Monday through Friday;
they are also available electronically at https://www.regulations.gov.
FDA has verified the Web site addresses, as of the date this document
publishes in the Federal Register, but Web sites are subject to change
over time.

1. FDA Report: Collection, Analysis, and Availability of Demographic
Subgroup Data for FDA-Approved Medical Products, issued August 2013,
required under FDASIA section 907, available at http://www.fda.gov/downloads/RegulatoryInformation/Legislation/SignificantAmendmentstotheFDCAct/FDASIA/UCM365544.pdf.
2. FDA's Action Plan to Enhance the Collection and Availability of
Demographic Subgroup Data (August, 2014), available at https://www.fda.gov/downloads/RegulatoryInformation/Legislation/SignificantAmendmentstotheFDCAct/FDASIA/UCM410474.pdf.
3. FDA's guidance entitled ``Evaluation of Sex-Specific Data in
Medical Device Clinical Studies'' (August 22, 2014), available at
https://www.fda.gov/downloads/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/UCM283707.pdf.

    Dated: September 7, 2017.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2017-19259 Filed 9-11-17; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 86, Number 131 (Tuesday, July 13, 2021)]
[Notices]
[Pages 36850-36853]
[FR Doc No: 2021-14798]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92343; File No. SR-NYSE-2021-39]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Its Price List

July 7, 2021.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that, on June 30, 2021, New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``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.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its Price List to modify the
requirements to qualify for Supplemental Liquidity Provider (``SLP'')
Tier 5. The Exchange proposes to implement the rule change on July 1,
2021. 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
    The Exchange proposes to amend its to modify the requirements to
qualify for SLP Tier 5.
    The proposed changes respond to the current competitive environment
where order flow providers have a choice of where to direct liquidity-
providing orders by offering further incentives for member
organizations to send additional displayed liquidity to the Exchange.
    The Exchange proposes to implement the rule change on July 1, 2021.
Current Market and Competitive Environment
    The Exchange operates in a highly competitive market. The
Commission has repeatedly expressed its preference for competition over
regulatory intervention in determining prices, products, and services
in the securities markets. Specifically, in Regulation NMS, the
Commission highlighted the importance of market forces in determining
prices and SRO revenues and, also, recognized that current regulation
of the market system ``has been remarkably successful in promoting
market competition in its broader forms that are most important to
investors and listed companies.'' \4\
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    \4\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005) (S7-10-04) (Final Rule)
(``Regulation NMS'').
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    As the Commission itself has recognized, the market for trading
services in NMS stocks has become ``more fragmented and competitive.''
\5\ Indeed, equity trading is currently dispersed across 16
exchanges,\6\ 31 alternative trading systems,\7\ and numerous broker-
dealer internalizers and wholesalers. Based on publicly-available
information, no single exchange has more than 18% of the market.\8\
Therefore, no exchange possesses significant pricing power in the
execution of equity order flow. More specifically, the Exchange's share
of executed volume of equity trades in Tapes A, B and C securities is
less than 14%.\9\
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    \5\ See Securities Exchange Act Release No. 51808, 84 FR 5202,
5253 (February 20, 2019) (File No. S7-05-18) (Transaction Fee Pilot
for NMS Stocks Final Rule) (``Transaction Fee Pilot'').
    \6\ See Cboe Global Markets, U.S. Equities Market Volume
Summary, available at http://markets.cboe.com/us/equities/market_share/. See generally https://www.sec.gov/fast-answers/divisionsmarketregmrexchangesshtml.html.
    \7\ See FINRA ATS Transparency Data, available at https://otctransparency.finra.org/otctransparency/AtsIssueData. Although 54
alternative trading systems were registered with the Commission as
of July 29, 2019, only 31 are currently trading. A list of
alternative trading systems registered with the Commission is
available at https://www.sec.gov/foia/docs/atslist.htm.
    \8\ See Cboe Global Markets U.S. Equities Market Volume Summary,
available at http://markets.cboe.com/us/equities/market_share/.
    \9\ See id.
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    The Exchange believes that the ever-shifting market share among the
exchanges from month to month demonstrates that market participants can
move order flow, or discontinue or reduce use of certain categories of
products, in response to fee changes. With respect to non-marketable
order flow that would provide displayed liquidity on an Exchange,
member organizations can choose from any one of the numerous currently
operating registered exchanges to route such order flow. Accordingly,
competitive forces constrain exchange transaction fees that relate to
orders that would provide liquidity on an exchange [sic].
Proposed Rule Change
    In response to the competitive environment described above, the
Exchange has established incentives for its member organizations who
submit orders that provide liquidity on the Exchange. The proposed fee
change is designed to attract additional order flow to the Exchange by
incentivizing member organizations to submit additional displayed
liquidity to the Exchange.
Proposed Changes to SLP Tier 5
    Under current SLP Tier 5, an SLP adding liquidity in securities
with a per share price of $1.00 or more with orders, other than Mid-
Point Liquidity (``MPL'')

orders, is eligible for a per share credit of $0.0031 (or $0.0012 if a
Non-Displayed Reserve Order) if the SLP:
    (1) Meets the 10% average or more quoting requirement in an
assigned security pursuant to Rule 107B;
    (2) adds liquidity for all assigned SLP securities in the aggregate
(including shares of both an SLP-Prop and an SLMM of the same or an
affiliated member organization) of an average daily volume (``ADV'') of
more than 0.65% of Tape A consolidated ADV (``CADV'') \10\ (for SLPs
that are also DMMs and subject to Rule 107B(i)(2)(A), more than 0.65%
after a discount of the percentage for the prior quarter of Tape A CADV
in DMM assigned securities as of the last business day of the prior
month);
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    \10\ The terms ``ADV'' and ``CADV'' are defined in footnote * of
the Price List.
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    (3) has Adding ADV,\11\ including non-SLP Adding ADV but excluding
any liquidity added by a DMM, that is at least 0.85% of Tape A CADV;
and
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    \11\ Footnote 2 to the Price List defines ``Adding ADV'' as ADV
that adds liquidity to the Exchange during the billing month.
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    (4) executes an ADV, including non-SLP Adding ADV but excluding any
liquidity added by a DMM, of at least 250,000 shares in Retail Price
Improvements Orders.
    The Exchange proposes to lower the Adding ADV requirements to
qualify for the SLP Tier 5. Specifically, the Exchange proposes that a
SLP add liquidity for all assigned SLP securities in the aggregate
(including shares of both an SLP-Prop and an SLMM of the same or an
affiliated member organization) of an ADV of more than 0.60% of Tape A
CADV. For SLPs that are also DMMs and subject to Rule 107B(i)(2)(A),
the requirement would be more than 0.60% after a discount of the
percentage for the prior quarter of Tape A CADV in DMM assigned
securities as of the last business day of the prior month. In addition,
the Exchange would require an Adding ADV, including non-SLP Adding ADV
but excluding any liquidity added by a DMM, that is at least 0.80% of
Tape A CADV.
    The remaining requirements for qualifying for SLP Tier 5 and the
existing credits would remain unchanged.
    The Exchange believes that lowering the ADV requirements to qualify
for SLP Tier 5 as proposed above will allow greater numbers of SLPs to
potentially qualify for the tier, and will incentivize more SLPs to
route their liquidity-providing order flow to the Exchange in order to
qualify for the tier. This in turn would support the quality of price
discovery on the Exchange and provide additional price improvement
opportunities for incoming orders.
    As noted above, the Exchange operates in a competitive environment,
particularly as relates to attracting non-marketable orders, which add
liquidity to the Exchange. The Exchange believes that the lower
requirements will provide greater incentives for SLPs to add more
liquidity to the Exchange. The Exchange does not know how much order
flow SLPs choose to route to other exchanges or to off-exchange venues.
Based on the profile of liquidity-adding firms generally, the Exchange
believes that additional SLPs could qualify for the tier under the
revised qualification criteria if they choose to direct order flow to,
and increase quoting on, the Exchange. However, without having a view
of SLP's activity on other exchanges and off-exchange venues, the
Exchange has no way of knowing whether this proposed rule change would
result in any additional SLPs directing orders to the Exchange in order
to qualify for the SLP Tier 5 rates.
    The proposed changes are not otherwise intended to address any
other issues, and the Exchange is not aware of any problems that member
organizations would have in complying with the proposed changes.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\12\ in general, and furthers the
objectives of Sections 6(b)(4) and 6(b)(5) of the Act,\13\ in
particular, because it provides for the equitable allocation of
reasonable dues, fees, and other charges among its members, issuers and
other persons using its facilities and does not unfairly discriminate
between customers, issuers, brokers or dealers.
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    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(4) & (5).
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The Proposed Change Is Reasonable
    As discussed above, the Exchange operates in a highly competitive
market. The Commission has repeatedly expressed its preference for
competition over regulatory intervention in determining prices,
products, and services in the securities markets. In Regulation NMS,
the Commission highlighted the importance of market forces in
determining prices and SRO revenues and, also, recognized that current
regulation of the market system ``has been remarkably successful in
promoting market competition in its broader forms that are most
important to investors and listed companies.'' \14\ While Regulation
NMS has enhanced competition, it has also fostered a ``fragmented''
market structure where trading in a single stock can occur across
multiple trading centers. When multiple trading centers compete for
order flow in the same stock, the Commission has recognized that ``such
competition can lead to the fragmentation of order flow in that
stock.'' \15\
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    \14\ See Regulation NMS, supra note 4, at 37499.
    \15\ See Securities Exchange Act Release No. 61358, 75 FR 3594,
3597 (January 21, 2010) (File No. S7-02-10) (Concept Release on
Equity Market Structure).
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    Given the current competitive environment, the Exchange believes
that the proposed revisions to the requirements for SLPs to qualify for
SLP Tier 5 represents a reasonable attempt to attract additional order
flow to the Exchange. Specifically, the Exchange believes that the
proposed revisions are reasonable because they would provide further
incentives for member organizations that are SLPs to route additional
liquidity-providing orders to a public exchange to reach the proposed
Adding ADV requirements, thereby promoting price discovery and
transparency and enhancing order execution opportunities for member
organizations. All member organizations would benefit from the greater
amounts of liquidity that will be present on the Exchange, which would
provide greater execution opportunities.
    As noted above, the Exchange operates in a competitive environment,
particularly as relates to attracting non-marketable orders, which add
liquidity to the Exchange. The Exchange believes that the lower
requirements will provide greater incentives for SLPs to add more
liquidity to the Exchange. The Exchange does not know how much order
flow SLPs choose to route to other exchanges or to off-exchange venues.
Based on the profile of liquidity-adding firms generally, the Exchange
believes that additional SLPs could qualify for the tier under the
revised qualification criteria if they choose to direct order flow to,
and increase quoting on, the Exchange. However, without having a view
of SLP's activity on other exchanges and off-exchange venues, the
Exchange has no way of knowing whether this proposed rule change would
result in any additional SLPs directing orders to the Exchange in order
to qualify for the SLP Tier 5 credits.

The Proposal Is an Equitable Allocation of Fees
    The Exchange believes the proposed rule change equitably allocates
its fees among its market participants. The proposed change would
continue to encourage member organizations that are SLPs to submit
additional liquidity to the Exchange and execute orders on the
Exchange, thereby contributing to robust levels of liquidity, to the
benefit of all market participants.
    The Exchange believes that modifying the requirements to qualify
for SLP Tier 5 would encourage the submission of additional liquidity
to the Exchange, thereby providing customers with a higher quality
venue for price discovery, liquidity, competitive quotes and price
improvement. The proposed change will thereby encourage the submission
of additional liquidity to a national securities exchange, thus
promoting price discovery and transparency and enhancing order
execution opportunities for member organizations from the substantial
amounts of liquidity present on the Exchange. All member organizations
would benefit from the greater amounts of liquidity that will be
present on the Exchange, which would provide greater execution
opportunities.
    The proposal neither targets nor will it have a disparate impact on
any particular category of market participant. Specifically, the
Exchange believes that the proposal constitutes an equitable allocation
of fees because all similarly situated SLPs would be eligible for the
same credits if they meet the revised requirements for the tier. As to
those SLPs that do not presently qualify for the adding liquidity
credits, the proposal will not adversely impact their existing pricing
or their ability to qualify for other credits provided by the Exchange.
The Proposal Is Not Unfairly Discriminatory
    The Exchange believes that the proposal is not unfairly
discriminatory. In the prevailing competitive environment, member
organizations are free to disfavor the Exchange's pricing if they
believe that alternatives offer them better value.
    The proposed changes to the SLP Tier 5 are not unfairly
discriminatory because the lower ADV requirements to achieve the fee
would be applied to all similarly situated member organizations and
other market participants, who would all be subject to the same
modified requirements to qualify for the tier and the same credits on
an equal basis. For the same reason, the proposal neither targets nor
will it have a disparate impact on any particular category of market
participant. Accordingly, no member organization already operating on
the Exchange would be disadvantaged by this allocation of fees.
Further, the Exchange believes the proposal would incentivize member
organizations that are SLPs to send more orders to the Exchange to
qualify for higher credits.
    The Exchange believes that the proposed changes would not permit
unfair discrimination among SLPs because the tiered rates are available
equally to all SLPs. As described above, in today's competitive
marketplace, order flow providers have a choice of where to direct
liquidity-providing order flow, and the Exchange believes there are
additional SLPs that could qualify if they chose to direct their order
flow to the Exchange. Finally, the submission of orders to the Exchange
is optional for member organizations in that they could choose whether
to submit orders to the Exchange and, if they do, the extent of its
activity in this regard.
    Finally, the Exchange believes that it is subject to significant
competitive forces, as described below in the Exchange's statement
regarding the burden on competition.
    For the foregoing reasons, the Exchange believes that the proposal
is consistent with the Act.

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

    In accordance with Section 6(b)(8) of the Act,\16\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, as discussed above, the Exchange believes
that the proposed change would encourage the submission of additional
liquidity and order flow to a public exchange, thereby enhancing order
execution opportunities for member organizations. As a result, the
Exchange believes that the proposed change furthers the Commission's
goal in adopting Regulation NMS of fostering competition among orders,
which promotes ``more efficient pricing of individual stocks for all
types of orders, large and small.'' \17\
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    \16\ 15 U.S.C. 78f(b)(8).
    \17\ Regulation NMS, 70 FR at 37498-99.
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    Intramarket Competition. The proposed change is designed to attract
additional order flow to the Exchange. As described above, the Exchange
believes that the proposed change would provide additional incentives
for market participants to route liquidity-providing and liquidity-
removing orders to the Exchange. Greater liquidity benefits all market
participants on the Exchange by providing more trading opportunities
and encourages member organizations to send orders, thereby
contributing to robust levels of liquidity, which benefits all market
participants on the Exchange. The current and proposed credits would be
available to all similarly-situated market participants, and, as such,
the proposed change would not impose a disparate burden on competition
among market participants on the Exchange.
    Intermarket Competition. The Exchange operates in a highly
competitive market in which market participants can readily choose to
send their orders to other exchanges and off-exchange venues if they
deem fee levels at those other venues to be more favorable. In such an
environment, the Exchange must continually adjust its fees and rebates
to remain competitive with other exchanges and off-exchange venues.
Because competitors are free to modify their own fees and credits in
response, and because market participants may readily adjust their
order routing practices, the Exchange does not believe its proposed fee
change can impose any burden on intermarket competition.
    The Exchange believes that the proposed change could promote
competition between the Exchange and other execution venues, including
those that currently offer similar order types and comparable
transaction pricing, by encouraging additional orders to be sent to the
Exchange for execution.

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) \18\ of the Act and subparagraph (f)(2) of Rule
19b-4 \19\ thereunder, because it establishes a due, fee, or other
charge imposed by the Exchange.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(3)(A).
    \19\ 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) \20\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \20\ 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_ADDRESS>Please include
File Number SR-NYSE-2021-39 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-2021-39. 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-2021-39 and should be submitted on
or before August 3, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\21\
---------------------------------------------------------------------------

    \21\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-14798 Filed 7-12-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: June 18, 2010 (Volume 75, Number 117)]
[Notices]
[Page 34753]
[DOCID:fr18jn10-81]

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

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-1917-DR; Docket ID FEMA-2010-0002]

Oklahoma; Amendment No. 2 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Oklahoma (FEMA-1917-DR), dated May 24, 2010, and
related determinations.

DATES: Effective Date: June 11, 2010.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Recovery Directorate,
Federal Emergency Management Agency, 500 C Street, SW., Washington, DC
20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Oklahoma is hereby amended to include the Public
Assistance program for the following areas among those areas determined
to have been adversely affected by the event declared a major disaster
by the President in his declaration of May 24, 2010.

    Alfalfa, Grant, Major, Noble, and Osage Counties for Public
Assistance.
    Cleveland, McIntosh, Okfuskee, Pottawatomie, and Seminole
Counties for Public Assistance (already designated for Individual
Assistance).
    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.

W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2010-14699 Filed 6-17-10; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: July 26, 2010 (Volume 75, Number 142)]
[Notices]
[Page 43590-43591]
[DOCID:fr26jy10-99]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-62534; File No. SR-Phlx-2010-95]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating
to Order Re-Entry

July 20, 2010.
    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 July 12, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or the ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and III below, which
Items have been prepared by the Exchange. Phlx has designated the
proposed rule change as constituting a rule change under Rule 19b-
4(f)(5) under the Act,\3\ which renders the proposal effective upon
filing with 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)(5).
---------------------------------------------------------------------------

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

    The Exchange proposes to amend Rules 1017, Openings in Options, and
1082, Firm Quotations, to reflect a system enhancement that
automatically re-enters unexecuted contracts when, after trading at the
Exchange and/or routing, there are contracts remaining from the
initiating order.
    The text of the proposed rule change is available on the Exchange's
Web site at http://www.nasdaqtrader.com/micro.aspx?id=PHLXRulefilings,
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 Exchange 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. The Exchange 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
    The purpose of the proposed rule change is to change the manner in
which the PHLX XL[supreg] automated options trading system \4\ handles
unexecuted contracts following: (1) The end of the opening process; and
(2) the end of the ``quote exhaust'' and ``market exhaust'' auctions.
This new feature further automates the order handling process,
particularly at the opening of trading, for certain member
organizations routing order flow to the Exchange. The new feature is
optional and is available to any Exchange member upon request.
---------------------------------------------------------------------------

    \4\ This proposal refers to ``PHLX XL'' as the Exchange's
automated options trading system. In May 2009 the Exchange enhanced
the system and adopted corresponding rules referring to the system
as ``Phlx XL II.'' See Securities Exchange Act Release No. 59995
(May 28, 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The
Exchange intends to submit a separate technical proposed rule change
that would change all references to the system from ``Phlx XL II''
to ``PHLX XL'' for branding purposes.
---------------------------------------------------------------------------

    Currently, at the end of the opening process, the PHLX XL system
cancels all unexecuted order interest priced through the opening price
level, and sends a cancellation notice to the member that originally
submitted the order. Similarly, at the end of the quote exhaust and
market exhaust auctions, the PHLX XL system cancels unexecuted order
volume that initiated such auction(s), and sends a cancellation notice
to the member that originally submitted the order.
    The instant proposal would modify the PHLX XL system and
corresponding Exchange rules such that the PHLX XL system will, upon
the written instruction of the member that initially submitted the
order, re-submit unexecuted contracts following the opening process and
following the quote exhaust and market exhaust auctions.\5\ A re-
submitted order will be treated strictly as a new order, thus forgoing
any time/price priority it may have had when initially entered by the
member that originally submitted the order. Therefore, the time of
receipt of the new order will be recorded as of the time it is re-
submitted. Cancellation notices under the proposal will be stopped by
the system and will not reach the member that originally submitted the
order.
---------------------------------------------------------------------------

    \5\ The Exchange anticipates that a member's single written
instruction to re-submit unexecuted contracts would apply to all
orders in specified options following the receipt of the written
instruction by the Exchange. For purposes of this proposal, an e-
mail message is sufficient to satisfy the written instruction
requirement. The Exchange will publish an Options Trader Alert
(``OTA'') on its Web site describing where and to whom such written
instruction should be made.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that its proposal is consistent with section
6(b) of the Act \6\ in general, and furthers the objectives of section
6 (b)(5) of the Act \7\ in particular, in that it is designed to
promote just and equitable principles of trade, 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. Specifically, the Exchange believes that the proposal
benefits customers by improving market efficiency through the enhanced
automation of the order entry process when a member has instructed the
Exchange to automatically re-submit unexecuted contracts following
routing to away markets.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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 not necessary or appropriate in
furtherance of the purposes of the Act.

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

    No written comments were either solicited or received.

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

    The proposed rule change effects a change in an existing order-
entry or trading system of a self-regulatory organization that: (i)
Does not significantly affect the protection of investors or the public
interest; (ii) does not impose any significant burden on competition;
and (iii) does not have the effect of limiting the access to or
availability of the system. Therefore, the proposal is effective upon
filing pursuant to section 19(b)(3)(A) \8\ of the Act and subparagraph
(f)(5) of Rule 19b-4 thereunder.\9\
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(5).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate 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.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2010-95 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-Phlx-2010-95. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, 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, on official
business days between the hours of 10 a.m. and 3 p.m. Copies of the
filing also will be available for inspection and copying at the
principal office of the Exchange. 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-Phlx-2010-95 and should be submitted on or before August
16, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-18211 Filed 7-23-10; 8:45 am]
BILLING CODE 8010-01-P


[Federal Register: December 17, 2007 (Volume 72, Number 241)]
[Rules and Regulations]
[Page 71204-71206]
[DOCID:fr17de07-3]

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

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-28432; Directorate Identifier 2007-CE-051-AD;
Amendment 39-15303; AD 2007-26-01]
RIN 2120-AA64

Airworthiness Directives; Thrush Aircraft, Inc. Model S2R Series
Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for certain
Thrush Aircraft, Inc. (Thrush) Model S2R series airplanes. This AD
requires you to do repetitive visual inspections of the vertical and
horizontal stabilizer attach fitting, attach fitting bolts, and the
vertical fin aft spar for cracks or corrosion. This AD also requires
immediate replacement of the vertical and horizontal stabilizer attach
fittings and attach fitting bolts if cracked or corroded parts are
found, and the inspection of the vertical fin aft spar with repair or
replacement if cracks or corrosion are found. This AD requires the
eventual replacement of the vertical and horizontal stabilizer attach
fittings and attach fitting bolts if no corrosion or cracks are found
as terminating action for the repetitive inspections. This AD results
from reports of cracks in the empennage of Thrush S2R series airplanes.
We are issuing this AD to detect and correct these cracks, which could
cause the vertical stabilizer to lose structural integrity. This
failure could lead to loss of control.

DATES: This AD becomes effective on January 22, 2008.
    On January 22, 2008, the Director of the Federal Register approved
the incorporation by reference of certain publications listed in this
AD.

ADDRESSES: For service information identified in this AD, contact
Thrush Aircraft, Inc., P.O. Box 3149, 300 Old Pretoria Road, Albany,
Georgia 31706-3149; telephone:<PHONE_NUMBER>; facsimile:<PHONE_NUMBER>;
or on the Internet at: http://www.thrushaircraft.com.

    To view the AD docket, go 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, or on the Internet at
http://www.regulations.gov. The docket number is FAA-2007-28432;

Directorate Identifier 2007-CE-051-AD.

FOR FURTHER INFORMATION CONTACT ONE OF THE FOLLOWING:

--Cindy Lorenzen, Aerospace Engineer, ACE-115A, Atlanta Aircraft
Certification Office, One Crown Center, 1895 Phoenix Blvd., Suite 450,
Atlanta, Georgia 30349; telephone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>;
e-mail<EMAIL_ADDRESS>or
--Mike Cann, Aerospace Engineer, ACE-117A, Atlanta Aircraft
Certification Office, One Crown Center, 1895 Phoenix Blvd., Suite 450,
Atlanta, Georgia 30349; telephone:<PHONE_NUMBER>; facsimile: (770)
703-6097; e-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    On July 26, 2007, we issued a proposal to amend part 39 of the
Federal Aviation Regulations (14 CFR part 39) to include an AD that
would apply to certain S2R series airplanes. This proposal was
published in the Federal Register as a notice of proposed rulemaking
(NPRM) on July 26, 2007 (72 FR 41042). The NPRM proposed to require
repetitive visual inspections of the vertical and horizontal stabilizer
attach fitting, attach fitting bolts, and the vertical fin aft spar for
corrosion or cracks. The NPRM also proposed to require immediate
replacement of the vertical and horizontal stabilizer attach fittings
and attach fitting bolts if cracked or corroded parts are found, and
inspection of the vertical fin aft spar with repair or replacement if
cracks or corrosion are found. This AD requires the eventual
replacement of the vertical and horizontal stabilizer attach fittings
and attach fitting bolts if no corrosion or cracks are found as
terminating action for the repetitive inspections.

Comments

    We provided the public the opportunity to participate in developing
this AD. We received no comments on the proposal or on the
determination of the cost to the public.

Conclusion

    We have carefully reviewed the available data and determined that
air safety and the public interest require adopting the AD as proposed
except for minor editorial corrections. We have determined that these
minor corrections:
     Are consistent with the intent that was proposed in the
NPRM for correcting the unsafe condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM.

Costs of Compliance

    We estimate that this AD affects 910 airplanes in the U.S.
registry.
    We estimate the following costs to do the inspection:

----------------------------------------------------------------------------------------------------------------
                                                                               Total cost  per    Total cost on
                 Labor cost                             Parts cost                airplane       U.S. operators
----------------------------------------------------------------------------------------------------------------
8 work-hours x $80 per hour = $640..........  Not applicable................             $640          $582,400
----------------------------------------------------------------------------------------------------------------

    We estimate the following costs to do any necessary replacements of
the vertical fin aft spar that would be required based on the results
of the inspection. We have no way of determining the number of
airplanes that may need this replacement:

------------------------------------------------------------------------
                                                          Total cost per
              Labor cost                   Parts cost        airplane
------------------------------------------------------------------------
12 work-hours x $80 per hour = $960...          $3,800           $4,760
------------------------------------------------------------------------

    We estimate the following costs to replace the vertical and
horizontal stabilizer attach fittings and attachment bolt:

----------------------------------------------------------------------------------------------------------------
                                                                               Total cost  per    Total cost on
                         Labor cost                              Parts cost        airplane      U.S. operators
----------------------------------------------------------------------------------------------------------------
30 work-hours x $80 per hour = $2,400.......................          $1,550           $3,950        $3,594,500
----------------------------------------------------------------------------------------------------------------

Authority for This Rulemaking

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

Regulatory Findings

    We have determined that this AD will not have federalism
implications under Executive Order 13132. This AD will not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government.
    For the reasons discussed above, I certify that this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979); and
    3. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared a summary of the costs to comply with this AD (and
other information as included in the Regulatory Evaluation) and placed
it in the AD Docket. You may get a copy of this summary by sending a
request to us at the address listed under ADDRESSES. Include ``Docket
No. FAA-2007-28432; Directorate Identifier 2007-CE-051-AD'' in your
request.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

0
2. FAA amends Sec.  39.13 by adding the following new AD:

2007-26-01 Thrush Aircraft, Inc.: Amendment 39-15303; Docket No.
FAA-2007-28432; Directorate Identifier 2007-CE-051-AD.

Effective Date

    (a) This AD becomes effective on January 22, 2008.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to the following airplane models and serial
numbers that are certificated in any category and are equipped with
metal empennage part numbers (P/N) 40220 or 95400 (applies to serial
numbers with or without a ``DC'' suffix):

------------------------------------------------------------------------
               Model                             Serial Nos.
------------------------------------------------------------------------
(1) S2R...........................  1416R through 5100R.
(2) S2R-R1340.....................  R1340-001 through R1340-035.
(3) S2R-R1820.....................  R1820-001 through R1820-036.
(4) S2R-T11.......................  T11-001 through T11-005.
(5) S2R-T15.......................  T15-001 through T15-044 and T27-001
                                     through T27-044.
(6) S2R-T34.......................  6000 through 6049, T34-001 through
                                     T34-279, T36-001 through T36-279,
                                     T41-001 through T41-279, and T42-
                                     001 through T42-279.
(7) S2RHG-T34.....................  T34HG-101 through T34HG-107.
(8) S2R-T45.......................  T45-001 through T45-015.
(9) S2R-T65.......................  T65-001 through T65-018.
(10) S2RHG-T65....................  T65-001 through T65-018 and T65HG-
                                     011 through T65HG-019.
(11) S2R-G1.......................  G1-101 through G1-115.
(12) S2R-G5.......................  G5-101 through G5-105.
(13) S2R-G6.......................  G6-101 through G6-155.
(14) S2R-G10......................  G10-101 through G10-168.
(15) S2R-T660.....................  T660-101 through T660-120.
------------------------------------------------------------------------

Unsafe Condition

    (d) This AD results from reports of cracks in the empennage of
Thrush Aircraft, Inc., S2R series airplanes. We are issuing this AD
to detect and correct these cracks, which could cause the vertical
stabilizer to lose structural integrity. This condition could lead
to loss of control.

Compliance

    (e) To address this problem, you must do the following, unless
already done:

----------------------------------------------------------------------------------------------------------------
                  Actions                                Compliance                        Procedures
----------------------------------------------------------------------------------------------------------------
(1) Perform a visual inspection of the       Within the next 50 hours time-in-  Follow Thrush Aircraft, Inc.
 vertical stabilizer attach fitting (P/N      service (TIS) after January 22,    Service Bulletin No. SB-AG-45,
 40301-7), the horizontal stabilizer attach   2008 (the effective date of this   Revision B, dated June 1, 2007.
 fitting (P/N 40303-1/-4/-7 or 95267-1),      AD) and repetitively thereafter
 attachment bolt (P/N NAS1105-68), and the    at intervals not to exceed 100
 vertical fin aft spar (P/N 40261-24 or P/N   hours TIS.
 95253-1) for corrosion and cracks.
(2) If corrosion or cracks are found in P/N  Before further flight after any    Follow Thrush Aircraft, Inc.
 40301-7, 40303-1/-4/-7, 95267-1, NAS1105-    inspection where corrosion or      Service Bulletin No. SB-AG-45,
 68, 40261-24, or 95253-1 during any          cracks are found. This action      Revision B, dated June 1, 2007.
 inspection required in paragraph (e)(1) of   terminates the repetitive
 this AD:                                     inspections required in
(i) Replace the vertical stabilizer attach    paragraph (e)(1) of this AD.
 fitting with new P/N 95266-3; the
 horizontal stabilizer attach fitting with
 new P/N 95267-5; and the attachment bolt
 with NAS6207-68; and.
(ii) If corrosion or cracks are found in
 the P/N 40261-24 or P/N 95253-1 vertical
 fin aft spar, repair in accordance with
 Thrush SB-AG-45, Revision B, or replace
 with a new P/N 40261-24 or new P/N 95253-1.
(3) If no corrosion or cracks are found in   Within the next 2,000 hours TIS    Follow Thrush Aircraft, Inc.
 P/N 40301-7, 40303-1/-4/-7, 95267-1,         after January 22, 2008 (the        Service Bulletin No. SB-AG-45,
 NAS1105-68, 40261-24, or 95253-1 during      effective date of this AD) or      Revision B, dated June 1, 2007.
 any inspection required in paragraph         within 2 years after January 22,
 (e)(1) of this AD:                           2008 (the effective date of this
(i) Replace the vertical stabilizer attach    AD), whichever occurs first.
 fitting with new P/N 95266-3; the            This action terminates the
 horizontal stabilizer attach fitting with    repetitive inspections required
 new P/N 95267-5; and the attachment bolt     in paragraph (e)(1) of this AD.
 with NAS6207-68; and.
(ii) Perform a visual inspection of the
 vertical fin aft spar (P/N 40261-24 or P/N
 95253-1) for corrosion and cracks, and.
(iii) If corrosion or cracks are found in
 the P/N 40261-24 or P/N 95253-1 vertical
 fin aft spar, repair in accordance with
 Thrush SB-AG-45, Revision B, or replace
 with a new P/N 40261-24 or new P/N 95253-1.
----------------------------------------------------------------------------------------------------------------

Special Flight Permit

    (f) Under 14 CFR part 39.23, we are limiting the special flight
permits authorized for this AD to ferry aircraft to a maintenance
facility for inspection by the following conditions:
    (1) Hopper must be empty;
    (2) Vne reduced to 126 m.p.h. (109 knots); and
    (3) No flight into known turbulence.

Alternative Methods of Compliance (AMOCs)

    (g) The Manager, FAA, has the authority to approve AMOCs for
this AD, if requested using the procedures found in 14 CFR 39.19.
Send information to ATTN: Cindy Lorenzen, Aerospace Engineer, ACE-
115A, Atlanta Aircraft Certification Office, One Crown Center, 1895
Phoenix Blvd., Suite 450, Atlanta, GA 30349; telephone: (770) 703-
6078; facsimile:<PHONE_NUMBER>; e-mail<EMAIL_ADDRESS>or
Mike Cann, Aerospace Engineer, ACE-117A, Atlanta Aircraft
Certification Office, One Crown Center, 1895 Phoenix Blvd., Suite
450, Atlanta, Georgia 30349; telephone:<PHONE_NUMBER>; facsimile:
(770) 703-6097; e-mail<EMAIL_ADDRESS>Before using any
approved AMOC on any airplane to which the AMOC applies, notify your
appropriate principal inspector (PI) in the FAA Flight Standards
District Office (FSDO), or lacking a PI, your local FSDO.

Material Incorporated by Reference

    (h) You must use Thrush Aircraft, Inc. Service Bulletin No. SB-
AG-45, Revision B, dated June 1, 2007, to do the actions required by
this AD, unless the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of this service information under 5
U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact
Thrush Aircraft, Inc., P.O. Box 3149, 300 Old Pretoria Road, Albany,
Georgia 31706-3149; telephone:<PHONE_NUMBER>; facsimile: 229-436-
4856; or on the Internet at: http://www.thrushaircraft.com.

    (3) You may review copies at the FAA, Central Region, Office of
the Regional Counsel, 901 Locust, Kansas City, Missouri 64106; or at
the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html
.

    Issued in Kansas City, Missouri, on December 10, 2007.
John R. Colomy,
Acting Manager, Small Airplane Directorate, Aircraft Certification
Service.
 [FR Doc. E7-24218 Filed 12-14-07; 8:45 am]

BILLING CODE 4910-13-P


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