38524 Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 

8 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 

9 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 

10 15 U.S.C. 77sss. 

11 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 

Statutory Basis 

We are adopting the amendments to 

Regulation S–T under Sections 6, 7, 8, 

10, and 19(a) of the Securities Act of 

1933,8 Sections 3, 12, 13, 14, 15, 23, and 

35A of the Securities Exchange Act of 

1934,9 Section 319 of the Trust 

Indenture Act of 1939,10 and Sections 8, 

30, 31, and 38 of the Investment 

Company Act of 1940.11

List of Subjects in 17 CFR Part 232 

Incorporation by reference, Reporting 

and recordkeeping requirements, 

Securities. 

Text of the Amendment 

■ In accordance with the foregoing, 

Title 17, Chapter II of the Code of 

Federal Regulations is amended as 

follows: 

PART 232—REGULATION S–T— 

GENERAL RULES AND REGULATIONS 

FOR ELECTRONIC FILINGS 

■ 1. The authority citation for Part 232 

continues to read in part as follows: 

Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 

77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n, 

78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29, 

80a–30, 80a–37, and 7201 et seq.; and 18 

U.S.C. 1350. 

* * * * * 

■ 2. Section 232.301 is revised to read 

as follows: 

§ 232.301 EDGAR Filer Manual. 

Filers must prepare electronic filings 

in the manner prescribed by the EDGAR 

Filer Manual, promulgated by the 

Commission, which sets out the 

technical formatting requirements for 

electronic submissions. The 

requirements for becoming an EDGAR 

Filer and updating company data are set 

forth in the updated EDGAR Filer 

Manual, Volume I: ‘‘General 

Information,’’ Version 7 (July 2009). The 

requirements for filing on EDGAR are 

set forth in the updated EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing,’’ 

Version 12 (July 2009). Additional 

provisions applicable to Form N–SAR 

filers are set forth in the EDGAR Filer 

Manual, Volume III: ‘‘N–SAR 

Supplement,’’ Version 1 (September 

2005). All of these provisions have been 

incorporated by reference into the Code 

of Federal Regulations, which action 

was approved by the Director of the 

Federal Register in accordance with 5 

U.S.C. 552(a) and 1 CFR Part 51. You 

must comply with these requirements in 

order for documents to be timely 

received and accepted. You can obtain 

paper copies of the EDGAR Filer 

Manual from the following address: 

Public Reference Room, U.S. Securities 

and Exchange Commission, 100 F 

Street, NE., Room 1520, Washington, DC 

20549, or call (202) 551–5850, on 

official business days between the hours 

of 10 a.m. and 3 p.m. Electronic copies 

are available on the Commission’s Web 

site. The address for the Filer Manual is 

http://www.sec.gov/info/edgar.shtml. 

You can also inspect the document 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. 

By the Commission. 

Dated: July 28, 2009. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. E9–18434 Filed 8–3–09; 8:45 am] 

BILLING CODE 8010–01–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Parts 100, 147 and 165 

[USCG–2009–0677] 

District Eight Safety Zones and Special 

Local Regulations 

AGENCY: Coast Guard, DHS. 

ACTION: Notice of expired temporary 

rules issued. 

SUMMARY: This document provides 

required notice of substantive rules 

issued by the Coast Guard and 

temporarily effective between May 2006 

and January 2009, that expired before 

they could be published in the Federal 

Register. This notice lists safety zones 

and special local regulations issued in 

the Eighth Coast Guard District, all of 

very limited duration and for which 

timely publication in the Federal 

Register was not possible. 

DATES: This document lists temporary 

Coast Guard rules that became effective 

and were terminated between May 15, 

2006 and January 9, 2009. 

ADDRESSES: Documents listed in this 

preamble under the USCG–200#–#### 

format are available for electronic 

viewing under their individual docket 

numbers at http://www.regulations.gov. 

All other document formats are 

available for viewing online under 

Notice USCG–2009–0677 at http:// 

www.regulations.gov. These documents 

are also available for inspection or 

copying at the Docket Management 

Facility (M–30), U.S. Department of 

Transportation, West Building Ground 

Floor, Room W12–140, 1200 New Jersey 

Avenue, SE., Washington, DC 20590 

between 9 a.m. and 5 p.m., Monday 

through Friday, except Federal 

Holidays. 

FOR FURTHER INFORMATION CONTACT: For 

questions on this notice contact Yeoman 

First Class Denise Johnson, Office of 

Regulations and Administrative Law, 

telephone (202) 372–3862. For questions 

on viewing, or on submitting material to 

the docket, contact Ms. Angie Ames, 

Docket Operations, telephone 202–366– 

5115. 

SUPPLEMENTARY INFORMATION: Coast 

Guard District Commanders and 

Captains of the Port (COTP) must be 

immediately responsive to the safety 

and security needs within their 

jurisdiction; therefore, District 

Commanders and COTPs have been 

delegated the authority to issue certain 

local regulations. Safety zones may be 

established for safety or environmental 

purposes. A safety zone may be 

stationary and described by fixed limits 

or it may be described as a zone around 

a vessel in motion. Special local 

regulations are issued to enhance the 

safety of participants and spectators at 

regattas and other marine events. 

Timely publication of these rules in the 

Federal Register is often precluded 

when a rule responds to an emergency, 

or when an event occurs without 

sufficient advance notice. The affected 

public is, however, informed of these 

rules through Local Notices to Mariners, 

press releases, and other means. 

Moreover, actual notification is 

provided by Coast Guard patrol vessels 

enforcing the restrictions imposed by 

the rule. Because Federal Register 

publication was not possible before the 

beginning of the effective period, 

mariners were personally notified of the 

contents of these safety zones by Coast 

Guard officials’ on-scene prior to any 

enforcement action. However, the Coast 

Guard, by law, must publish in the 

Federal Register notice of substantive 

rules adopted. To meet this obligation 

without imposing undue expense on the 

public, the Coast Guard is publishing a 

list of expired temporary regulations 

pertaining to the Eighth Coast Guard 

District, which is headquartered in New 

Orleans, Louisiana. Permanent rules are 

not included in this list because they are 

published in their entirety in the 

Federal Register. Temporary rules are 

also published in their entirety if 


rmajette on DSK29S0YB1PROD with RULES
Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 38525 

sufficient time is available to do so 

before they are placed in effect or 

terminated. The temporary rules listed 

in this notice have been exempted from 

review under Executive Order 12866, 

Regulatory Planning and Review, 

because of their emergency nature, or 

limited scope and temporary 

effectiveness. 

The following rules were placed in 

effect temporarily during the period 

between May 2006 and January 2009, 

unless otherwise indicated. 

Dated: July 28,2009. 

S.G. Venckus, 

Chief, Office of Regulations and 

Administrative Law. 

BILLING CODE 4910–15–P 


rmajette on DSK29S0YB1PROD with RULES
38526 Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 


rmajette on DSK29S0YB1PROD with RULESER04AU09.110</GPH>
Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 38527 


rmajette on DSK29S0YB1PROD with RULESER04AU09.111</GPH>
38528 Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 


rmajette on DSK29S0YB1PROD with RULESER04AU09.112</GPH>
Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 38529 

[FR Doc. E9–18510 Filed 8–3–09; 8:45 am] 

BILLING CODE 4910–15–C 


rmajette on DSK29S0YB1PROD with RULESER04AU09.113</GPH>
38530 Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Part 165 

[Docket No. USCG–2009–0631] 

RIN 1625–AA00 

Safety Zone; Hornblower Cruises Fleet 

Week Fireworks Display, San 

Francisco Bay, CA 

AGENCY: Coast Guard, DHS. 

ACTION: Temporary final rule. 

SUMMARY: The Coast Guard is 

establishing a temporary safety zone on 

the navigable waters of San Francisco 

Bay near San Francisco, CA in support 

of a Fleet Week fireworks display. This 

safety zone is necessary to ensure the 

safety of participants and spectators 

from the dangers associated with the 

pyrotechnics. Unauthorized persons or 

vessels are prohibited from entering 

into, transiting through, or remaining in 

the safety zones without permission of 

the Captain of the Port or his designated 

representative. 

DATES: This rule is effective from 8:45 

a.m. through 10 p.m., each day, on 

October 9 and 10, 2009. 

ADDRESSES: Documents indicated in this 

preamble as being available in the 

docket are part of docket USCG–2009– 

0631 and are available online by going 

to http://www.regulations.gov, selecting 

the Advanced Docket Search option on 

the right side of the screen, inserting 

USCG–2009–0631 in the Docket ID box, 

pressing Enter, and then clicking on the 

item in the Docket ID column. They are 

also available for inspection or copying 

at the Docket Management Facility (M– 

30), U.S. Department of Transportation, 

West Building Ground Floor, Room 

W12–140, 1200 New Jersey Avenue, SE., 

Washington, DC 20590, between 9 a.m. 

and 5 p.m., Monday through Friday, 

except Federal holidays. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this temporary 

rule, call Lieutenant Junior Grade 

Christopher Hartley, U.S. Coast Guard 

Sector San Francisco, at (415) 399–7436, 

or at Christopher.A.Hartley@uscg.mil. If 

you have questions on viewing the 

docket, call Renee V. Wright, Program 

Manager, Docket Operations, telephone 

202–366–9826. 

SUPPLEMENTARY INFORMATION: 

Regulatory Information 

The Coast Guard is issuing this 

temporary final rule without prior 

notice and opportunity to comment 

pursuant to authority under section 4(a) 

of the Administrative Procedure Act 

(APA) (5 U.S.C. 553(b)). This provision 

authorizes an agency to issue a rule 

without prior notice and opportunity to 

comment when the agency for good 

cause finds that those procedures are 

‘‘impracticable, unnecessary, or contrary 

to the public interest.’’ Under 5 U.S.C. 

553(b)(B), the Coast Guard finds that 

good cause exists for not publishing a 

notice of proposed rulemaking (NPRM) 

with respect to this rule because the 

event would occur before the 

rulemaking process would be 

completed. Because of the dangers 

posed by the pyrotechnics used in these 

fireworks displays, the safety zones are 

necessary to provide for the safety of 

event participants, spectators, spectator 

craft, and other vessels transiting the 

event area. 

For the same reasons, the Coast Guard 

also finds under 5 U.S.C. 553(d)(3) that 

good cause exists for making this rule 

effective less than 30 days after 

publication in the Federal Register. Any 

delay in the effective date of this rule 

would expose members of the public to 

the dangers posed by the pyrotechnics 

used in the fireworks display. 

Background and Purpose 

Hornblower Cruises will sponsor a 

Fleet Week fireworks display on 

October 9 and 10, 2009 on the navigable 

waters of San Francisco Bay, CA. The 

fireworks displays are meant for 

entertainment purposes. This safety 

zone establishes temporary restricted 

areas on the waters surrounding the 

fireworks launch sites during loading of 

the pyrotechnics and during the 

fireworks displays. These restricted 

areas around the launch sites are 

necessary to protect spectators, vessels, 

and other property from the hazards 

associated with the pyrotechnics on the 

fireworks barges. The Coast Guard has 

granted the event sponsor a marine 

event permit for the fireworks displays. 

Discussion of Rule 

During the setup of the fireworks and 

until the start of the fireworks displays, 

the temporary safety zone will be 

enforced within a radius of 100 feet 

around the fireworks sites. From 9:30 

p.m. until 9:50 p.m., the temporary 

safety zone will be enforced within a 

radius of 1,000 feet around the fireworks 

launch sites. 

The effect of the temporary safety 

zones will be to restrict navigation in 

the vicinity of the fireworks sites while 

the fireworks are set up, and until the 

conclusion of the scheduled displays. 

Except for persons or vessels authorized 

by the Coast Guard Patrol Commander, 

no person or vessel may enter or remain 

in the restricted area. These regulations 

are needed to keep spectators and 

vessels a safe distance away from the 

fireworks barges to ensure the safety of 

participants, spectators, and transiting 

vessels. 

Regulatory Analyses 

We developed this rule after 

considering numerous statutes and 

executive orders related to rulemaking. 

Below we summarize our analyses 

based on 13 of these statutes or 

executive orders. 

Regulatory Planning and Review 

This rule is not a significant 

regulatory action under section 3(f) of 

Executive Order 12866, Regulatory 

Planning and Review, and does not 

require an assessment of potential costs 

and benefits under section 6(a)(3) of that 

Order. The Office of Management and 

Budget has not reviewed it under that 

Order. 

Although this rule restricts access to 

the waters encompassed by the safety 

zones, the effect of this rule will not be 

significant because of the small size and 

short duration of the zone. Additionally, 

local waterway users will be able to pass 

safely around the zone, and will be 

notified via public Broadcast Notice to 

Mariners to ensure the zone will result 

in minimum impact. 

Small Entities 

Under the Regulatory Flexibility Act 

(5 U.S.C. 601–612), we have considered 

whether this rule would have a 

significant economic impact on a 

substantial number of small entities. 

The term ‘‘small entities’’ comprises 

small businesses, not-for-profit 

organizations that are independently 

owned and operated and are not 

dominant in their fields, and 

governmental jurisdictions with 

populations of less than 50,000. 

The Coast Guard certifies under 5 

U.S.C. 605(b) that this rule will not have 

a significant economic impact on a 

substantial number of small entities. 

This rule may affect the following 

entitites, some of which are small 

entities: The owners and operators of 

pleasure craft engaged in recreational 

activities and sightseeing. This rule will 

not have a significant economic impact 

on a substantial number of small entities 

for several reasons: (1) Vessel traffic can 

pass safely around the area; (2) vessels 

engaged in recreational activities and 


rmajette on DSK29S0YB1PROD with RULES