Federal Register / Vol. 72, No. 78 / Tuesday April 24, 2007 / Rules and Regulations 20223 

1A ‘‘full withdrawal’’ terminates registration with 

the SEC, all SROs, and all jurisdictions. However, 

a ‘‘partial withdrawal’’ terminates registration with 

specific jurisdictions and SROs, but does not 

terminate registration with the SEC and at least one 

SRO and jurisdiction. 

2Section 15(b) of the Securities Exchange Act of 

1934 (‘‘Exchange Act’’) provides that broker-dealers 

can register and withdraw from registration under 

procedures developed by the Commission. 

Exchange Act Rule 15b1–1 requires that an 

application for registration of a broker or dealer that 

is filed pursuant to Section 15(b) of the Exchange 

Act be filed on Form BD in accordance with the 

instructions on the form. Exchange Act Rule 15b6–

1 requires that a notice of withdrawal from 

registration as a broker or dealer filed pursuant to 

Section 15(b) of the Exchange Act be filed on Form 

BDW in accordance with the instructions on the 

form. 

901–911, Pub. L. 106–387; Sec. 221, Pub. L. 

107–56; Sec 1503, Pub.L. 108–11,117 Stat. 

559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 

Comp., p. 179; E.O. 12851, 58 FR 33181, 3 

CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 

59099, 3 CFR, 1994 Comp., p. 950; E.O. 

13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 

228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 

Comp., p. 783; Presidential Determination 

2003–23 of May 7, 2003, 68 FR 26459, May 

16, 2003; Notice of August 3, 2006, 71 FR 

44551 (August 7, 2006); Notice of October 27, 

2006, 71 FR 64109 (October 31, 2006). 

■ 6. Supplement No. 2 to part 742, AntiTerrorism Controls: Iran, Libya, North 

Korea, Syria and Sudan Contract 

Sanctity Dates and Related Policies, is 

amended: 

■ a. By revising the heading as set forth 

below; 

■ b. By revising the first sentence of 

paragraph (c)(27), to read as follows: 

Supplement No. 2 to Part 742—AntiTerrorism Controls: Iran, North Korea, 

Syria and Sudan Contract Sanctity 

Dates and Related Policies 

(c) * * * 

* * * * * 

(27) Semiconductor manufacturing 

equipment. For Iran, Syria, Sudan, or North 

Korea, a license is required for all such 

equipment described in ECCNs 3B001 and 

3B991. 

* * * * * 

PART 746—[AMENDED] 

■ 7. The authority citation for 15 CFR 

part 746 continues to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; 22 U.S.C. 287c; Sec 1503, 

Pub. L. 108–11,117 Stat. 559; 22 U.S.C. 6004; 

Sec. 901–911, Pub. L. 106–387; Sec. 221, Pub. 

L. 107–56; E.O. 12854, 58 FR 36587, 3 CFR 

1993 Comp., p. 614; E.O. 12918, 59 FR 28205, 

3 CFR, 1994 Comp., p. 899; E.O. 13222, 3 

CFR, 2001 Comp., p. 783; Presidential 

Determination 2003–23 of May 7, 2003, 68 

FR 26459, May 16, 2003; Notice of August 3, 

2006, 71 FR 44551 (August 7, 2006); 

Presidential Determination 2007–7 of 

December 7, 2006, 72 FR 1899, January 16, 

2007. 

§ 746.4 [Amended] 

■ 8. In paragraph (a) of § 746.4, correct 

the phrase ‘‘as EAR99 (definitions in 

part 772 of the EAR.’’ to read ‘‘as EAR99 

(definitions in part 772 of the EAR).’’. 

■ 9. In Supplement No. 1 to part 746- 

Examples of Luxury Goods, amend the 

introductory text to read as follows: 

Supplement No. 1 to Part 746—

Examples of Luxury Goods 

The following further amplifies the 

illustrative list of luxury goods set forth in 

§ 746.4(b)(1): 

* * * * * 

PART 774—[AMENDED] 

■ 12. The authority citation for 15 CFR 

part 774 continues to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 

7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et 

seq.; 22 U.S.C. 287c, 22 U.S.C. 3201 et seq., 

22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 

U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 

46 U.S.C. app. 466c; 50 U.S.C. app. 5; Sec. 

901–911, Pub. L. 106–387; Sec. 221, Pub. L. 

107–56; E.O. 13026, 61 FR 58767, 3 CFR, 

1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 

3 CFR, 2001 Comp., p. 783; Notice of August 

3, 2006, 71 FR 44551 (August 7, 2006). 

Supplement No. 1 to Part 774—The 

Commerce Control List—[Amended] 

■ 13. In Supplement No. 1 to part 774, 

Category 0—‘‘Nuclear Materials, 

Facilities, and Equipment [and 

Miscellaneous Items]’’ is amended by 

revising the ‘‘License Requirements’’

section of ECCN 0A988 to read as 

follows: 

0A988 Conventional military steel helmets 

as described by 0A018.d.1; and machetes. 

License Requirements 

Reason for Control: UN. 

Control(s): UN applies to entire entry. A 

license is required for conventional military 

steel helmets as described by 0A018.d.1 and 

for machetes to Iraq, North Korea, and 

Rwanda. The Commerce Country Chart is not 

designed to determine licensing requirements 

for this entry. See part 746 of the EAR for 

additional information. 

* * * * * 

■ 14. In Supplement No. 1 to part 774, 

Category 3—‘‘Electronics’’ is amended 

by revising the ‘‘License Requirements 

Notes’’ section of 3A991 to read as 

follows: 

3A991 Electronic devices and components 

not controlled by 3A001. 

* * * * * 

License Requirements Notes: See 744.17 of 

the EAR for additional license requirements 

for commodities classified as 3A991.a.1. 

* * * * * 

■ 15. In Supplement No. 1 to part 774 

(the Commerce Control List), Category 

5—Telecommunications, ECCN 5A980 

is amended by revising the Heading to 

read as follows: 

5A980 Devices primarily useful for the 

surreptitious interception of wire, oral, or 

electronic communications; and parts and 

accessories therefor. 

* * * * * 

Dated: April 18, 2007. 

Eileen Albanese, 

Director, Office of Exporter Services. 

[FR Doc. E7–7730 Filed 4–23–07; 8:45 am] 

BILLING CODE 3510–33–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 249 

[Release No. 34–55643] 

Technical Amendments to Form BD 

and Form BDW 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule; technical 

amendments. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’ or ‘‘SEC’’) 

is making technical amendments to 

Form BD and Form BDW, the uniform 

broker-dealer registration form and the 

uniform request for withdrawal from 

broker-dealer registration, respectively. 

The technical amendments will update 

the current list of self-regulatory 

organizations (‘‘SROs’’) and government 

jurisdictions listed on Form BD and 

Form BDW, and make conforming 

changes to the definition ‘‘jurisdiction’’

in the forms. 

DATES: Effective Date: April 23, 2007. 

FOR FURTHER INFORMATION CONTACT: 

Paula Jenson, Deputy Chief Counsel, or 

Haimera Workie, Branch Chief, at (202) 

551–5550, Office of the Chief Counsel, 

Division of Market Regulation, 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549. 

SUPPLEMENTARY INFORMATION: Form BD 

requires an applicant or registrant to 

indicate the SRO and governmental 

jurisdiction with which it is registering 

or registered. For a ‘‘partial 

withdrawal,’’ 1 Form BDW requires the 

applicant to specify the SRO and 

governmental jurisdiction from which it 

is withdrawing.2 The Commission is 

making technical amendments to Item 2 

of Form BD and Item 3 of Form BDW 

to update the list of governmental 

jurisdictions to include the United 

States Virgin Islands, and to update the 


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20224 Federal Register / Vol. 72, No. 78 / Tuesday April 24, 2007 / Rules and Regulations 

3Exchange Act Rel. No. 48774 (November 12, 

2003), 68 FR 65332 (November 19, 2003). 4Exchange Act Rel. No. 53615 (April 7, 2006), 71 

FR 19226 (April 13, 2006). 5 5 U.S.C. 553(b). 

6The United States Virgin Islands Uniform 

Securities Act of 2004 (‘‘Uniform Securities Act’’) 

became effective on February 12, 2005. See 9 V.I. 

CODE ANN. §§ 601–672 (2004). The Uniform 

Securities Act requires registration by brokerdealers. See 9 V.I CODE ANN. § 631. Prior to the 

enactment of the Uniform Securities Act, the United 

States Virgin Islands did not have regulations that 

addressed broker-dealer registration and therefore it 

was not included as a jurisdiction on Form BD and 

Form BDW. Adding the United States Virgin Islands 

onto the list of jurisdictions would facilitate the use 

of these forms by broker-dealers and would 

eliminate the need for separate paper filings of 

registration forms by broker-dealers in the United 

States Virgin Islands. 

7For similar reasons, the amendments do not 

require analysis under the Regulatory Flexibility 

Act or analysis of major rule status under the Small 

Business Regulatory Enforcement Fairness Act. See 

5 U.S.C. 601(2) (for purposes of Regulatory 

Flexibility Act analyses, the term ‘‘rule’’ means any 

rule for which the agency publishes a general notice 

of proposed rulemaking); 5 U.S.C. 804(3)(C) (for 

purposes of Congressional review of agency 

rulemaking, the term ‘‘rule’’ does not include any 

rule of agency organization, procedure, or practice 

that does not substantially affect the rights or 

obligations of non-agency parties). 

8 5 U.S.C. 553(d). 

9 15 U.S.C. 78c(f). 

10 15 U.S.C. 78w(a)(2). 

11 15 U.S.C. 78o(a), 78o(b), 78q(a), and 78w(a). 

list of SROs to include The NASDAQ 

Stock Market LLC and the International 

Securities Exchange, LLC, as well as to 

reflect the name change of The 

Cincinnati Stock Exchange, Inc. to 

National Stock Exchange, Inc.3 and the 

name change of the Pacific Exchange, 

Inc. to NYSE Arca, Inc.4 In addition, we 

are making conforming changes to the 

definition of ‘‘jurisdiction’’ to include 

the United States Virgin Islands. 

‘‘Jurisdiction’’ will be defined as: ‘‘A 

state, the District of Columbia, the 

Commonwealth of Puerto Rico, the U.S. 

Virgin Islands, or any subdivision or 

regulatory body thereof.’’

I. Certain Findings 

Under the Administrative Procedure 

Act (‘‘APA’’), notice of proposed 

rulemaking is not required when the 

agency, for good cause, finds ‘‘that 

notice and public procedure thereon are 

impracticable, unnecessary, or contrary 

to the public interest.’’ 5 The 

Commission is making technical 

amendments to Item 2 of Form BD and 

Item 3 of Form BDW in light of the 

formation of or name changes to SROs 

and in light of new requirements for 

broker-dealer registration in the United 

States Virgin Islands.6 The Commission 

is also making conforming amendments 

to the definition of ‘‘jurisdiction’’ to 

include the United States Virgin Islands. 

These technical amendments will 

update the currently out-of-date list of 

SROs and government jurisdictions 

contained in Form BD and Form BDW, 

as well as provide related changes to the 

definition of ‘‘jurisdiction’’ in the forms. 

The Commission, therefore, finds that 

publishing the amendments for 

comment is unnecessary.7

Publication of a substantive rule not 

less than 30 days before its effective 

date is required by the APA except as 

otherwise provided by the agency for 

good cause.8 For the same reasons 

described above with respect to notice 

and opportunity for comment, the 

Commission finds that there is good 

cause for making these technical 

amendments effective on April 23, 2007. 

II. Consideration of Promotion of 

Efficiency, Competition, and Capital 

Formation 

Section 3(f) of the Exchange Act,9

provides that whenever the Commission 

is engaged in rulemaking and is 

required to consider or determine 

whether an action is necessary or 

appropriate in the public interest, the 

Commission shall consider, in addition 

to the protection of investors, whether 

the action will promote efficiency, 

competition, and capital formation. In 

addition, Section 23(a)(2) of the 

Exchange Act requires the Commission, 

in adopting rules under the Exchange 

Act, to consider the anticompetitive 

effects of such rules, if any, and to 

refrain from adopting a rule that would 

impose a burden on competition not 

necessarily or appropriate in 

furtherance of the purposes of the 

Exchange Act.10

Because the amendments are limited 

to technical amendments, we do not 

anticipate that any competitive 

advantages or disadvantages would be 

created. We do not expect the 

amendments, as technical amendments, 

to have a significant effect on efficiency, 

or on capital formation or the capital 

markets resulting from any obligations 

imposed by the Commission. As 

previously noted, however, there will be 

some increased efficiency in the 

administration of the United States 

Virgin Islands regulations because 

adding the United States Virgin Islands 

to the list of jurisdictions will facilitate 

the use of these forms by broker-dealers 

doing business in that jurisdiction and 

will eliminate the need for separate 

paper filings of registration forms by 

these broker-dealers. 

III. Statutory Authority 

We are adopting the technical 

amendments to Forms BD and BDW 

under the authority set forth in the 

Exchange Act and, in particular, 

Sections 15(a), 15(b), 17(a), and 23(a) 

therein.11

Text of Form Amendments 

List of Subjects in 17 CFR Part 249 

Broker-dealers, Reporting and 

recordkeeping requirements, Securities. 

■ For the reasons set out in the 

preamble, 17 CFR part 249 is amended 

as follows: 

PART 249—FORMS, SECURITIES 

EXCHANGE ACT OF 1934 

■ 1. The authority citation for Part 249 

continues to read in part as follows: 

Authority: 15 U.S.C. 78a, et seq. and 7201 

et seq.; and 18 U.S.C. 1350, unless otherwise 

noted. 

* * * * * 

§ 249.501 [Amended] 

■ 2. Form BD (referenced in § 249.501) 

is amended by: 

■ a. In the Explanation of Terms, 1. 

General section, revising 

‘‘JURISDICTION—A state, the District of 

Columbia, the Commonwealth of Puerto 

Rico, or any subdivision or regulatory 

body thereof.’’ to read 

‘‘JURISDICTION—A state, the District of 

Columbia, the Commonwealth of Puerto 

Rico, the U.S. Virgin Islands, or any 

subdivision or regulatory body 

thereof.’’; and 

■ b. In Item 2, revising the SRO and 

Jurisdiction tables. 

The revision reads as follows: 

Form BD 

* * * * * 

2. * * * 

S b b b b b b b b b b b blll 

R 

O 

AMEX BSE CBOE CHX NSX NASD NQX NYSE PHLX ARCA ISE OTHER 

(specify) 

J b Alabama b Hawaii b Michigan b North Carolina b Texas 

U b Alaska b Idaho b Minnesota b North Dakota b Utah 

R b Arizona b Illinois b Mississippi b Ohio b Vermont 


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Federal Register / Vol. 72, No. 78 / Tuesday April 24, 2007 / Rules and Regulations 20225 

I b Arkansas b Indiana b Missouri b Oklahoma b Virgin Islands 

S b California b Iowa b Montana b Oregon b Virginia 

D b Colorado b Kansas b Nebraska b Pennsylvania b Washington 

I b Connecticut b Kentucky b Nevada b Puerto Rico b West Virginia 

C b Delaware b Louisiana b New Hampshire b Rhode Island b Wisconsin 

T b District of Columbia b Maine b New Jersey b South Carolina b Wyoming 

I b Florida b Maryland b New Mexico b South Dakota 

O b Georgia b Massachusetts b New York b Tennessee 

N 

* * * * * 

■ 3. Form BDW (referenced in 

§ 249.501a) is amended by: 

■ a. In the Explanation of Terms section, 

revising ‘‘The term JURISDICTION 

means a state, the District of Columbia, 

the Commonwealth of Puerto Rico, or 

any subdivision or regulatory body 

thereof.’’ to read ‘‘The term 

JURISDICTION means a state, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the U.S. 

Virgin Islands, or any subdivision or 

regulatory body thereof.’’; and 

■ b. In Item 3, revising the SRO and 

Jurisdiction tables. 

The revision reads as follows: 

Form BDW 

* * * * * 

3. * * * 

S b b b b b b b b b b b blll 

R 

O 

AMEX BSE CBOE CHX NSX NASD NQX NYSE PHLX ARCA ISE OTHER 

(specify) 

J b Alabama b Hawaii b Michigan b North Carolina b Texas 

U b Alaska b Idaho b Minnesota b North Dakota b Utah 

R b Arizona b Illinois b Mississippi b Ohio b Vermont 

I b Arkansas b Indiana b Missouri b Oklahoma b Virgin Islands 

S b California b Iowa b Montana b Oregon b Virginia 

D b Colorado b Kansas b Nebraska b Pennsylvania b Washington 

I b Connecticut b Kentucky b Nevada b Puerto Rico b West Virginia 

C b Delaware b Louisiana b New Hampshire b Rhode Island b Wisconsin 

T b District of Columbia b Maine b New Jersey b South Carolina b Wyoming 

I b Florida b Maryland b New Mexico b South Dakota 

O b Georgia b Massachusetts b New York b Tennessee 

N 

* * * * * 

By the Commission. 

Dated: April 19, 2007. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E7–7746 Filed 4–23–07; 8:45 am] 

BILLING CODE 8010–01–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Food and Drug Administration 

21 CFR Part 884 

[Docket No. 2007N–0120] 

Medical Devices; Obstetrical and 

Gynecological Devices; Classification 

of Computerized Labor Monitoring 

System 

AGENCY: Food and Drug Administration, 

HHS. 

ACTION: Final rule. 

SUMMARY: The Food and Drug 

Administration (FDA) is classifying the 

computerized labor monitoring systems 

into class II (special controls). 

Elsewhere in this issue of the Federal 

Register, FDA is announcing the 

availability of a guidance document 

entitled, ‘‘Guidance for Industry and 

FDA Staff; Class II Special Controls 

Guidance Document: Computerized 

Labor Monitoring Systems,’’ which will 

serve as the special controls for these 

devices. The agency is classifying these 

devices into class II (special controls) in 

order to provide a reasonable assurance 

of safety and effectiveness of these 

devices. 

DATES: This rule is effective May 24, 

2007. The classification was effective 

January 30, 2007. 

FOR FURTHER INFORMATION CONTACT: 

Glenn Bell, Center for Devices and 

Radiological Health (HFZ–470), Food 

and Drug Administration, 9200 

Corporate Blvd., Rockville, MD 20850, 

240–276–4100. 

SUPPLEMENTARY INFORMATION: 

I. What is The Background Of This 

Rulemaking? 

In accordance with section 513(f)(1) of 

the Federal Food, Drug, and Cosmetic 

Act (the act) (21 U.S.C. 360c(f)(1)), 

devices that were not in commercial 

distribution before May 28, 1976, the 

date of enactment of the Medical Device 

Amendments of 1976 (the amendments), 

generally referred to as postamendments 

devices, are classified automatically by 

statute into class III without any FDA 

rulemaking process. These devices 

remain in class III and require 

premarket approval, unless the device is 

classified or reclassified into class I or 

class II, or FDA issues an order finding 

the device to be substantially 

equivalent, in accordance with section 

513(i) of the act, to a predicate device 

that does not require premarket 

approval. The agency determines 

whether new devices are substantially 

equivalent to predicate devices by 

means of premarket notification 

procedures in section 510(k) of the act 

(21 U.S.C. 360(k)) and part 807 (21 CFR 

part 807) of FDA’s regulations. 

Section 513(f)(2) of the act provides 

that any person who submits a 

premarket notification under section 

510(k) of the act for a device that has not 

previously been classified may, within 

30 days after receiving an order 

classifying the device in class III under 

section 513(f)(1) of the act, request FDA 

to classify the device under the criteria 

set forth in section 513(a)(1) of the act. 

FDA shall, within 60 days of receiving 

such a request, classify the device by 

written order. This classification shall 

be the initial classification of the device 

type. Within 30 days after the issuance 

of an order classifying the device, FDA 

must publish a notice in the Federal 

Register announcing such classification 

(section 513(f)(2) of the act). 

In accordance with section 513(f)(1) of 

the act, FDA issued an order on October 

5, 2006, classifying the Computerized 


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