Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 101

21See note 4, supra.

22 15 U.S.C. 78s(b)(2).

23 17 CFR 200.30–3(a)(12).

revises the PSE’s definition of ‘‘foreign

broker/dealer’’ to include those persons

or entities which are required to be

registered, authorized or licensed by a

foreign governmental agency or foreign

regulatory organization even if they are

not so registered, authorized or

licensed.21 The Commission finds that

Amendment No. 1 strengthens the

proposal by including within the

Exchange’s definition those individuals

or entities performing the function of a

broker or dealer, but not complying with

foreign regulatory requirements to

become registered, authorized, or

licensed. Essentially, the amendment

attempts to avoid a potential loophole

under the original proposal whereby a

party could assert that it was technically

a public customer because it was not

formally registered as a foreign broker/

dealer, even though it performs broker/

dealer functions and is required to be

approved for such activity. The

Commission believes that the

amendment properly provides that an

individual or entity attempting to avoid

the registration, authorization, or

licensing process of a foreign regulator

is not deemed a public customer on the

Exchange. The Commission also notes

that no comments were received on the

original PSE proposal, which was

subject to the full 21-day comment

period. Accordingly, the Commission

believes that it is consistent with

Section 6(b)(5) of the Act to approve

Amendment No. 1 to the proposed rule

change on an accelerated basis.

Interested persons are invited to

submit written data, views and

arguments concerning Amendment No.

1 to the proposed rule change. Persons

making written submissions should file

six copies thereof with the Secretary,

Securities and Exchange Commission,

450 Fifth Street, N.W., Washington, D.C.

20549. 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 inspection and copying in

the Commission’s Public Reference

Section, 450 Fifth Street, N.W.,

Washington, D.C. Copies of such filing

with also be available for inspection and

copying at the principal office of the

PSE. All submissions should refer to

File No. SR–PSE–96–46 and should be

submitted by April 16, 1997.

For the foregoing reasons, the

Commission finds that the PSE’s

proposal, as amended, is consistent with

the requirements of the Act and the

rules and regulations thereunder.

It therefore is ordered, pursuant to

Section 19(b)(2) of the Act,22 that the

proposed rule change (SR–PSE–96–46)

is approved.

For the Commission, by the Division of

Market Regulation, pursuant to delegated

authority.23

Jonathan G. Katz,

Secretary.

[FR Doc. 97–7643 Filed 3–25–97; 8:45 am]

BILLING CODE 8010–01–M

UNITED STATES SENTENCING

COMMISSION

Sentencing Guidelines for United

States Courts

AGENCY: United States Sentencing

Commission.

ACTION: Notice of promulgation of

temporary, ‘‘emergency’’ guideline

amendments increasing penalties for

alien smuggling, fraudulent use of

government-issued documents, and

involuntary servitude, peonage, and

slave trade offenses and a proposal to repromulgate these amendments as

permanent amendments.

SUMMARY: The Sentencing Commission

hereby gives notice of the following

actions: (1) Pursuant to its authority

under sections 203, 211, and 218 of the

Illegal Immigration Reform and

Immigrant Responsibility Act of 1996,

the Commission is promulgating

temporary, emergency amendments to

§§ 2L1.1, 2L2.1, 2L2.2, and 2H4.1 and

accompanying commentary; and (2)

pursuant to section 217(a) of the

Comprehensive Crime Control Act of

1984 (28 U.S.C. 994(a) and (p)), the

Commission further proposes to repromulgate these amendments as

permanent, non-emergency

amendments.

DATES: The Commission has specified

an effective date of May 1, 1997, for the

emergency amendments increasing the

penalties for offenses involving alien

smuggling (§ 2L1.1), immigration

document fraud (§§ 2L2.1, 2L2.2), and

involuntary servitude, peonage, and

slave trade (§ 2H4.1).

FOR FURTHER INFORMATION CONTACT:

Michael Courlander, Public Information

Specialist, Telephone: (202) 273–4590.

Authority. 28 U.S.C. 994 (a), (o), (p), (x).

Richard P. Conaboy,

Chairman.

Amendments to the Sentencing

Guidelines, Policy Statements, and

Official Commentary

Emergency Amendment—Alien

Smuggling

1. Amendment: Section 2L1.1(a)(1) is

amended by deleting ‘‘20’’ and inserting

in lieu thereof ‘‘23’’.

Section 2L1.1(a)(2) is amended by

deleting ‘‘9’’ and inserting in lieu

thereof ‘‘12’’.

Section 2L1.1(b) is amended by

deleting subdivision (1) in its entirety

and inserting the following in lieu

thereof:

‘‘(1) If (A) the defendant committed

the offense other than for profit, or the

offense involved the smuggling,

transporting, or harboring only of the

defendant’s spouse or child (or both the

defendant’s spouse and child), and (B)

the base offense level is determined

under subsection (a)(2), decrease by 3

levels.’’.

Section 2L1.1(b)(2) is amended in the

column captioned ‘‘Increase in Level’’

by deleting ‘‘2’’ and inserting in lieu

thereof ‘‘3’’; by deleting ‘‘4’’ and

inserting in lieu thereof ‘‘6’’; and by

deleting ‘‘6’’ and inserting in lieu

thereof ‘‘9’’.

Section 2L1.1 is amended by deleting

(b)(3) in its entirety and by inserting the

following in lieu thereof:

‘‘(3) If the defendant committed any

part of the instant offense after

sustaining (A) a conviction for a felony

immigration and naturalization offense,

increase by 2 levels; or (B) two (or more)

convictions for felony immigration and

naturalization offenses, each such

conviction arising out of a separate

prosecution, increase by 4 levels.’’.

Section 2L1.1(b) is amended by

inserting the following additional

subdivisions:

‘‘(4) (Apply the greatest):

(A) If a firearm was discharged,

increase by 6 levels, but if the resulting

offense level is less than level 22,

increase to level 22.

(B) if a dangerous weapon (including

a firearm) was brandished or otherwise

used, increase by 4 levels, but if the

resulting offense level is less than level

20, increase to level 20.

(C) if a dangerous weapon (including

a firearm) was possessed, increase by 2

levels, but if the resulting offense level

is less than level 18, increase to level 18.

(5) If the offense involved

intentionally or recklessly creating a

substantial risk of death or serious

bodily injury to another person, increase
102 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

by 2 levels, but if the resulting offense

level is less than level 18, increase to

level 18.

(6) If any person died or sustained

bodily injury, increase the offense level

according to the seriousness of the

injury:

Death or degree of injury Increase in level

(1) Bodily Injury ............... Add 2 levels.

(2) Serious Bodily Injury .. Add 4 levels.

(3) Permanent or LifeThreatening Bodily Injury.Add 6 levels.

(4) Death .......................... Add 8 levels’’.

Section 2L1.1 is amended by inserting

the following additional subsection:

‘‘(c) Cross Reference

If any person was killed under

circumstances that would constitute

murder under 18 U.S.C. 1111 had such

killing taken place within the special

maritime and territorial jurisdiction of

the United States, apply the appropriate

murder guideline from Chapter Two,

Part A, Subpart 1.’’.

The Commentary to § 2L1.1 captioned

‘‘Application Notes’’ is amended in

Note 1 by inserting at the beginning

‘‘For purposes of this guideline’’; by

deleting the first sentence in its entirety

and inserting in lieu thereof ‘‘ ‘The

defendant committed the offense other

than for profit’’ means that there was no

payment or expectation of payment for

the smuggling, transportation, or

harboring of any of the unlawful

aliens.’; by inserting as the second

paragraph ‘‘ ‘Aggravated felony’ is

defined in the Commentary to § 2L1.2

(Unlawfully Entering or Remaining in

the United States).’’; by inserting as the

third paragraph ‘‘ ‘Child’ has the

meaning set forth in section 101(b)(1) of

the Immigration and Nationality Act (8

U.S.C. 1101(b)(1)).’’; by inserting as the

fourth paragraph ‘‘ ‘Spouse’ has the

meaning set forth in 101(a)(35) of the

Immigration and Nationality Act (8

U.S.C. 1101(a)(35)).’’; and by inserting

as the fifth paragraph ‘‘An ‘immigration

and naturalization offense’ means any

offense covered by this Part.’’.

The Commentary to § 2L1.1 captioned

‘‘Application Notes’’ is amended by

deleting Note 3 in its entirety and by

redesignating Note 4 as Note 3.

The Commentary to § 2L1.1 captioned

‘‘Application Notes’’ is amended in

Note 5 by deleting ‘‘dangerous or

inhumane treatment, death or bodily

injury, possession of a dangerous

weapon, or’’ immediately following

‘‘involved’’; and by redesignating Note 5

as Note 4.

The Commentary to § 2L1.1 captioned

‘‘Application Notes’’ is amended by

deleting Note 6 in its entirety.

The Commentary to § 2L1.1 captioned

‘‘Application Notes’’ is amended by

inserting the following additional notes:

‘‘5. Prior felony conviction(s)

resulting in an adjustment under

subsection (b)(3) are also counted for

purposes of determining criminal

history points pursuant to Chapter Four,

Part A (Criminal History).

6. Reckless conduct to which the

adjustment from subsection (b)(5)

applies includes a wide variety of

conduct (e.g., transporting persons in

the trunk or engine compartment of a

motor vehicle, carrying substantially

more passengers than the rated capacity

of a motor vehicle or vessel, or

harboring persons in a crowded,

dangerous, or inhumane condition.) If

subsection (b)(5) applies solely on the

basis of conduct related to fleeing from

a law enforcement officer, do not apply

an adjustment from § 3C1.2 (Reckless

Endangerment During Flight).

Additionally, do not apply the

adjustment in subsection (b)(5) if the

only reckless conduct that created a

substantial risk of death or serious

bodily injury is conduct for which the

defendant received an enhancement

under subsection (b)(4).’’.

The Commentary to § 2L1.1 captioned

‘‘Background’’ is amended by deleting

the second and third sentences; and, in

the last sentence, by inserting

‘‘smuggling, transporting, or harboring’’

immediately following ‘‘scale’’.

Reason for Amendment: This

amendment implements section 203 of

the Illegal Immigration Reform and

Immigrant Responsibility Act of 1996,

which directs the Commission to amend

the guidelines for offenses related to

smuggling, transporting, or harboring

illegal aliens.

Emergency Amendment—Alien

Document Fraud

2. Amendment: Section 2L2.1(a) is

amended by deleting ‘‘9’’ and inserting

‘‘11’’ in lieu thereof.

Section 2L2.1(b) is amended by

deleting subdivision (1) in its entirety

and inserting the following in lieu

thereof:

‘‘(1) If the defendant committed the

offense other than for profit, or the

offense involved the smuggling,

transporting, or harboring only of the

defendant’s spouse or child (or both the

defendant’s spouse and child), decrease

by 3 levels.’’.

Section 2L2.1(b)(2) is amended in the

column captioned ‘‘Increase in Level’’

by deleting ‘‘2’’ and inserting in lieu

thereof ‘‘3’’; by deleting ‘‘4’’ and

inserting in lieu thereof ‘‘6’’; and by

deleting ‘‘6’’ and inserting in lieu

thereof ‘‘9’’.

Section 2L2.1(b) is amended by

inserting the following additional

subdivision:

‘‘(4) If the defendant committed any

part of the instant offense after

sustaining (A) a conviction for a felony

immigration and naturalization offense,

increase by 2 levels; or (B) two (or more)

convictions for felony immigration and

naturalization offenses, each such

conviction arising out of a separate

prosecution, increase by 4 levels.’’.

The Commentary to § 2L2.1 captioned

‘‘Application Notes’’ is amended in

Note 1 by inserting at the beginning

‘‘For purposes of this guideline—’’; by

deleting the first sentence in its entirety

and inserting in lieu thereof ‘‘ ‘The

defendant committed the offense other

than for profit’ means that there was no

payment or expectation of payment for

the smuggling, transportation, or

harboring of any of the unlawful

aliens.’’; by inserting as the second

paragraph ‘‘An ‘immigration and

naturalization offense’ means any

offense covered by this Part.’’; by

inserting as the third paragraph ‘‘ ‘Child’

has the meaning set forth in section

101(b)(1) of the Immigration and

Nationality Act (8 U.S.C. 1101(b)(1)).’’;

and by inserting as the fourth paragraph

‘‘ ‘Spouse’ has the meaning set forth in

101(a)(35) of the Immigration and

Nationality Act (8 U.S.C. 1101(a)(35)).’’.

The Commentary to § 2L2.1 captioned

‘‘Application Notes’’ is amended by

inserting the following additional notes:

‘‘4. Prior felony conviction(s)

resulting in an adjustment under

subsection (b)(4) are also counted for

purposes of determining criminal

history points pursuant to Chapter Four,

Part A (Criminal History).

5. If the offense involved substantially

more than 100 documents, an upward

departure may be warranted.’’.

Section 2L2.2(a) is amended by

deleting ‘‘6’’ and inserting in lieu

thereof ‘‘8’’.

Section 2L2.2(b) is amended by

deleting ‘‘Characteristic’’ and inserting

in lieu thereof ‘‘Characteristics’’; and by

inserting the following additional

subdivision:

‘‘(2) If the defendant committed any

part of the instant offense after

sustaining (A) a conviction for a felony

immigration and naturalization offense,

increase by 2 levels; or (B) two (or more)

convictions for felony immigration and

naturalization offenses, each such

conviction arising out of a separate

prosecution, increase by 4 levels.’’.

The Commentary to § 2L2.2 captioned

‘‘Application Note’’ is amended by

deleting ‘‘Note’’ and inserting in lieu

thereof ‘‘Notes’’; by redesignating Note 1
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 103

as Note 2; and by inserting the following

as the new Note 1:

‘‘1. For purposes of this guideline—

‘Immigration and naturalization

offense’ means any offense covered by

Chapter Two, Part L.’’.

The Commentary to § 2L2.2 captioned

‘‘Application Note’’ is amended by

inserting the following as Note 3.

‘‘3. Prior felony conviction(s)

resulting in an adjustment under

subsection (b)(2) are also counted for

purposes of determining criminal

history points pursuant to Chapter Four,

Part A (Criminal History).’’.

Reason for Amendment: This

amendment implements section 211 of

the Illegal Immigration Reform and

Immigrant Responsibility Act of 1996,

which directs the Commission to amend

the guidelines for offenses related to the

fraudulent use of government-issued

documents.

Emergency Amendment—Involuntary

Servitude

3. Amendment: Section 2H4.1(a) is

amended by deleting ‘‘(Apply the

greater)’’ and inserting in lieu thereof ‘‘:

22’’; and by deleting subdivisions (1)

and (2) in their entirety.

Section 2H4.1 is amended by

inserting the following additional

subsection:

‘‘(b) Specific Offense Characteristics

(1)(A) If any victim sustained

permanent or life-threatening bodily

injury, increase by 4 levels; (B) if any

victim sustained serious bodily injury,

increase by 2 levels.

(2) If a dangerous weapon was used,

increase by 2 levels.

(3) If any victim was held in a

condition of peonage or involuntary

servitude for (A) more than one year,

increase by 3 levels; (B) between 180

days and one year, increase by 2 levels;

or (C) more than 30 days but less than

180 days, increase by 1 level.

(4) If any other felony offense was

committed during the commission of, or

in connection with, the peonage or

involuntary servitude offense, increase

to the greater of:

(A) 2 plus the offense level as

determined above, or

(B) 2 plus the offense level from the

offense guideline applicable to that

other offense, but in no event greater

than level 43.’’.

The Commentary to § 2H4.1 captioned

‘‘Statutory Provisions’’ is amended by

inserting ‘‘241,’’ immediately before

‘‘1581’’.

The Commentary to § 2H4.1 captioned

‘‘Application Note’’ is amended by

deleting ‘‘Note’’ and inserting in lieu

thereof ‘‘Notes’’; by deleting Note 1 in

its entirety and inserting in lieu thereof

the following new note:

‘‘1. For purposes of this guideline—

‘A dangerous weapon was used’

means that a firearm was discharged, or

that a firearm or dangerous weapon was

otherwise used.

Definitions of ‘firearm,’ ‘dangerous

weapon,’ ‘otherwise used,’ ‘serious

bodily injury,’ and ‘permanent or lifethreatening bodily injury’ are found in

the Commentary to § 1B1.1 (Application

Instructions).’’; and by inserting the

following additional notes:

‘‘2. Under subsection (b)(4), ‘any other

felony offense’ means any conduct that

constitutes a felony offense under

federal, state, or local law (other than an

offense that is itself covered by this

subpart). When there is more than one

such other offense, the most serious

such offense (or group of closely related

offenses in the case of offenses that

would be grouped together under

§ 3D1.2(d)) is to be used. See

Application Note 3 of § 1B1.5

(Interpretation of References to other

Offense Guidelines).

3. If the offense involved the holding

of more than ten victims in a condition

of peonage or involuntary servitude, an

upward departure may be warranted.’’.

The Commentary to § 2H4.1 captioned

‘‘Background’’ is deleted in its entirety.

Reason for Amendment: This

amendment implements section 218 of

the Illegal Immigration Reform and

Immigrant Responsibility Act of 1996,

which directs the Commission to review

the guideline for peonage, involuntary

servitude and slave trade offenses and

amend the guideline.

Note: The Commission proposes to repromulgate and submit to Congress by May

1, 1997, as permanent amendments the

forgoing emergency amendments. When the

Commission again considers these

amendments for re-promulgation as

permanent amendments, it may adopt an

amended version of § 2L1.1(b)(1)(A) and

§ 2L2.1(b)(1). The amended version would

provide for a three-level decrease if ‘‘an

offense was committed other than for profit

or the offense involved the smuggling,

transporting, or harboring only of the

defendant’s spouse or child (or both the

defendant’s spouse and child).’’ Such a

change could be expected to restrict

somewhat the number of defendants who

might otherwise qualify for the offense level

reduction. On the other hand, this approach

may provide a more realistic measure of

whether the overall character of the

smuggling offense was a not-for-profit

venture.

[FR Doc. 97–7607 Filed 3–25–97; 8:45 am]

BILLING CODE 2210–40–P

SMALL BUSINESS ADMINISTRATION

Data Collection Available for Public

Comments and Recommendations

ACTION: Notice and request for

comments.

SUMMARY: In accordance with the

Paperwork Reduction Act of 1995, this

notice announces the Small Business

Administration’s intentions to request

approval on a new, and/or currently

approved information collection.

DATES: Comments should be submitted

on or before May 27, 1997.

FOR FURTHER INFORMATION CONTACT:

Curtis B. Rich, Management Analyst,

Small Business Administration, 409 3rd

Street, S.W., Suite 5000, Washington,

D.C. 20416. Phone Number: 202–205–

6629.

SUPPLEMENTARY INFORMATION:

Title: ‘‘Request for Management and

Technical Assistance’’.

Type of Request: Revision of a

Currently Approved Collection.

Form No.: SBA Form 641B.

Description of Respondents:

Individuals that use the Business

Information Centers (BIC’s).

Annual Responses: 60,000.

Annual Burden: 120,000.

Comments: Send all comments

regarding this information collection to

Eunice Ricks, Business Initiatives

Specialist, Office Business Initiatives,

Small Business Administration, 409 3rd

Street, S.W., Suite 6100 Washington,

D.C. 20416. Phone No.: 202–205–7422.

Send comments regarding whether

this information collection is necessary

for the proper performance of the

function of the agency, accuracy of

burden estimate, in addition to ways to

minimize this estimate, and ways to

enhance the quality.

Dated: March 20, 1997.

Jacqueline White,

Chief, Administrative Information Branch.

[FR Doc. 97–7553 Filed 3–25–97; 8:45 am]

BILLING CODE 8025–01–P

DEPARTMENT OF STATE

[Public Notice 2461]

Office of Defense Trade Controls;

Statutory Debarment Under the

International Traffic in Arms

Regulations

AGENCY: Department of State.

ACTION: Notice.

SUMMARY: Notice is hereby given that

Electrodyne Systems Corporation has