Federal Register / Vol. 76, No. 175 / Friday, September 9, 2011 / Rules and Regulations 55785 

and –200 IGW airplanes: Within 3,000 flight 

hours after the effective date of this AD, 

replace the shear pins having part number (P/ 

N) 190–15178–003 and P/N 190–15181–003 

in the rear outboard and inboard shear pin 

assembly in the right- and left-hand pylons, 

with new shear pins having P/N 190–15178– 

005 and P/N 190–15181–005, respectively, in 

accordance with the Accomplishment 

Instructions of EMBRAER Service Bulletin 

190–54–0010, dated May 19, 2010. 

(h) For Model ERJ 190–100 ECJ airplanes: 

Within 3,000 flight hours or within 12 

months after the effective date of this AD, 

whichever occurs first, replace the shear pins 

having P/N 190–15178–003 and P/N 190– 

15181–003, in the rear outboard and inboard 

shear pin assembly in the right- and left-hand 

pylons, with new shear pins having P/N 190– 

15178–005 and P/N 190–15181–005, 

respectively, in accordance with the 

Accomplishment Instructions of EMBRAER 

Service Bulletin 190LIN–54–0001, dated June 

21, 2010. 

FAA AD Differences 

Note 1: This AD differs from the MCAI 

and/or service information as follows: The 

MCAI allows credit for previous installation 

of internal shear pins in accordance with 

EMBRAER 190 Aircraft Maintenance Manual 

Task 54–50–00–400, Revision 19, dated July 

15, 2010. This AD does not allow credit for 

this task; however, under the provisions of 

paragraph (i) of this AD, we will consider 

requests for an alternative method of 

compliance. 

Other FAA AD Provisions 

(i) The following provisions also apply to 

this AD: 

(1) Alternative Methods of Compliance 

(AMOCs): The Manager, International 

Branch, ANM–116, Transport Airplane 

Directorate, FAA, has the authority to 

approve AMOCs for this AD, if requested 

using the procedures found in 14 CFR 39.19. 

In accordance with 14 CFR 39.19, send your 

request to your principal inspector or local 

Flight Standards District Office, as 

appropriate. If sending information directly 

to the International Branch, send it to ATTN: 

Cindy Ashforth, Aerospace Engineer, 

International Branch, ANM–116, Transport 

Airplane Directorate, FAA, 1601 Lind 

Avenue, SW., Renton, Washington 98057– 

3356; telephone (425) 227–2768; fax (425) 

227–1149. Information may be e-mailed to: 

9-ANM-116-AMOC-REQUESTS@faa.gov. 

Before using any approved AMOC, notify 

your appropriate principal inspector, or 

lacking a principal inspector, the manager of 

the local flight standards district office/ 

certificate holding district office. The AMOC 

approval letter must specifically reference 

this AD. 

(2) Airworthy Product: For any requirement 

in this AD to obtain corrective actions from 

a manufacturer or other source, use these 

actions if they are FAA-approved. Corrective 

actions are considered FAA-approved if they 

are approved by the State of Design Authority 

(or their delegated agent). You are required 

to assure the product is airworthy before it 

is returned to service. 

Related Information 

(j) Refer to MCAI Ageˆncia Nacional de 

Aviac ̧a ̃o Civil (ANAC) Airworthiness 

Directive 2010–08–02, dated September 20, 

2010; and EMBRAER Service Bulletins 190– 

54–0010, dated May 19, 2010, and 190LIN– 

54–0001, dated June 21, 2010; for related 

information. 

Material Incorporated by Reference 

(k) You must use EMBRAER Service 

Bulletin 190–54–0010, dated May 19, 2010; 

or EMBRAER Service Bulletin 190LIN–54– 

0001, dated June 21, 2010; as applicable; 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 Empresa Brasileira de 

Aeronautica S.A. (EMBRAER), Technical 

Publications Section (PC 060), Av. Brigadeiro 

Faria Lima, 2170—Putim—12227–901 Sa ̃o 

Jose dos Campos—SP—BRASIL; telephone 

+55 12 3927–5852 or +55 12 3309–0732; fax 

+55 12 3927–7546; e-mail 

distrib@embraer.com.br; Internet http:// 

www.flyembraer.com. 

(3) You may review copies of the service 

information at the FAA, Transport Airplane 

Directorate, 1601 Lind Avenue, SW., Renton, 

Washington. For information on the 

availability of this material at the FAA, call 

425–227–1221. 

(4) You may also review copies of the 

service information that is incorporated by 

reference 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 Renton, Washington, on August 

19, 2011. 

Ali Bahrami, 

Manager, Transport Airplane Directorate, 

Aircraft Certification Service. 

[FR Doc. 2011–22028 Filed 9–8–11; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2011–0471; Directorate 

Identifier 2010–NM–219–AD; Amendment 

39–16800; AD 2011–18–18] 

RIN 2120–AA64 

Airworthiness Directives; Bombardier, 

Inc. Model DHC–8–400 Series 

Airplanes 

AGENCY: Federal Aviation 

Administration (FAA), Department of 

Transportation (DOT). 

ACTION: Final rule. 

SUMMARY: We are adopting a new 

airworthiness directive (AD) for the 

products listed above. This AD results 

from mandatory continuing 

airworthiness information (MCAI) 

originated by an aviation authority of 

another country to identify and correct 

an unsafe condition on an aviation 

product. The MCAI describes the unsafe 

condition as: 

Several operators have reported pitch 

oscillations and/or elevator asymmetry 

caution lights illumination when flying with 

the autopilot engaged. Investigations revealed 

that loose rivets in the torque tube assemblies 

caused relative motion between the crank 

arms and torque tubes. 

Loose rivets could result in excessive wear 

and subsequent significant backlash in the 

driving crank arms. This condition, if left 

uncorrected, will progressively get worse and 

degrade the controllability of the aeroplane. 

We are issuing this AD to require 

actions to correct the unsafe condition 

on these products. 

DATES: This AD becomes effective 

October 14, 2011. 

The Director of the Federal Register 

approved the incorporation by reference 

of a certain publication listed in this AD 

as of October 14, 2011. 

ADDRESSES: You may examine the AD 

docket on the Internet at http:// 

www.regulations.gov or in person at the 

U.S. Department of Transportation, 

Docket Operations, M–30, West 

Building Ground Floor, Room W12–140, 

1200 New Jersey Avenue, SE., 

Washington, DC. 

FOR FURTHER INFORMATION CONTACT: 

Stephen Kowalski, Aerospace Engineer, 

Airframe and Mechanical Systems 

Branch, ANE–171, FAA, New York 

Aircraft Certification Office, 1600 

Stewart Avenue, Suite 410, Westbury, 

New York 11590; telephone (516) 228– 

7327; fax (516) 794–5531. 

SUPPLEMENTARY INFORMATION: 

Discussion 

We issued a notice of proposed 

rulemaking (NPRM) to amend 14 CFR 

part 39 to include an AD that would 

apply to the specified products. That 

NPRM was published in the Federal 

Register on May 12, 2011 (76 FR 27617). 

That NPRM proposed to correct an 

unsafe condition for the specified 

products. The MCAI states: 

Several operators have reported pitch 

oscillations and/or elevator asymmetry 

caution lights illumination when flying with 

the autopilot engaged. Investigations revealed 

that loose rivets in the torque tube assemblies 

caused relative motion between the crank 

arms and torque tubes. 

Loose rivets could result in excessive wear 

and subsequent significant backlash in the 

driving crank arms. This condition, if left 

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55786 Federal Register / Vol. 76, No. 175 / Friday, September 9, 2011 / Rules and Regulations 

uncorrected, will progressively get worse and 

degrade the controllability of the aeroplane. 

Required actions include doing an 

inspection for the part number of the 

left and right elevator torque tube 

assemblies and, if necessary, replacing 

the elevator torque tube assembly or 

replacing the elevator torque tube rivets, 

and re-identifying the assemblies. You 

may obtain further information by 

examining the MCAI in the AD docket. 

Comments 

We gave the public the opportunity to 

participate in developing this AD. We 

received no comments on the NPRM (76 

FR 27617, May 12, 2011) or on the 

determination of the cost to the public. 

Revised Service Information 

Bombardier Service Bulletin 84–27– 

50, Revision ‘D,’ dated September 22, 

2010, has been issued for clarification, 

but adds no new actions. We have 

updated the references in paragraphs 

(g), (h), (i), and (m) of this AD to include 

Bombardier Service Bulletin 84–27–50, 

Revision ‘D,’ dated September 22, 2010. 

We have also updated Table 1 of this 

AD to allow credit for Bombardier 

Service Bulletin 84–27–50, Revision ‘C,’ 

dated July 26, 2010. 

Conclusion 

We reviewed the relevant data, and 

determined that air safety and the 

public interest require adopting the AD 

with the changes described previously. 

We also determined that these changes 

will not increase the economic burden 

on any operator or increase the scope of 

the AD. 

Differences Between This AD and the 

MCAI or Service Information 

We have reviewed the MCAI and 

related service information and, in 

general, agree with their substance. But 

we might have found it necessary to use 

different words from those in the MCAI 

to ensure the AD is clear for U.S. 

operators and is enforceable. In making 

these changes, we do not intend to differ 

substantively from the information 

provided in the MCAI and related 

service information. 

We might also have required different 

actions in this AD from those in the 

MCAI in order to follow our FAA 

policies. Any such differences are 

highlighted in a NOTE within the AD. 

Costs of Compliance 

We estimate that this AD will affect 

66 products of U.S. registry. We also 

estimate the following costs to comply 

with this AD. 

ESTIMATED COSTS

Action Labor cost Parts cost Cost per 

product 

Cost on U.S. 

operators 

Inspection .................. 2 × $85 per hour = $170 .......................... None ......................................................... $170 $11,220 

We estimate the following costs to do 

any necessary replacements that would 

be required based on the results of the 

required inspection. We have no way of 

determining the number of aircraft that 

might need these replacements: 

ON-CONDITION COSTS

Action Labor cost Parts cost Cost per 

product 

Replace left torque tube ............................................... 15 work-hours × $85 per hour = $1,275 ...................... $4,354 $5,629 

Replace right torque tube ............................................. 15 work-hours × $85 per hour = $1,275 ...................... 5,913 7,188 

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 rulemaking 

action. 

Regulatory Findings 

We 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 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 regulatory evaluation 

of the estimated costs to comply with 

this AD and placed it in the AD docket. 

Examining the AD Docket 

You may examine the AD docket on 

the Internet at http:// 

www.regulations.gov; or in person at the 

Docket Operations office between 9 a.m. 

and 5 p.m., Monday through Friday, 

except Federal holidays. The AD docket 

contains the NPRM, the regulatory 

evaluation, any comments received, and 

other information. The street address for 

the Docket Operations office (telephone 

(800) 647–5527) is in the ADDRESSES

section. Comments will be available in 

the AD docket shortly after receipt. 

List of Subjects in 14 CFR Part 39 

Air transportation, Aircraft, Aviation 

safety, Incorporation by reference, 

Safety. 

Adoption of the Amendment 

Accordingly, under the authority 

delegated to me by the Administrator, 

the FAA amends 14 CFR part 39 as 

follows: 

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Federal Register / Vol. 76, No. 175 / Friday, September 9, 2011 / Rules and Regulations 55787 

PART 39—AIRWORTHINESS 

DIRECTIVES 

■ 1. The authority citation for part 39 

continues to read as follows: 

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

§ 39.13 [Amended] 

■ 2. The FAA amends § 39.13 by adding 

the following new AD: 

2011–18–18 Bombardier, Inc.: Amendment 

39–16800. Docket No. FAA–2011–0471; 

Directorate Identifier 2010–NM–219–AD. 

Effective Date 

(a) This airworthiness directive (AD) 

becomes effective October 14, 2011. 

Affected ADs 

(b) None. 

Applicability 

(c) This AD applies to Bombardier, Inc. 

Model DHC–8–400, –401, and –402 

airplanes; certificated in any category; serial 

numbers 4001 through 4305 inclusive. 

Subject 

(d) Air Transport Association (ATA) of 

America Code 27: Flight controls. 

Reason 

(e) The mandatory continuing 

airworthiness information (MCAI) states: 

Several operators have reported pitch 

oscillations and/or elevator asymmetry 

caution lights illumination when flying with 

the autopilot engaged. Investigations revealed 

that loose rivets in the torque tube assemblies 

caused relative motion between the crank 

arms and torque tubes. 

Loose rivets could result in excessive wear 

and subsequent significant backlash in the 

driving crank arms. This condition, if left 

uncorrected, will progressively get worse and 

degrade the controllability of the aeroplane. 

Compliance 

(f) You are responsible for having the 

actions required by this AD performed within 

the compliance times specified, unless the 

actions have already been done. 

Inspection for Part Number 

(g) At the applicable times identified in 

paragraphs (g)(1) and (g)(2) of this AD, do an 

inspection to determine the part numbers of 

the left and right elevator torque tubes, in 

accordance with the Accomplishment 

Instructions of Bombardier Service Bulletin 

84–27–50, Revision ‘D,’ dated September 22, 

2010. A review of airplane maintenance 

records is acceptable in lieu of this 

inspection if the part numbers of the left and 

right elevator torque tubes can be 

conclusively determined from that review. 

(1) For airplanes that have accumulated 

8,000 or more total flight hours as of the 

effective date of this AD: Within 2,000 flight 

hours after the effective date of this AD. 

(2) For airplanes that have accumulated 

less than 8,000 total flight hours as of the 

effective date of this AD: Within 6,000 flight 

hours after the effective date of this AD, but 

before the accumulation of 10,000 total flight 

hours. 

Corrective Actions 

(h) If, as a result of the inspection required 

by paragraph (g) of this AD, any left elevator 

torque tube has part number (P/N) 82760709– 

009, at the applicable time in paragraph (g)(1) 

or (g)(2) of this AD, do the actions in 

paragraph (h)(1) or (h)(2) of this AD. 

(1) Replace the elevator torque tube with a 

new elevator torque tube having P/N 

82760709–011, in accordance with the 

Accomplishment Instructions of Bombardier 

Service Bulletin 84–27–50, Revision ‘D,’ 

dated September 22, 2010. 

(2) Replace the rivets in each elevator 

torque tube assembly with Hi Lite pins 

having P/N B0206001AG8 and collars having 

P/N HST1070CY, and re-identify the elevator 

torque tube assembly having P/N 82760709– 

009, in accordance with the Accomplishment 

Instructions of Bombardier Service Bulletin 

84–27–50, Revision ‘D,’ dated September 22, 

2010. 

(i) If, as a result of the inspection required 

by paragraph (g) of this AD, any right elevator 

torque tube has P/N 82760757–009, at the 

applicable time in paragraph (g)(1) or (g)(2) 

of this AD, do the actions in paragraph (i)(1) 

or (i)(2) of this AD. 

(1) Replace the elevator torque tube with a 

new elevator torque tube having P/N 

82760757–011, in accordance with the 

Accomplishment Instructions of Bombardier 

Service Bulletin 84–27–50, Revision ‘D,’ 

dated September 22, 2010. 

(2) Replace the rivets in each elevator 

torque tube assembly with Hi Lite pins 

having P/N B0206001AG8 and collars having 

P/N HST1070CY, and re-identify the elevator 

torque tube assembly having P/N 82760757– 

009, in accordance with the Accomplishment 

Instructions of Bombardier Service Bulletin 

84–27–50, Revision ‘D,’ dated September 22, 

2010. 

Credit for Actions Accomplished in 

Accordance With Previous Service 

Information 

(j) Actions done before the effective date of 

this AD, in accordance with the service 

bulletins listed in table 1 of this AD, are 

considered acceptable for compliance with 

the corresponding action specified in this 

AD. 

TABLE 1—CREDIT SERVICE BULLETINS

Service Bulletin Revision Date 

Bombardier Service Bulletin 84–27–50 .............................................................................. Original ............................................. March 3, 2010. 

Bombardier Service Bulletin 84–27–50 .............................................................................. A ....................................................... April 28, 2010. 

Bombardier Service Bulletin 84–27–50 .............................................................................. B ....................................................... May 19, 2010. 

Bombardier Service Bulletin 84–27–50 .............................................................................. C ...................................................... July 26, 2010. 

Parts Installation 

(k) As of the effective date of this AD, no 

person may install on any airplane an 

elevator torque tube assembly having P/N 

82760709–009 or 82760757–009. 

FAA AD Differences 

Note 1: This AD differs from the MCAI 

and/or service information as follows: No 

differences. 

Other FAA AD Provisions 

(l) The following provisions also apply to 

this AD: 

(1) Alternative Methods of Compliance 

(AMOCs): The Manager, New York Aircraft 

Certification Office (ACO), ANE–170, FAA, 

has the authority to approve AMOCs for this 

AD, if requested using the procedures found 

in 14 CFR 39.19. In accordance with 14 CFR 

39.19, send your request to your principal 

inspector or local Flight Standards District 

Office, as appropriate. If sending information 

directly to the ACO, send it to ATTN: 

Program Manager, Continuing Operational 

Safety, FAA, New York ACO, 1600 Stewart 

Avenue, Suite 410, Westbury, New York 

11590; telephone 516–228–7300; fax 516– 

794–5531. Before using any approved AMOC, 

notify your appropriate principal inspector, 

or lacking a principal inspector, the manager 

of the local flight standards district office/ 

certificate holding district office. The AMOC 

approval letter must specifically reference 

this AD. 

(2) Airworthy Product: For any requirement 

in this AD to obtain corrective actions from 

a manufacturer or other source, use these 

actions if they are FAA-approved. Corrective 

actions are considered FAA-approved if they 

are approved by the State of Design Authority 

(or their delegated agent). You are required 

to assure the product is airworthy before it 

is returned to service. 

Related Information 

(m) Refer to MCAI Canadian Airworthiness 

Directive CF–2010–27, dated August 20, 

2010; and Bombardier Service Bulletin 84– 

27–50, Revision ‘D,’ dated September 22, 

2010; for related information. 

Material Incorporated by Reference 

(n) You must use Bombardier Service 

Bulletin 84–27–50, Revision ‘D,’ dated 

September 22, 2010, 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. 

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55788 Federal Register / Vol. 76, No. 175 / Friday, September 9, 2011 / Rules and Regulations 

1See EDGAR Filing Manual (Volume I) General 

Information (Section 2.4, Accessing EDGAR). 2The Dodd-Frank Wall Street Reform and 

Consumer Protection Act, Public Law 111–203, 124 

Stat. 1376 (2010). 3The definitions included in Form ID are to 

facilitate the correct selection of ‘‘applicant type’’ 

by a particular filer and are not intended to amend 

or otherwise change any provision of the federal 

securities laws or the regulations promulgated 

thereunder. 

4For purposes of Form ID, the term ‘‘person’’ 

includes either an individual or entity. If the 

applicant is also an ‘‘individual’’ as defined in the 

current Form ID, then the applicant must apply as 

both an ‘‘individual’’ as well as another appropriate 

applicant type that properly characterizes it. 

5Persons that are transfer agents must apply for 

a separate set of access codes even if they already 

submit filings on EDGAR in another capacity. See 

Securities Exchange Act Release No. 54865 

(December 4, 2006), 71 FR 74698 (December 12, 

2006) (File No. S7–14–06). 

(2) For service information identified in 

this AD, contact Bombardier, Inc., Q-Series 

Technical Help Desk, 123 Garratt Boulevard, 

Toronto, Ontario M3K 1Y5, Canada; 

telephone 416–375–4000; fax 416–375–4539; 

e-mail thd.qseries@aero.bombardier.com; 

Internet http://www.bombardier.com. 

(3) You may review copies of the service 

information at the FAA, Transport Airplane 

Directorate, 1601 Lind Avenue, SW., Renton, 

Washington. For information on the 

availability of this material at the FAA, call 

425–227–1221. 

(4) You may also review copies of the 

service information that is incorporated by 

reference 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 Renton, Washington, on August 

23, 2011. 

Ali Bahrami, 

Manager, Transport Airplane Directorate, 

Aircraft Certification Service. 

[FR Doc. 2011–22277 Filed 9–8–11; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Parts 239, 249, 269 and 274 

[Release Nos. 33–9256; 34–65244; 39–2478; 

IC–29780] 

Amendments To Include New 

Applicant Types on Form ID 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule amendments. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’) is 

amending Form ID to include additional 

applicant types in order to facilitate 

processing of the form. Form ID is the 

application for access codes to file on 

the Commission’s Electronic Data 

Gathering, Analysis, and Retrieval 

(‘‘EDGAR’’) system. The purpose of 

introducing these new applicant types is 

to improve the Commission’s internal 

procedures for processing filings, 

including by routing Form ID filings to 

the appropriate internal office or 

division. 

DATES: Effective Date: September 9, 

2011. 

FOR FURTHER INFORMATION CONTACT: 

Catherine Moore, Senior Special 

Counsel or Andrew Bernstein, AttorneyAdviser, Office of Clearance and 

Settlement, Division of Trading and 

Markets, Securities and Exchange 

Commission, 100 F Street, NE., 

Washington, DC 20549, at (202) 551– 

5710. 

SUPPLEMENTARY INFORMATION: 

I. Background 

Form ID is filed by registrants, third 

party filers, or any of their respective 

agents, to whom the Commission 

previously has not assigned a Central 

Index Key (‘‘CIK’’) code, to request 

access codes in order to file in 

electronic format through EDGAR. 

EDGAR access codes include the CIK 

code, the CIK Confirmation Code 

(‘‘CCC’’), Password (‘‘PW’’), and 

Password Modification Authorization 

Code (‘‘PMAC’’).1

Currently, Form ID does not 

differentiate applicants by specific type 

and simply lists as possible applicant 

types ‘‘filer,’’ ‘‘filing agent,’’ ‘‘training 

agent,’’ ‘‘transfer agent,’’ and 

‘‘individual.’’ However, the number and 

type of persons that use EDGAR for 

submitting filings has increased since 

Form ID was first adopted by the 

Commission and may increase further 

following the adoption of various rules 

under the Dodd-Frank Wall Street 

Reform and Consumer Protection Act 

(‘‘Dodd-Frank Act’’).2 Accordingly, the 

Commission is amending Form ID to list 

specific persons as applicant types on 

the form in order to allow the form to 

be assigned for processing within the 

Commission based on the type of 

applicant. 

The new applicant types include 

persons that currently file on EDGAR 

but who are not separately listed on 

Form ID, persons that currently file 

forms with the Commission in paper but 

who may be required to file on EDGAR 

in the future, and persons who will be 

required to meet certain new filing 

obligations under the Securities 

Exchange Act of 1934 (‘‘Exchange Act’’), 

including provisions added by the 

Dodd-Frank Act. The amendments to 

Form ID also include corresponding 

definitions for each new applicant 

type.3 New applicants should select 

only one entity type when completing 

and submitting Form ID.4 If an applicant 

qualifies as more than one of the 

applicant types listed on the form, it 

should select the applicant type related 

to the first filing it plans to submit on 

EDGAR. The access codes the applicant 

retrieves after Form ID is approved may 

be used to submit filings on EDGAR for 

any entity type (other than transfer 

agent) provided that such filing 

complies with all other applicable rules 

and regulations.5 Persons that have 

previously filed Form ID applications 

with the Commission are not required to 

re-file Form ID as a result of these 

amendments. 

As more fully described below, the 

following applicant types and 

applicable definitions are being added 

to Form ID: Investment Company, 

Business Development Company or 

Insurance Company Separate Account, 

Institutional Investment Manager (Form 

13F Filer), Non-Investment Company 

Applicant under the Investment 

Company Act of 1940, Large Trader, 

Clearing Agency, Municipal Advisor, 

Municipal Securities Dealer, Nationally 

Recognized Statistical Rating 

Organization, Security-Based Swap Data 

Repository, Security-Based Swap Dealer 

and Major Security-Based Swap 

Participant, and Security-Based Swap 

Execution Facility. 

Investment Company, Business 

Development Company or Insurance 

Company Separate Account, 

Institutional Investment Manager (Form 

13F Filer), and Non-Investment 

Company Applicant Under the 

Investment Company Act of 1940 

Currently, a person that may fall 

within the applicant type of 

‘‘Investment Company, Business 

Development Company or Insurance 

Company Separate Account,’’ 

‘‘Institutional Investment Manager 

(Form 13F Filer),’’ or ‘‘Non-Investment 

Company Applicant under the 

Investment Company Act of 1940’’ may 

make submissions on EDGAR in 

electronic format without referencing 

the appropriate applicant type on Form 

ID. As such, the Commission is adding 

these specific applicant types to Form 

ID in order to facilitate processing of the 

form as filed by such persons. The 

applicant type of ‘‘Investment Company, 

Business Development Company or 

Insurance Company Separate Account’’ 

being added to Form ID includes 

persons that meet the definition of 

‘‘investment company’’ in Section 3 of 

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