Federal Register / Vol. 87, No. 73 / Friday, April 15, 2022 / Rules and Regulations 22441 

(j) Additional AD Provisions 

The following provisions also apply to this 

AD: 

(1) Alternative Methods of Compliance 

(AMOCs): The Manager, Large Aircraft 

Section, International Validation Branch, 

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 responsible Flight 

Standards Office, as appropriate. If sending 

information directly to the Large Aircraft 

Section, International Validation Branch, 

send it to the attention of the person 

identified in paragraph (k) of this AD. 

Information may be emailed to: 9-AVS-AIR730-AMOC@faa.gov. Before using any 

approved AMOC, notify your appropriate 

principal inspector, or lacking a principal 

inspector, the manager of the responsible 

Flight Standards Office. 

(2) Contacting the Manufacturer: For any 

requirement in this AD to obtain instructions 

from a manufacturer, the instructions must 

be accomplished using a method approved 

by the Manager, Large Aircraft Section, 

International Validation Branch, FAA; or 

EASA; or Airbus SAS’s EASA Design 

Organization Approval (DOA). If approved by 

the DOA, the approval must include the 

DOA-authorized signature. 

(k) Related Information 

For more information about this AD, 

contact Dan Rodina, Aerospace Engineer, 

Large Aircraft Section, FAA, International 

Validation Branch, 2200 South 216th St., Des 

Moines, WA 98198; telephone 206–231– 

3225; email Dan.Rodina@faa.gov. 

(l) Material Incorporated by Reference 

(1) The Director of the Federal Register 

approved the incorporation by reference of 

the service information listed in this 

paragraph under 5 U.S.C. 552(a) and 1 CFR 

part 51. 

(2) You must use this service information 

as applicable to do the actions required by 

this AD, unless this AD specifies otherwise. 

(i) European Union Aviation Safety Agency 

(EASA) AD 2022–0032, dated March 3, 2022. 

(ii) Airbus Alert Operators Transmission 

A32N025–22, Rev 00, dated February 24, 

2022, including Appendixes 1 through 4, 

dated February 21, 2022. 

(3) For EASA AD 2022–0032, contact 

EASA, Konrad-Adenauer-Ufer 3, 50668 

Cologne, Germany; telephone +49 221 8999 

000; email ADs@easa.europa.eu; internet 

www.easa.europa.eu. You may find this 

EASA AD on the EASA website at https://

ad.easa.europa.eu. For Airbus service 

information identified in this AD, contact 

Airbus SAS, Airworthiness Office—EIAS, 

Rond-Point Emile Dewoitine No: 2, 31700 

Blagnac Cedex, France; telephone +33 5 61 

93 36 96; fax +33 5 61 93 44 51; email 

account.airworth-eas@airbus.com; internet 

https://www.airbus.com. 

(4) You may view this material at the FAA, 

Airworthiness Products Section, Operational 

Safety Branch, 2200 South 216th St., Des 

Moines, WA. For information on the 

availability of this material at the FAA, call 

206–231–3195. 

(5) You may view this material that is 

incorporated by reference at the National 

Archives and Records Administration 

(NARA). For information on the availability 

of this material at NARA, email 

fr.inspection@nara.gov, or go to https://

www.archives.gov/federal-register/cfr/ibrlocations.html. 

Issued on March 29, 2022. 

Lance T. Gant, 

Director, Compliance & Airworthiness 

Division, Aircraft Certification Service. 

[FR Doc. 2022–08213 Filed 4–13–22; 11:15 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2022–0386; Project 

Identifier AD–2022–00336–E; Amendment 

39–22001; AD 2022–07–13] 

RIN 2120–AA64 

Airworthiness Directives; Pratt & 

Whitney Division Turbofan Engines 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Final rule; request for 

comments. 

SUMMARY: The FAA is adopting a new 

airworthiness directive (AD) for all Pratt 

& Whitney Division (PW) PW4074, 

PW4074D, PW4077, PW4077D, 

PW4084D, PW4090, and PW4090–3 

model turbofan engines. This AD was 

prompted by an in-flight shutdown 

(IFSD) of an engine due to an air/oil 

heat exchanger leak caused by corrosion 

and subsequent investigation by the 

manufacturer that revealed additional 

air/oil heat exchanger leaks. This AD 

requires an inspection of the air/oil heat 

exchanger and, depending on the results 

of the inspection, replacement of the 

air/oil heat exchanger. This AD also 

provides instructions for storing an air/ 

oil heat exchanger after inspection. The 

FAA is issuing this AD to address the 

unsafe condition on these products. 

DATES: This AD is effective May 2, 2022. 

The Director of the Federal Register 

approved the incorporation by reference 

of a certain publication listed in this AD 

as of May 2, 2022. 

The FAA must receive comments on 

this AD by May 31, 2022. 

ADDRESSES: You may send comments, 

using the procedures found in 14 CFR 

11.43 and 11.45, by any of the following 

methods: 

• Federal eRulemaking Portal: Go to 

https://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: (202) 493–2251. 

• Mail: U.S. Department of 

Transportation, Docket Operations, M– 

30, West Building Ground Floor, Room 

W12–140, 1200 New Jersey Avenue SE, 

Washington, DC 20590. 

• Hand Delivery: Deliver to Mail 

address above between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. 

For service information identified in 

this final rule, contact Pratt & Whitney 

Division, 400 Main Street, East Hartford, 

CT 06118; phone: (860) 565–0140; 

email: help24@prattwhitney.com; 

website: https://

connect.prattwhitney.com. You may 

view this service information at the 

FAA, Airworthiness Products Section, 

Operational Safety Branch, 1200 District 

Avenue, Burlington, MA 01803. For 

information on the availability of this 

material at the FAA, call (817) 222– 

5110. It is also available at https://

www.regulations.gov by searching for 

and locating Docket No. FAA–2022– 

0386. 

Examining the AD Docket 

You may examine the AD docket at 

https://www.regulations.gov by 

searching for and locating Docket No. 

FAA–2022–0386; or in person at Docket 

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

Monday through Friday, except Federal 

holidays. The AD docket contains this 

final rule, any comments received, and 

other information. The street address for 

the Docket Operations is listed above. 

FOR FURTHER INFORMATION CONTACT: 

Carol Nguyen, Aviation Safety Engineer, 

ECO Branch, FAA, 1200 District 

Avenue, Burlington, MA 01803; phone: 

(781) 238–7655; email: carol.nguyen@

faa.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

On November 9, 2021, a Boeing 

Model 777 airplane, powered by PW 

PW4077 engines, on a ferry flight from 

San Francisco, CA to Honolulu, HI, 

experienced an oil leak on the number 

1 engine that resulted in an IFSD and air 

turnback to San Francisco, CA. A postflight inspection revealed that the oil 

leak was from the air/oil heat exchanger. 

After this event, on December 19, 2021, 

the manufacturer was made aware of 

another oil leak related to the air/oil 

heat exchanger that was discovered 

during a post-flight inspection after the 

first flight out of storage. Subsequent 

investigation revealed 19 air/oil heat 

exchanger leaks occurred on the affected 

engines during the past year, which is 

significantly higher than the three to 

four air/oil heat exchanger leaks 

typically occurring each year. After 


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22442 Federal Register / Vol. 87, No. 73 / Friday, April 15, 2022 / Rules and Regulations 

further investigation, the manufacturer 

determined that the air/oil heat 

exchanger leak was due to corrosion. 

The manufacturer published Pratt & 

Whitney Special Instruction No. 255F– 

21A, dated February 15, 2022, which 

provides instructions for performing an 

inspection of the air/oil heat exchanger 

and, depending on the results of the 

inspection, replacement of the air/oil 

heat exchanger. This special instruction 

also provides instructions for storing an 

air/oil heat exchanger after the 

inspection. This condition, if not 

addressed, could result in low oil 

pressure, failure of one or more engines, 

IFSD, loss of engine thrust control, 

reduced control of the airplane, and loss 

of the airplane. The FAA is issuing this 

AD to address the unsafe condition on 

these products. 

FAA’s Determination 

The FAA is issuing this AD because 

the agency has determined the unsafe 

condition described previously is likely 

to exist or develop in other products of 

the same type design. 

Related Service Information Under 1 

CFR Part 51 

The FAA reviewed Pratt & Whitney 

Special Instruction No. 255F–21A, 

dated February 15, 2022. This special 

instruction specifies procedures for 

performing an inspection of the air/oil 

heat exchanger and, depending on the 

results of the inspection, replacement of 

the air/oil heat exchanger. This special 

instruction also specifies procedures for 

storing an air/oil heat exchanger after 

the inspection. This service information 

is reasonably available because the 

interested parties have access to it 

through their normal course of business 

or by the means identified in 

ADDRESSES. 

Other Related Service Information 

The FAA reviewed Pratt & Whitney 

Special Instruction No. 255F–21, dated 

December 22, 2021. This special 

instruction describes procedures for 

performing an inspection of the air/oil 

heat exchanger and, depending on the 

results of the inspection, replacement of 

the air/oil heat exchanger. 

AD Requirements 

This AD requires an inspection of the 

air/oil heat exchanger within 30 days 

prior to the first flight after the effective 

date of this AD. Depending on the 

results of the inspection, this AD may 

require replacement of the air/oil heat 

exchanger. The air/oil heat exchanger 

may be inspected more than 30 days 

prior to the first flight after the effective 

date of this AD if the air/oil heat 

exchanger is subsequently stored in 

accordance with procedures from the 

manufacturer. 

Interim Action 

The FAA considers this AD to be an 

interim action. If final action is later 

identified, the FAA might consider 

additional rulemaking. 

Justification for Immediate Adoption 

and Determination of the Effective Date 

Section 553(b)(3)(B) of the 

Administrative Procedure Act (APA) (5 

U.S.C. 551 et seq.) authorizes agencies 

to dispense with notice and comment 

procedures for rules when the agency, 

for ‘‘good cause,’’ finds that those 

procedures are ‘‘impracticable, 

unnecessary, or contrary to the public 

interest.’’ Under this section, an agency, 

upon finding good cause, may issue a 

final rule without providing notice and 

seeking comment prior to issuance. 

Further, section 553(d) of the APA 

authorizes agencies to make rules 

effective in less than thirty days, upon 

a finding of good cause. 

An unsafe condition exists that 

requires the immediate adoption of this 

AD without providing an opportunity 

for public comments prior to adoption. 

The FAA has found that the risk to the 

flying public justifies foregoing notice 

and comment prior to adoption of this 

rule. The Boeing Model 777 fleet with 

affected engines installed has been 

grounded after a fan blade-out event that 

occurred on February 20, 2021. 

According to the manufacturer, the lack 

of operation may have exacerbated 

corrosion on the air/oil heat exchanger. 

Both engines installed on the airplane 

may develop leaks on the air/oil heat 

exchangers. Since the Boeing Model 777 

fleet will start to return to service soon, 

there is an increased risk that these 

leaks will occur during the first flight 

out of storage, and there is a risk of a 

dual-engine IFSD and loss of the 

airplane. The FAA considers inspection 

of the air/oil heat exchanger for leaks to 

be an urgent safety issue. Accordingly, 

notice and opportunity for prior public 

comment are impracticable and contrary 

to the public interest pursuant to 5 

U.S.C. 553(b)(3)(B). 

In addition, the FAA finds that good 

cause exists pursuant to 5 U.S.C. 553(d) 

for making this amendment effective in 

less than 30 days, for the same reasons 

the FAA found good cause to forego 

notice and comment. 

Comments Invited 

The FAA invites you to send any 

written data, views, or arguments about 

this final rule. Send your comments to 

an address listed under ADDRESSES. 

Include ‘‘FAA–2022–0386 and Project 

Identifier AD–2022–00336–E’’ at the 

beginning of your comments. The most 

helpful comments reference a specific 

portion of the final rule, explain the 

reason for any recommended change, 

and include supporting data. The FAA 

will consider all comments received by 

the closing date and may amend this 

final rule because of those comments. 

Except for Confidential Business 

Information (CBI) as described in the 

following paragraph, and other 

information as described in 14 CFR 

11.35, the FAA will post all comments 

received, without change, to https://

www.regulations.gov, including any 

personal information you provide. The 

agency will also post a report 

summarizing each substantive verbal 

contact received about this final rule. 

Confidential Business Information 

CBI is commercial or financial 

information that is both customarily and 

actually treated as private by its owner. 

Under the Freedom of Information Act 

(FOIA) (5 U.S.C. 552), CBI is exempt 

from public disclosure. If your 

comments responsive to this AD contain 

commercial or financial information 

that is customarily treated as private, 

that you actually treat as private, and 

that is relevant or responsive to this AD, 

it is important that you clearly designate 

the submitted comments as CBI. Please 

mark each page of your submission 

containing CBI as ‘‘PROPIN.’’ The FAA 

will treat such marked submissions as 

confidential under the FOIA, and they 

will not be placed in the public docket 

of this AD. Submissions containing CBI 

should be sent to Carol Nguyen, 

Aviation Safety Engineer, ECO Branch, 

FAA, 1200 District Avenue, Burlington, 

MA 01803. Any commentary that the 

FAA receives which is not specifically 

designated as CBI will be placed in the 

public docket for this rulemaking. 

Regulatory Flexibility Act 

The requirements of the Regulatory 

Flexibility Act (RFA) do not apply when 

an agency finds good cause pursuant to 

5 U.S.C. 553 to adopt a rule without 

prior notice and comment. Because FAA 

has determined that it has good cause to 

adopt this rule without prior notice and 

comment, RFA analysis is not required. 

Costs of Compliance 

The FAA estimates that this AD 

affects 108 engines installed on 

airplanes of U.S. registry. 

The FAA estimates the following 

costs to comply with this AD: 


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Federal Register / Vol. 87, No. 73 / Friday, April 15, 2022 / Rules and Regulations 22443 

ESTIMATED COSTS

Action Labor cost Parts cost Cost per 

product 

Cost on U.S. 

operators 

Inspect air/oil heat exchanger ......................... 2 work-hours × $85 per hour = $170 ............. $0 $170 $18,360 

The FAA estimates the following 

costs to do any necessary replacement 

that would be required based on the 

results of the inspection. The agency has 

no way of determining the number of 

aircraft that might need this 

replacement. 

ON-CONDITION COSTS

Action Labor cost Parts cost Cost per 

product 

Replace air/oil heat exchanger ..................................... 0 work-hours × $85 per hour = $0 ............................... $12,000 $12,000 

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. 

The FAA is 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 

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, 

and 

(2) Will not affect intrastate aviation 

in Alaska. 

List of Subjects in 14 CFR Part 39 

Air transportation, Aircraft, Aviation 

safety, Incorporation by reference, 

Safety. 

The Amendment 

Accordingly, under the authority 

delegated to me by the Administrator, 

the FAA amends 14 CFR part 39 as 

follows: 

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 airworthiness 

directive: 

2022–07–13 Pratt & Whitney Division: 

Amendment 39–22001; Docket No. 

FAA–2022–0386; Project Identifier AD– 

2022–00336–E. 

(a) Effective Date 

This airworthiness directive (AD) is 

effective May 2, 2022. 

(b) Affected ADs 

None. 

(c) Applicability 

This AD applies to Pratt & Whitney 

Division PW4074, PW4074D, PW4077, 

PW4077D, PW4084D, PW4090, and PW4090– 

3 model turbofan engines, with an installed 

air/oil heat exchanger that has accumulated 

any number of cycles since new (CSN) or 

cycles since last overhaul. 

(d) Subject 

Joint Aircraft System Component (JASC) 

Code 7921, Engine Oil Cooler. 

(e) Unsafe Condition 

This AD was prompted by an in-flight 

shutdown (IFSD) of an engine due to an air/ 

oil heat exchanger leak caused by corrosion 

and subsequent investigation by the 

manufacturer that revealed additional air/oil 

heat exchanger leaks on the affected engines. 

The FAA is issuing this AD to prevent leaks 

in the air/oil heat exchanger. The unsafe 

condition, if not addressed, could result in 

low oil pressure, failure of one or more 

engines, IFSD, loss of engine thrust control, 

reduced control of the airplane, and loss of 

the airplane. 

(f) Compliance 

Comply with this AD within the 

compliance times specified, unless already 

done. 

(g) Required Actions 

(1) Within 30 days prior to the first flight 

after the effective date of this AD, perform an 

inspection for leaks of the air/oil heat 

exchanger in accordance with the 

Accomplishment Instructions, paragraph 3., 

of Pratt & Whitney Special Instruction No. 

255F–21A, dated February 15, 2022. 

(2) If any air/oil heat exchanger fails the 

inspection required by paragraph (g)(1) of 

this AD, before further flight, remove the air/ 

oil heat exchanger and replace with a part 

eligible for installation. 

(h) Definition 

For the purpose of this AD, a ‘‘part eligible 

for installation’’ is: 

(1) A new air/oil heat exchanger with zero 

CSN, or 

(2) An overhauled air/oil heat exchanger 

with zero cycles since last overhaul, or 

(3) An air/oil heat exchanger that has 

passed the inspection required by paragraph 

(g)(1) of this AD. 

(i) Effect of Storage on Compliance Time 

For performance of the inspection for leaks 

required by paragraph (g)(1) of this AD, the 

air/oil heat exchanger may be inspected more 

than 30 days prior to the first flight after the 

effective date of this AD if, after performing 

said inspection, the following are 

accomplished: 

(1) The air/oil heat exchanger is stored in 

accordance with the Accomplishment 

Instructions, paragraph 6., of Pratt & Whitney 

Special Instruction No. 255F–21A, dated 

February 15, 2022; and 

(2) The cumulative time between 

performance of the inspection and the first 

flight minus the time stored in accordance 

with paragraph (i)(1) of this AD does not 

exceed 30 days. 


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(j) Credit for Previous Actions 

You make take credit for the actions 

required by paragraph (g)(1) of this AD if the 

inspection for leaks was performed before the 

effective date of this AD using the 

Accomplishment Instructions, paragraph 3., 

of Pratt & Whitney Special Instruction No. 

255F–21, dated December 22, 2021. 

(k) Special Flight Permit 

Special flight permits, as described in 14 

CFR 21.197 and 21.199, are permitted prior 

to compliance with paragraph (g)(1) of this 

AD, provided that the air/oil heat exchanger 

has first passed an inspection, performed 

within 60 days of the flight, performed in 

accordance with: 

(1) The Accomplishment Instructions, 

paragraph 3., of Pratt & Whitney Special 

Instruction No. 255F–21, dated December 22, 

2021, before the effective date of this AD, or 

(2) The Accomplishment Instructions, 

paragraph 3., of Pratt & Whitney Special 

Instruction No. 255F–21A, dated February 

15, 2022. 

(l) Alternative Methods of Compliance 

(AMOCs) 

(1) The Manager, ECO Branch, 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 manager of the certification office, 

send it to the attention of the person 

identified in paragraph (m) of this AD and 

email to: ANE-AD-AMOC@faa.gov. 

(2) 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. 

(m) Related Information 

For more information about this AD, 

contact Carol Nguyen, Aviation Safety 

Engineer, ECO Branch, FAA, 1200 District 

Avenue, Burlington, MA 01803; phone: (781) 

238–7655; email: carol.nguyen@faa.gov. 

(n) Material Incorporated by Reference 

(1) The Director of the Federal Register 

approved the incorporation by reference 

(IBR) of the service information listed in this 

paragraph under 5 U.S.C. 552(a) and 1 CFR 

part 51. 

(2) You must use this service information 

as applicable to do the actions required by 

this AD, unless the AD specifies otherwise. 

(i) Pratt & Whitney Special Instruction No. 

255F–21A, dated February 15, 2022. 

(ii) [Reserved] 

(3) For service information identified in 

this AD, contact Pratt & Whitney Division, 

400 Main Street, East Hartford, CT 06118; 

phone: (860) 565–0140; email: help24@

prattwhitney.com; website: https://

connect.prattwhitney.com. 

(4) You may view this service information 

at FAA, Airworthiness Products Section, 

Operational Safety Branch, 1200 District 

Avenue, Burlington, MA 01803. For 

information on the availability of this 

material at the FAA, call (817) 222–5110. 

(5) You may view this 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, 

email: fr.inspection@nara.gov, or go to: 

https://www.archives.gov/federal-register/cfr/ 

ibr-locations.html. 

Issued on March 31, 2022. 

Derek Morgan, 

Acting Director, Compliance & Airworthiness 

Division, Aircraft Certification Service. 

[FR Doc. 2022–08045 Filed 4–14–22; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Parts 239, 270, 274, 275, and 

279 

[Release No. 33–11047; IA–5985; IC–34547] 

Technical Amendments to 

Commission Rules and Forms 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule; technical 

amendments. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’) is 

adopting technical amendments to 

various rules and forms under the 

Securities Act of 1933 (the ‘‘Securities 

Act’’), the Investment Company Act of 

1940 (the ‘‘Investment Company Act’’), 

and the Investment Advisers Act of 

1940 (the ‘‘Investment Advisers Act’’). 

These revisions make technical changes 

to correct typographical errors and 

erroneous cross-references, as well as to 

clarify instructions. 

DATES: Effective April 15, 2022. 

FOR FURTHER INFORMATION CONTACT: For 

the rules and forms under the 

Investment Advisers Act, Christopher 

Staley, Branch Chief, at (202) 551–6999, 

Investment Adviser Regulation Office, 

Division of Investment Management; 

and for the rules and forms under the 

Investment Company Act, Mykaila 

DeLesDernier or James Maclean, Senior 

Counsel, at (202) 551–6792, Investment 

Company Regulation Office, Division of 

Investment Management, at the 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SUPPLEMENTARY INFORMATION: The 

Commission is amending the following 

rules and forms: 

Commission reference CFR citation 

(17 CFR) 

Regulation S–T: 

Rule 405 ....................................................................................................................................................................... 232.405 

Securities Act and Investment Company Act 1: 

Form N–2 ...................................................................................................................................................................... 239.14 and 274.11a–1 

Form N–1A ................................................................................................................................................................... 239.15A and 274.11A 

Form N–3 ...................................................................................................................................................................... 239.17a and 274.11b 

Form N–5 ...................................................................................................................................................................... 239.24 and 274.5 

Investment Company Act: 

Rule 18f–4 .................................................................................................................................................................... 270.18f–4 

Rule 20a–1 ................................................................................................................................................................... 270.20a–1 

Rule 22c–1 ................................................................................................................................................................... 270.22c–1 

Rule 22e–3 ................................................................................................................................................................... 270.22e–3 

Rule 32a–1 ................................................................................................................................................................... 270.32a–1 

Form N–CEN ................................................................................................................................................................ 274.101 

Form N–PX ................................................................................................................................................................... 274.129 

Form N–MFP ................................................................................................................................................................ 274.201 

Investment Advisers Act 2: 

Form ADV ..................................................................................................................................................................... 279.1 

Rule 204–2 ................................................................................................................................................................... 275.204–2 

Rule 204–3 ................................................................................................................................................................... 275.204–3 


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