[Federal Register Volume 78, Number 5 (Tuesday, January 8, 2013)]
[Rules and Regulations]
[Pages 1144-1145]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-31721]
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COMMODITY FUTURES TRADING COMMISSION
17 CFR Parts 9, 12, and 171
Rules of Practice; Amendments to Delegations of Authority to the
Office of General Counsel
AGENCY: Commodity Futures Trading Commission.
ACTION: Final rule.
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SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or
``Commission'') is amending its regulations delegating authority to the
Commission's Office of General Counsel, so that all delegations thereto
will be to the General Counsel, with authority to sub-delegate to any
Commission employee under the supervision of the General Counsel.
DATES: Effective Date: January 8, 2013.
FOR FURTHER INFORMATION CONTACT: Lynn Bulan, Counsel, Office of General
Counsel, 1155 21st Street NW., Washington, DC 20581, lbulan@cftc.gov
and (202) 418-5120.
SUPPLEMENTARY INFORMATION: The Commission is revising delegations of
authority to the Office of General Counsel, replacing delegations to
the Deputy General Counsel for Opinions and Review with delegations to
the General Counsel. The reason for this change is due to the
elimination of the position of Deputy General Counsel for Opinions and
Review under a reorganization within the Office of General Counsel. The
revisions will permit the General Counsel to sub-delegate authority to
any Commission employee under his or her supervision.
I. Rules Being Amended
The following CFTC rules are being amended.
A. 17 CFR 9.9
CFTC rule 9.9 delegates certain authority to the Deputy General
Counsel for Opinions and Review. Currently, the rule authorizes the
Deputy General Counsel for Opinions and Review or his/her designee to
handle certain procedural and technical matters and, in his/her
discretion, to submit matters otherwise falling within this rule to the
Commission for its consideration. The CFTC is changing the rule to
grant this authority to the General Counsel. As a result, references to
the Deputy General Counsel for Opinions and Review in rule 9.9 have
been changed to the General Counsel, and to any employee under the
General Counsel's supervision as he or she may designate.
B. 17 CFR 12.10
CFTC rule 12.10(a)(3) sets forth all the persons upon whom the
Proceedings Clerk must serve all notices, rulings, opinions, and
orders. This list of persons includes the Deputy General Counsel for
Opinions and Review. The rule is being revised such that all references
to the Deputy General Counsel for Opinions and Review in rule 12.10
have been changed to the General Counsel, and permits the General
Counsel to sub-delegate this authority to any Commission employee under
his or her supervision.
C. 17 CFR 12.408
CFTC rule 12.408 is titled ``Delegation of Authority to the Deputy
General Counsel for Opinions.'' The text of the rule delegates certain
functions to the General Counsel and not the Deputy General Counsel for
Opinions. In order to conform the title of the section to the substance
of the section, the reference in the title of the section has been
changed to ``Delegation of Authority to the General Counsel.''
D. 17 CFR 171.1(c)
CFTC rule 171.1(c) provides the Deputy General Counsel for Opinions
the authority to strike a notice of appeal in certain circumstances.
All references to the Deputy General Counsel for Opinions in rule
171.1(c) have been changed to the General Counsel, or the General
Counsel's delegate.
E. 17 CFR 171.50
CFTC rule 171.50 delegates certain authority to the Deputy General
Counsel for Opinions. The current rule authorizes the Deputy General
Counsel for Opinions and Review or his/her designee to handle certain
procedural and technical matters and, in his/her discretion, to submit
matters otherwise falling within this rule to the Commission for its
consideration. References in rule 171.50 have been changed to the
General Counsel.
II. Administrative Compliance
A. Administrative Procedure Act
The Administrative Procedure Act does not require notice of the
proposed rulemaking and an opportunity for public participation in
connection with these amendments, as they relate solely to agency
organization, procedure and practice.\1\ For the same reason, these
rules will become effective upon publication in the Federal
Register.\2\
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\1\ 5 U.S.C. 553(b).
\2\ 5 U.S.C. 553(d).
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Pursuant to the authority contained in the Commodity Exchange Act,
in particular section 2(a)(4), 7 U.S.C. 2(a)(4), the CFTC corrects part
9, 12 and 171 of Title 17 of the Code of Federal regulations as
described below.
B. Paperwork Reduction Act and Regulatory Flexibility Act
This rulemaking does not contain any collections of information for
which the Commission must seek a control number under the Paperwork
Reduction Act.\3\ Moreover, the Regulatory Flexibility Act requires the
Commission to consider whether a rulemaking will
[[Page 1145]]
have a significant economic impact on a substantial number of small
businesses only when the agency is obligated to publish a general
notice of proposed rulemaking under section 553(b). As this rulemaking
relates to agency organization and procedure, and therefore is not
subject to notice and comment under section 553(b), a regulatory
flexibility analysis is not required.\4\
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\3\ See 44 U.S.C. 3501 et seq.
\4\ See 5 U.S.C. 601(2).
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List of Subjects in 17 CFR Parts 9, 12 and 171
Administrative practice and procedure, Commodity exchanges,
Commodity futures, Rules of practice before administrative agency.
For the reasons stated in the preamble, the Commodity Futures
Trading Commission amends 17 CFR Parts 9, 12 and 171 as set forth
below:
PART 9--RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS
DENIAL OR OTHER ADVERSE ACTIONS
0
1. The authority citation for Part 9 continues to read as follows:
Authority: 7 U.S.C. 4a, 6c, 7a, 12a, 12c, 16a, as amended by
Title XIII of the Food, Conservation and Energy Act of 2008, Pub. L.
110-246, 122 Stat. 1624 (June 18, 2008), unless otherwise noted.
0
2. Section 9.9 is amended by revising paragraphs (b)(1) introductory
text, (b)(3) and (b)(4), to read as follows:
Sec. 9.9 Waiver of rules; delegation of authority.
* * * * *
(b) * * *
(1) The Commission hereby delegates, until the Commission orders
otherwise, to the General Counsel, or to any employee under the General
Counsel's supervision as the General Counsel may designate, the
authority:
* * * * *
(3) The General Counsel, or his designee, may submit to the
Commission for its consideration any matter which has been delegated
pursuant to paragraph (b)(1) of this section.
(4) Nothing in this section will be deemed to prohibit the
Commission, at its election, from exercising the authority delegated to
the General Counsel, or his designee, under this section.
PART 12--RULES RELATING TO REPARATION PROCEEDINGS
0
3. The authority citation for Part 12 continues to read as follows:
Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18, as amended by
Title XIII of the Food, Conservation and Energy Act of 2008, Pub. L.
110-246, 122 Stat. 1624 (June 18, 2008), unless otherwise noted.
0
4. Section 12.10 is amended by revising paragraph (a)(3) to read as
follows:
Sec. 12.10 Service.
* * * * *
(a) * * *
(3) Service of orders and decisions. A copy of all notices,
rulings, opinions and orders of the Proceedings Clerk, the Director of
the Office of Proceedings, a Judgment Officer, Administrative Law
Judge, the General Counsel or any employee under the General Counsel's
supervision as the General Counsel may designate, or the Commission
shall be served by the Proceedings Clerk on each of the parties.
* * * * *
0
5. Section 12.408 is amended by revising the section heading to read as
follows:
Sec. 12.408 Delegation of authority to the General Counsel.
* * * * *
PART 171--RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION
DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND
MEMBERSHIP RESPONSIBILITY ACTIONS
Authority and Issuance
0
6. The authority citation for Part 171 continues to read as follows:
Authority: 7 U.S.C. 4a, 12a, and 21, as amended by Title XIII
of the Food, Conservation and Energy Act of 2008, Pub. L. 110-246,
122 Stat. 1624 (June 18, 2008), unless otherwise noted.
0
7. Section 171.1 is amended by revising paragraph (c) to read as
follows:
Sec. 171.1 Scope of rules.
* * * * *
(c) Appeals from excluded decisions. If the General Counsel, or any
employee under the General Counsel's supervision as the General Counsel
may designate, determines that a notice of appeal submitted to the
Commission is from a decision that is excluded from review under this
part, the notice of appeal may be stricken and ordered to be returned
to the aggrieved party who submitted it.
* * * * *
0
8. Section 171.50 is amended by revising paragraphs (a) introductory
text, (c), and (d) to read as follows:
Sec. 171.50 Delegation to the General Counsel.
(a) The Commission hereby delegates, until it orders otherwise, to
the General Counsel, or any employee under the General Counsel's
supervision as the General Counsel may designate, the authority:
* * * * *
(c) The General Counsel, or his designee, may submit to the
Commission for its consideration any matter which has been delegated
pursuant to paragraph (a) of this section.
(d) Nothing in this section will be deemed to prohibit the
Commission, at its election, from exercising the authority delegated to
the General Counsel, or his designee, under this section.
Issued in Washington, DC on December 31, 2012, by the
Commission.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. 2012-31721 Filed 1-7-13; 8:45 am]
BILLING CODE 6351-01-P