2012-31721

Federal Register, Volume 78 Issue 5 (Tuesday, January 8, 2013)[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

Last Updated: January 8, 2013