2024-18445
[Federal Register Volume 89, Number 171 (Wednesday, September 4, 2024)]
[Rules and Regulations]
[Pages 71803-71821]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-18445]
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COMMODITY FUTURES TRADING COMMISSION
17 CFR Parts 1, 3, 5, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 20,
23, 30, 31, 37, 41, 43, 45, 46, 49, 140, 142, 144, 145, 146, 147,
148, 149, 150, 155, 160, 162, 165, 170, and 171
RIN 3038-AF09
Incorporation of Changes in the Commission's Administrative
Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text
AGENCY: Commodity Futures Trading Commission.
ACTION: Final rule.
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SUMMARY: The agency's Divisions and Offices have been reorganized at
the Chairman's direction, and with prior notification to relevant
congressional committees. To ensure the CFR reflects these changes, the
Commodity Futures Trading Commission (Commission or CFTC) is voting to
make technical changes to various provisions within its regulations in
order to align with its change in administrative structure, remove
superfluous verbiage, and correct inaccurate text. In addition to the
administrative changes required due to the realignment, the Commission
is adopting technical changes to ensure consistency in reference to
Commission addresses, deleting references to positions that have
changed and updating the positions to align with the current Commission
structure, correct typographical errors, and other technical changes.
DATES: These amendments are effective on September 4, 2024.
FOR FURTHER INFORMATION CONTACT: Joan Fina, Senior Assistant General
Counsel, Telephone: (202) 418-7621, Email: [email protected], Office of
the General Counsel, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581, or John
Einstman, Deputy General Counsel (General Law), Telephone: (202) 418-
5337, Email: [email protected].
SUPPLEMENTARY INFORMATION:
I. Background
An agency reorganization in November 2020 realigned key functions
within the agency, including: (1) creating a new Division of Data
(DOD); (2) reassigning the Executive Secretariat Branch from the Office
of the Executive Director (OED) to the Office of the General Counsel
(OGC); and (3) renaming and realigning the Division of Swap Dealer and
Intermediary Oversight (DSIO) to the Market Participants Division (MPD)
and (4) moving the Office of Customer Education and Outreach (OCEO) to
the Office of Public Affairs.
Technology has dramatically altered capital and commodity markets
over the past few decades, and technologically induced innovations such
as electronic exchanges, high-frequency trading, and exchange-traded
funds have made trading faster, cheaper, more integrated, and
increasingly complex. As a financial regulator in an ever-increasingly
sophisticated market environment, it is becoming more and more crucial
that the CFTC continue to focus on data and data reporting and invest
in technologies necessary to keep pace with market innovation. Our
oversight responsibilities are becoming highly data acquisitive and
rely on the effective use of information, including through the use of
algorithms and analytics to more effectively manage data to meet our
regulatory objectives. The DoD was created to address the Commission's
growing data needs and to position the agency to continue to achieve
its mission in accord with new technologies.
There has been an unprecedented rise in retail futures, options and
digital asset trading. As the agency evolves to address changing
markets and market demographics, both the FinTech and customer
protection efforts the Office of Customer Education and Outreach (OCEO)
were realigned within the Office of Public Affairs.
DSIO is responsible primarily for overseeing derivatives market
participants and market intermediaries, including commodity pool
operators, commodity trading advisors, futures commission merchants,
introducing brokers, retail foreign exchange dealers, swap dealers, and
major swap participants, as well as designated self-regulatory
organizations. By restyling DSIO as MPD, the Division's name will more
succinctly reflect the scope of its responsibility regarding the
Commission registrants enumerated above.
The Commission's legal compliance groups that are responsible for
records, Freedom of Information Act, Sunshine Act, privacy, and
transparency were divided between the Office of the General Counsel and
the Executive Secretariat Branch in the Office of the Executive
Director. Moving the Executive Secretariat Branch into the Office of
the General Counsel ensures consistency through streamlining all legal
compliance programs into one division.
In addition to the changes required due to the realignment, the
Commission proposes technical changes to ensure consistency in
reference to addresses, deletes references to positions that have
changed and updates the positions to align with the current Commission
structure, correct typographical errors, and other technical changes.
Section 2(a)(12) of the Commodity Exchange Act authorizes the
[[Page 71804]]
Commission to promulgate such rules and regulations as it deems
necessary to govern the operating procedures and conduct of business of
the Commission. The Commission is promulgating this rule to reflect
changes in its administrative structure and to make conforming
technical changes to its regulations.
II. Related Matters
A. Administrative Procedure Act
The amendments to the Commission's regulations in this rulemaking
do not establish any new substantive or legislative rules, but rather
relate to the restructuring of responsibilities within the Commission,
including amendments changing the names of divisions and offices that
are affected by the realignment and re-delegating authority to newly
formed divisions. The amendments to the Commission's regulations relate
solely to agency management, organization, procedure, and practice and
provide technical corrections of a minor and administrative nature,
such as technical changes to ensure consistency in reference to
Commission addresses, to delete references to positions that have
changed and to update the positions to align with the current
Commission structure, correct typographical errors, and other similar
technical corrections. Therefore, this rulemaking is excepted from the
public rulemaking provisions of the Administrative Procedure Act.\1\
Additionally, an agency may issue a new rule in some circumstances
without publication in the Federal Register of a notice of proposed
rulemaking with an opportunity for comment if the agency for ``good
cause'' finds (and incorporates the finding and a brief statement of
the reasons therefor in the rules issued) that notice and public
procedure thereon are impracticable, unnecessary, or contrary to the
public interest.\2\ As the revisions to the Commission's regulations in
this rulemaking will not cause any party to undertake efforts to comply
with the regulations as revised, the Commission has determined to make
this rulemaking effective upon publication in the Federal Register.\3\
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\1\ 5 U.S.C. 553(a) and (b). Rulemaking procedures apply, except
to the extent that there is involved (1) a military or foreign
affairs function of the United States; or (2) a matter relating to
agency management or personnel or to public property, loans, grants,
benefits, or contracts.
\2\ 5 U.S.C 553(b). Further, Section 553(d) of the
Administrative Procedure Act, 5 U.S.C. 553(d) provides, in part, for
publication of a rule not less than 30 days before its effective
date except as otherwise provided by the agency for good cause found
and published with the rule.
\3\ Good cause exists as the final rule implements changes that
affect internal agency management, organization and procedure that
do not require a delayed effective date.
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B. Regulatory Flexibility Act
The Regulatory Flexibility Act requires the Commission to consider
whether the regulations it adopts will have a significant economic
impact on a substantial number of small entities.\4\ The Commission is
obligated to conduct a regulatory flexibility analysis for any rule for
which the agency publishes a general notice of proposed rulemaking
pursuant to Section 553(b) of the Administrative Procedure Act or any
other law.\5\ This rulemaking is excepted from the public rulemaking
provisions of the Administrative Procedure Act.\6\ Accordingly, the
Commission is not required to conduct a regulatory flexibility analysis
for this rulemaking.
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\4\ See 5 U.S.C. 601 et seq.
\5\ 5 U.S.C. 601(2).
\6\ See supra notes 1 and 2.
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C. Paperwork Reduction Act
The Commission may not conduct or sponsor, and a respondent is not
required to respond to, a collection of information contained in a
rulemaking unless the information collection displays a currently valid
control number issued by the Office of Management and Budget (OMB)
pursuant to the Paperwork Reduction Act of 1995 (Paperwork Reduction
Act).\7\ This final rule does not contain a ``collection of
information'' as defined in the Paperwork Reduction Act \8\ and,
therefore, is not subject to the requirements of the Paperwork
Reduction Act.
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\7\ See 44 U.S.C. 3501 et seq.
\8\ ``Collection of information'' is defined in 44 U.S.C.
3502(3) and 5 CFR 1320.3(c) and includes Agency requests or
requirements that members of the public submit reports, keep
records, or provide information to a third party.
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D. Cost-Benefit Considerations
Section 15(a) of the Commodity Exchange Act provides that, before
promulgating a regulation under this Act or issuing an order, the
Commission shall consider the costs and benefits of the action of the
Commission.\9\ These rules govern internal agency organization,
procedure, and practice, and therefore the Commission finds that none
of the considerations enumerated in Section 15(a)(2) of the Commodity
Exchange Act are applicable to these rules.\10\
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\9\ 7 U.S.C. 19(a).
\10\ Section 15(a)(2) of the Commodity Exchange Act, 7 U.S.C.
19(a)(2), specifies that such costs and benefits shall be evaluated
in light of five broad areas of market and public concern:
Protection of market participants and the public; efficiency,
competitiveness, and financial integrity of futures markets; price
discovery; sound risk management practices; and other public
interest considerations.
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E. Congressional Review Act
This final rule is not a rule as defined in the Congressional
Review Act.\11\
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\11\ See 5 U.S.C. 801-808.
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List of Subjects
17 CFR Part 1
Banks, banking, Brokers, Commodity futures, Consumer protection.
Reporting and recordkeeping requirements, Savings associations, Swaps.
17 CFR Part 3
Administrative practice and procedure, Commodity futures, Reporting
and recordkeeping requirements.
17 CFR Part 5
Commodity futures, Consumer protection, Foreign currencies,
Reporting and recordkeeping requirements, Securities, Trade practices.
17 CFR Part 9
Administrative practice and procedure, Reporting and recordkeeping
requirements.
17 CFR Part 10
Administrative practice and procedure, Authority delegations
(Government agencies), Swaps.
17 CFR Part 11
Administrative practice and procedure, Investigations.
17 CFR Part 12
Administrative practice and procedure, Consumer protection.
17 CFR Part 13
Administrative practice and procedure.
17 CFR Part 14
Administrative practice and procedure, Lawyers.
17 CFR Part 15
Brokers, Reporting and recordkeeping requirements.
17 CFR Part 16
Reporting and recordkeeping requirements.
17 CFR Part 17
Brokers, Reporting and recordkeeping requirements.
17 CFR Part 18
Reporting and recordkeeping requirements.
[[Page 71805]]
17 CFR Part 20
Administrative practice and procedure, Reporting and recordkeeping
requirements.
17 CFR Part 23
Authority delegations (Government agencies), Banks, banking,
Foreign banking, Foreign currencies, Freedom of information,
Investments, Reporting and recordkeeping requirements, Securities,
Swaps, Trade practices.
17 CFR Part 30
Consumer protection, Fraud.
17 CFR Part 31
Consumer protection, Currency, Fraud, Gold, Reporting and
recordkeeping requirements, Silver.
17 CFR Part 37
Commodity futures, Reporting and recordkeeping requirements, Swaps.
17 CFR Part 41
Brokers, Reporting and recordkeeping requirements, Securities.
17 CFR Part 43
Consumer protection, Reporting and recordkeeping requirements,
Swaps.
17 CFR Part 45
Swaps.
17 CFR Part 46
Swaps.
17 CFR Part 49
Administrative practice and procedure, Reporting and recordkeeping
requirements.
17 CFR Part 140
Authority delegations (Government agencies), Organization and
functions (Government agencies).
17 CFR Part 142
Claims, Government employees.
17 CFR Part 144
Administrative practice and procedure, Courts, Government
employees.
17 CFR Part 145
Conflicts of interest, Freedom of information.
17 CFR Part 146
Privacy.
17 CFR Part 147
Sunshine Act.
17 CFR Part 148
Claims, Equal access to justice, Lawyers.
17 CFR Part 149
Administrative practice and procedure, Civil rights, Equal
employment opportunity, Federal buildings and facilities, Individuals
with disabilities.
17 CFR Part 150
Cotton, Grains.
17 CFR Part 155
Brokers, Reporting and recordkeeping requirements.
17 CFR Part 160
Administrative practice and procedure, Brokers, Consumer
protection, Privacy, Reporting and recordkeeping requirements.
17 CFR Part 162
Administrative practice and procedure, Brokers, Privacy, Reporting
and recordkeeping requirements.
17 CFR Part 165
Administrative practice and procedure, Government employees,
Investigations, Whistleblowing.
17 CFR Part 170
Authority delegations (Government agencies), Commodity futures,
Reporting and recordkeeping requirements.
17 CFR Part 171
Administrative practice and procedure.
PART 1--GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
0
1. The authority citation for part 1 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g,
6h, 6i, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 6s, 7, 7a-1, 7a-2, 7b, 7b-3, 8,
9, 10a, 12, 12a, 12c, 13a, 13a-1, 16, 16a, 19, 21, 23, and 24
(2012).
Sec. Sec. 1.12, 1.17, 1.20, 1.26, 1.35, 1.52, 1.65, 1.66, 1.70, and
Appendix B [Amended]
0
2. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
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1.12(g)(3).................. Director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.17(c)(6)(ii)(A)........... Director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.17(c)(6)(ii)(C)........... Director of the Director of the
Division and Market Participants
Clearing and Division
Intermediary
Oversight.
1.17(c)(6)(ii)(D)........... Director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.17(c)(6)(iii)(B).......... Director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20(d)(2).................. The written The written
acknowledgement acknowledgement
must be in the form must be in the form
as set out in as set out in
Appendix A to this Appendix A to Sec.
part. 1.20.
1.20(d)(3)(i)............... director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20(d)(3)(i)............... director's designees Director's designees
1.20(d)(3)(ii).............. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20(d)(5).................. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20(d)(5).................. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.20(d)(5).................. directors' designees Directors' designees
1.20(d)(6).................. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20(d)(6).................. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.20(d)(6).................. directors' designees Directors' designees
[[Page 71806]]
1.20(g)(4)(ii).............. The written The written
acknowledgement acknowledgement
must be in the form must be in the form
as set out in as set out in
appendix B to this Appendix B to Sec.
part. 1.20.
1.20(g)(4)(iv).............. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20(g)(4)(iv).............. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.20(g)(4)(iv).............. directors' designees Directors' designees
1.20, Appendix A............ director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20, Appendix A............ director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.20, Appendix A............ directors' designees Directors' designees
1.20, Appendix B............ director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.20, Appendix B............ director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.20, Appendix B............ directors' designees Directors' designees
1.26, Appendix A............ director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.26, Appendix A............ director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.26, Appendix A............ directors' designees Directors' designees
1.26, Appendix B............ director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.26, Appendix B............ director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
1.26, Appendix B............ directors' designees Directors' designees
1.35(a)(9)(iii)............. Director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.35(a)(9)(iii)............. Director may Director may
designate from time designate
to time.
1.52(c)(2)(iii)(B).......... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.52(c)(2)(iii)(C).......... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.52(d)(2)(ii)(G)(2)........ Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.52(d)(2)(ii)(G)(3)........ Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.52(d)(2)(ii)(G)(3)........ Division of Swap Market Participants
Dealer and Division's
Intermediary's.
1.52(d)(2)(iii)(D).......... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.52(f)(2).................. Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.65(d)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.65(e)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.65(e)..................... may designate from may designate,
time to time,.
1.66(b)(5)(ii).............. Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
1.70(a)(2).................. Commodity Futures at the Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW.,
Washington, DC
20581.
1.70(b)(3).................. Commodity Futures at the Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW.,
Washington, DC
20581.
1.70(d)..................... Commodity Futures at the Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW.,
Washington, DC
20581.
Appendix B to Part 1(c)..... Commodity Futures at the Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW.,
Washington, DC
20581.
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PART 3--REGISTRATION
0
3. The authority citation for part 3 continues to read as follows:
Authority: 5 U.S.C. 552, 552b; 7 U.S.C. 1a, 2, 6a, 6b, 6b-1,
6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 6s, 8, 9, 9a, 12,
12a, 13b, 13c, 16a, 18, 19, 21, and 23.
Sec. Sec. 3.3, 3.22, 3.33, 3.50, 3.55, 3.56, 3.63, 3.70, 3.75, and
Appendix A [Amended]
0
4. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
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3.3(h)...................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.3(h)...................... Director may Director may
designate from time designate
to time.
3.22........................ Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.33(e)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.33(e)..................... Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street, NW., headquarters
Washington, DC
20581.
3.50(c)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.50(c)..................... at the Commission's at the Commission's
Washington, DC Washington, DC
office, Three headquarters
Lafayette Centre,
1155 21st Street,
NW., Washington, DC
20581.
3.50(d)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.55(e)(2).................. Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
[[Page 71807]]
3.56(e)(2).................. Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.63........................ Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.70(a)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.70(a)..................... Washington, DC Washington, DC
office. headquarters
3.70(a)..................... (Attn: Deputy (Attn: Deputy
Director, Director,
Registration and Registration and
Compliance Branch, Compliance Branch,
Division of Swap Market Participants
Dealer and Division).
Intermediary
Oversight Three
Lafayette Centre,
1155 21st Street,
NW., Washington, DC
20581).
3.75(a)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
3.75(a)..................... has been delegated has been delegated
to him. to them
Appendix A to Part 3, from the Contract Commission staff
Footnote 2. Markets Section of
the Commission's
Division of Swap
Dealer and
Intermediary
Oversight.
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PART 5--OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
0
5. The authority citation for part 5 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h,
6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21,
and 23.
Sec. Sec. 5.6, 5.20, and 5.23 [Amended]
0
6. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
5.6(f)(3)................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
5.6(h)...................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
5.6(h)...................... at the Commission's at the Commission's
principal office in Washington, DC
Washington, DC. headquarters
5.20(d) (heading)........... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
5.20(d)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
5.23(f)..................... Deputy Director, Deputy Director,
Registration and Registration and
Compliance Section. Compliance Branch
5.23(f)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
5.23(f)..................... Commodity Futures at the Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW.,
Washington, DC
20581.
------------------------------------------------------------------------
PART 9--RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS
DENIAL OR OTHER ADVERSE ACTIONS
0
7. The authority citation for part 9 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 6b-1, 6c, 7, 7a-2, 7b-3, 8, 9, 9a,
12, 12a, 12c, 13b, 16a, 18, 19, and 21.
Sec. Sec. 9.2, 9.4, 9.26, and 9.31 [Amended]
0
8. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
9.2(h)...................... Division of Swap Market Participants
Dealer and Division and/or the
Intermediary Division of
Oversight and Clearing and Risk
Division of
Clearing and Risk.
9.4(a)...................... or by mail to: or by mail to the
Proceedings Clerk, Proceedings Clerk,
Office of Office of
Proceedings, Proceedings at the
Commodity Futures Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW,
Washington, DC
20581.
9.26........................ Division of Market Division of Market
Oversight and/or Oversight, Market
the Division of Participants
Swap Dealer and Division, and the
Intermediary Division of
Oversight and Clearing and Risk
Division of
Clearing and Risk.
9.31(a)..................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
------------------------------------------------------------------------
PART 10--RULES OF PRACTICE
0
9. The authority citation in part 10 continues to read as follows:
Authority: Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391; 7
U.S.C. 2(a)(12).
Sec. Sec. 10.2, 10.4, 10.10, 10.12, and 10.106 [Amended]
0
10. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
10.2(i)..................... that member of the any member of the
Commission's staff Commission's staff
designated as such designated as such
in the Commission's by the Director of
Office of the Office of
Proceedings. Proceedings
[[Page 71808]]
10.4........................ Three Lafayette the Commission's
Centre, 1155 21st Washington, DC
Street, NW., headquarters
Washington, DC
20581.
10.10(a)(1)(iii)............ Deputy General Deputy General
Counsel for Counsel for
Opinions and Review. Litigation,
Enforcement, and
Adjudication
10.10(a)(1)(iii)............ Office of General Office of the
Counsel. General Counsel
10.12(d)(1)................. to Proceedings to the Proceedings
Clerk, Office of Clerk, Office of
Proceedings, Three Proceedings at the
Lafayette Centre, Commission's
1155 21st Street, Washington, DC
NW., Washington, DC headquarters
20581.
10.106(b)(3)................ Nothwithstanding.... Notwithstanding
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PART 11--RULES RELATED TO INVESTIGATIONS
0
11. The authority citation for part 11 continues to read as follows:
Authority: 7 U.S.C. 4a(j), 9, 12, 12a(5) and 15.
Sec. Sec. 11.2 and 11.7 and Appendix A [Amended]
0
12. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Principal Deputy
11.2(b) Program Coordinator Director
------------------------------------------------------------------------
11.2(b)..................... Regional Counsel.... Deputy Regional
Counsel
11.7(a)..................... Program Coordinator. Principal Deputy
Director
11.7(a)..................... Regional Counsel of Deputy Regional
the Division of Counsel of the
Enforcement, or a Division of
Regional Director Enforcement
of the Commission.
Appendix A.................. Program Coordinator. Principal Deputy
Director
Appendix A.................. Regional Counsel of Deputy Regional
the Division, or a Counsel of the
Regional Director Division of
of the Commission. Enforcement
Appendix A.................. Commodity Futures at the Commission's
Trading Commission, Washington, DC
Three Lafayette headquarters
Centre, 1155 21st
Street, NW.,
Washington, DC
20581.
------------------------------------------------------------------------
PART 12--RULES RELATING TO REPARATIONS
0
13. The authority citation for part 12 continues to read as follows:
Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18.
Sec. Sec. 12.2, 12.11, 12.13, 12.18, and 12.407 [Amended]
0
14. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
12.3........................ Three Lafayette the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters.
Washington, DC
20581.
12.11(f).................... Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
12.407(c)(1)................ Statisfaction....... Satisfaction
------------------------------------------------------------------------
0
15. Section 12.2 is amended by revising the definition of ``Proceedings
Clerk.'' The addition and revision read as follows:
Sec. 12.2 Definitions.
* * * * *
Proceedings Clerk means any member of the Commission's staff
designated as such by the Director of the Office of Proceedings;
* * * * *
0
16. In Sec. 12.13, paragraph (b)(3) is revised to read as follows:
Sec. 12.13 Complaint; election of procedure.
* * * * *
(b) * * *
(3) Time and place of filing of complaint. A complaint shall be
filed by delivering a copy thereof, in proper form to the Office of
Proceedings at the Commission's Washington, DC headquarters. The
complaint may be filed in person, during normal business hours, or by
certified mail, or registered mail with return receipt requested. The
complaint shall not be served on any person or party named therein.
Upon the filing of the complaint and the appropriate filing fee, the
Proceedings Clerk shall assign a docket number to the matter and shall
maintain the official docket.
* * * * *
0
17. In Sec. 12.18, paragraph (e) is revised to read as follows:
Sec. 12.18 Answer; election of procedure.
* * * * *
(e) Time and place of filing an answer. An answer shall be filed by
delivering a copy thereof, in proper form to the Office of Proceedings
at the Commission's Washington, DC headquarters. The answer may be
filed in person, during normal business hours, or by certified mail, or
registered mail with return receipt requested.
PART 13--PROCEDURES FOR PETITIONS OF RULEMAKING
0
18. The authority citation for part 13 continues to read as follows:
Authority: 7 U.S.C. 2(a)(12).
[[Page 71809]]
Sec. 13.1 [Amended]
0
19. In Sec. 13.1, remove ``Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581'' and add
``at the Commission's Washington, DC headquarters'' in its place.
PART 14--RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE
AND PRACTICE
0
20. The authority citation for part 14 continues to read as follows:
Authority: Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391, 7
U.S.C. 4a(j).
Sec. 14.9 [Amended]
0
21. In Sec. 14.9, remove ``at Three Lafayette Centre, 1155 21st Street
NW, Washington, DC 20581'' and add ``at the Commission's Washington, DC
headquarters'' in its place.
PART 15--REPORTS--GENERAL PROVISIONS
0
22. The authority citation for part 15 continues to read as follows:
Authority: 7 U.S.C. 2, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 7, 7a,
9, 12a, 19, and 21, as amended by Title VII of the Dodd-Frank Wall
Street Reform and Consumer Protection Act, Pub. L. 111-203, 124
Stat. 1376 (2010).
Sec. Sec. 15.05 and 15.06 [Amended]
0
23. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
15.05(d).................... at Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
15.05(g).................... at Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
15.05(i)(2)................. at Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
15.06(a).................... Director of the Director of the
Division of Market Division of Data,
Oversight, to be to be exercised by
exercised by such such Director or by
Director or by such such other employee
other employee or or employees of
employees of such such Director as
Director as designated, and in
designated from consultation with
time to time by the the Director of the
Director. Division of Market
Oversight
------------------------------------------------------------------------
PART 16--REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES
0
24. The authority citation for part 16 continues to read as follows:
Authority: 7 U.S.C. 2, 6a, 6c, 6g, 6i, 7, and 7b-3.
Sec. 16.07 [Amended]
0
25. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
16.07 (section heading)..... Office of Data and Division of Data
Technology.
16.07(a).................... Office of Data and Division of Data
Technology.
16.07(a).................... designate from time designate
to time.
16.07(a).................... designated from time designated
to time.
16.07(a).................... paragraph (d) of paragraph (d) of
this section to the this section to the
Director of the Director of the
Division of Market Division of Data,
Oversight,
16.07(b).................... to, with the to determine
concurrence of the
Director of the
Division of Market
Oversight or the
Director's
delegate, determine.
16.07(c).................... to, with the to approve
concurrence of the
Director of the
Division of Market
Oversight or the
Director's
delegate, approve.
------------------------------------------------------------------------
PART 17--REPORTS BY REPORTING MARKETS, FUTURES COMMISSION
MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS
0
26. The authority citation for part 17 continues to read as follows:
Authority: 7 U.S.C. 2, 6a, 6c, 6d, 6f, 6g, 6i, 6t, 7, 7a, and
12a.
Sec. 17.03 [Amended]
0
27. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
17.03 (section heading)..... Office of Data and Division of Data
Technology.
17.03 introductory text..... Office of Data and Division of Data
Technology.
17.03 introductory text..... designated from time designated
to time.
17.03(a).................... Office of Data and Division of Data
Technology.
17.03(b).................... Office of Data and Division of Data
Technology.
17.03(c).................... Office of Data and Division of Data
Technology.
17.03(d).................... Office of Data and Division of Data
Technology.
17.03(e).................... Office of Data and Division of Data
Technology.
[[Page 71810]]
17.03(e).................... designate from time designate,
to time,.
17.03(f).................... Office of Data and Division of Data
Technology.
17.03(f).................... designate from time designate,
to time,.
17.03(g).................... Division of Market Division of Data
Oversight.
17.03(h).................... Division of Market Division of Data
Oversight.
17.03(i).................... Director of the Director of the
Office of Data and Division of Data
Technology.
------------------------------------------------------------------------
PART 18--REPORTS BY TRADERS
0
28. The authority citation for part 18 continues to read as follows:
Authority: 7 U.S.C. 2, 4, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 6t,
12a, and 19.
Sec. 18.03 [Amended]
0
29. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
18.03(a).................... designate from time designate.
to time..
18.03(b).................... designate from time designate.
to time..
18.03(b).................... Office of Data and Division of Data
Technology.
18.03(c).................... Office of Data and Division of Data
Technology.
------------------------------------------------------------------------
PART 20--LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS
0
30. The authority citation for part 20 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, 19.
Sec. 20.8 [Amended]
0
31. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
20.8(a)..................... designate from time designate,
to time,.
20.8(b)..................... Director of the Director of the
Division of Market Division of Data,
Oversight. in consultation
with the Director
of the Division of
Market Oversight
20.8(b)..................... designate from time designate,
to time,.
20.8(c)..................... designate from time designate,
to time,.
20.8(c)..................... Office of Data and Division of Data
Technology.
20.8(d)..................... Office of Data and Division of Data, or
Technology, with such other employee
the concurrence of or employees as the
the Director of the Director may
Division of Market designate
Oversight, or such
other employee or
employees as the
Directors each may
designate from time
to time.
20.8(e)..................... Office of Data and Division of Data
Technology.
------------------------------------------------------------------------
PART 23--SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
0
32. The authority citation for part 23 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6b-1, 6c, 6p, 6r, 6s, 6t,
9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21.
Section 23.160 also issued under 7 U.S.C. 2(i); Sec. 721(b),
Pub. L. 111-203, 124 Stat. 1641 (2010).
Sec. Sec. 23.23, 23.102, 23.160 and 23.206 [Amended]
0
33. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
23.23(g)(8)................. Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
23.23(g)(8)................. designate from time designate,
to time,.
23.102(e)(3)................ Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
23.160(c)(7)................ Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
23.160(c)(7)................ designate from time designate,
to time,.
23.206 (section heading).... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
23.206(a)................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
23.206(a)................... designate from time designate,
to time,.
23.206(b)................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
------------------------------------------------------------------------
[[Page 71811]]
PART 30--FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS
0
34. The authority citation for part 30 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 6, 6c, and 12a, unless otherwise
noted.
Sec. Sec. 30.7 and 30.13 and Appendix E and F [Amended]
0
35. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
30.7(d)(3)(i)............... director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
30.7(d)(3)(i)............... director's designees Director's designees
30.7(d)(3)(ii).............. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
30.7(d)(3)(ii).............. director's designees Director's designees
30.7(d)(5).................. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
30.7(d)(5).................. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
30.7(d)(5).................. directors' designees Directors' designees
30.7(d)(6).................. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
30.7(d)(6).................. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
30.7(d)(6).................. directors' designees Directors' designees
30.13(f)(1)................. Office of General Office of the
Counsel. General Counsel
30.13(n).................... Office of General Office of the
Counsel. General Counsel
30.13(o).................... Director of Market Director of the
Oversight or his Division of Market
designee,. Oversight or their
designee,
30.13(o).................... the General Counsel the General Counsel
or his designee. or their designee
Appendix E.................. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
Appendix E.................. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
Appendix E.................. directors' designees Directors' designees
Appendix F.................. director of the Director of the
Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
Appendix F.................. director of the Director of the
Division of Division of
Clearing and Risk. Clearing and Risk
Appendix F.................. directors' designees Directors' designees
------------------------------------------------------------------------
PART 31--LEVERAGE TRANSACTIONS
0
36. The authority citation for part 31 continues to read as follows:
Authority: 7 U.S.C. 12a and 23, unless otherwise noted.
0
37. In Sec. 31.13, revise paragraph (n) and the undesignated text
following paragraph (n)(1) to read as follows:
Sec. 31.13 Financial reports of leverage transaction merchants.
* * * * *
(n) * * *
(1) Until such time as the Commission orders, otherwise, the
Commission hereby delegates to the Director of the Market Participants
Division or their designee the authority to perform all functions
reserved to the Commission in this section.
(2) The Director of the Market Participants Division may submit to
the Commission for its consideration any matter which has been
delegated to them pursuant to paragraph (n)(1) of this section.
Sec. Sec. 31.14, 31.28 and Appendix A [Amended]
0
38. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
31.14(a).................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
31.28(j).................... give telegraphic give electronic
notice of that notice of that
event to the event to
principal office of [email protected]
the Commission in
Washington, DC.
Appendix A.................. attention of the Commission at its
Office of the Washington, DC
Secretariat, headquarters, Attn:
Commodity Futures Financial
Trading Commission, Management Branch
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581.
------------------------------------------------------------------------
PART 37--SWAP EXECUTION FACILITIES
0
39. The authority citation for part 37 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as
amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform
and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.
Sec. 37.3 [Amended]
0
40. In Sec. 37.3(h), remove ``General Counsel's delegate'' and add
``General Counsel's designee'' in its place.
PART 41--SECURITY FUTURES PROJECTS
0
41. The authority citation for part 41 continues to read as follows:
Authority: Sections 206, 251 and 252, Pub. L. 106-554, 114 Stat.
2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a-2, 12a; 15 U.S.C. 78g(c)(2).
[[Page 71812]]
0
42. Amend Sec. 41.3 by revising paragraph (d) to read as follows:
Sec. 41.3 Application for an exemptive order pursuant to section
4f(a)(4)(B) of the Act.
* * * * *
(d) An application for an order must be submitted to the Director
of the Market Participants Division, at the Commission's Washington, DC
headquarters if in paper form, or to [email protected] if submitted
via electronic mail.
* * * * *
PART 43--REAL-TIME PUBLIC REPORTING
0
43. The authority citation for part 43 continues to read as follows:
Authority: 7 U.S.C. 2(a), 12a(5) and 24a, as amended by Pub. L.
111-203, 124 Stat. 1376 (2010).
0
44. In Sec. 43.3, revise paragraph (e)(1)(ii) to read as follows:
Sec. 43.3 Method and timing for real-time public reporting.
* * * * *
(e) * * *
(1) * * *
(ii) Notification of failure to timely correct. If the swap
execution facility, designated contract market, or reporting
counterparty will, for any reason, fail to timely correct an error, the
swap execution facility, designated contract market, or reporting
counterparty shall notify the Director of the Division of Data, or such
other employee or employees of the Commission as the Director may
designate. The notification shall be in the form and manner, and
according to the instructions, specified by the Director of the
Division of Data in concurrence with the Director of the Division of
Market Oversight, or such other employee or employees of the Commission
as the respective Director may designate. Unless otherwise instructed
by the Director of the Division of Data, or such other employee or
employees of the Commission as the Director may designate from time to
time, the notification shall include an initial assessment of the scope
of the error or errors that were discovered, and shall include any
initial remediation plan for correcting the error or errors, if an
initial remediation plan exists. This notification shall be made within
12 hours of the swap execution facility's, designated contract
market's, or reporting counterparty's determination that it will fail
to timely correct the error.
* * * * *
Sec. 43.7 [Amended]
0
45. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
43.7(a)..................... the Director of the the Director of the
Division of Market Division of Data
Oversight.
43.7(a)..................... designate from time designate
to time.
43.7(b)..................... The Director of the The Director of the
Division of Market Division of Data
Oversight may. may
------------------------------------------------------------------------
PART 45--SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS
0
46. The authority citation for part 45 continues to read as follows:
Authority: 7 U.S.C. 6r, 7, 7a-1, 7b-3, 12a, and 24a, as amended
by Title VII of the Wall Street Reform and Consumer Protection Act
of 2010, Pub. L. 111-203, 124 Stat. 1376 (2010), unless otherwise
noted.
0
47. In Sec. 43.14, revise paragraph (a)(1)(ii) to read as follows:
Sec. Sec. 45.14 Correcting errors in swap data and verification of
swap data accuracy.
(a) * * *
(1) * * *
(ii) Notification of failure to timely correct. If the swap
execution facility, designated contract market, or reporting
counterparty will, for any reason, fail to timely correct an error, the
swap execution facility, designated contract market, or reporting
counterparty shall notify the Director of the Division of Data, or such
other employee or employees of the Commission as the Director may
designate. The notification shall be in the form and manner, and
according to the instructions, specified by the Director of the
Division of Data in concurrence with the Director of the Division of
Market Oversight, or such other employee or employees of the Commission
as the respective Director may designate. Unless otherwise instructed
by the Director of the Division of, the notification shall include an
initial assessment of the scope of the error or errors that were
discovered, and shall include any initial remediation plan for
correcting the error or errors, if an initial remediation plan exists.
This notification shall be made within 12 hours of the swap execution
facility's, designated contract market's, or reporting counterparty's
determination that it will fail to timely correct the error.
* * * * *
0
48. In Sec. 43.15, revise paragraphs (a) introductory text, (a)(4),
(b) introductory text, and (b)(4) to read as follows:
Sec. 45.15 Delegation of authority.
(a) Delegation of authority to the Director of the Division of
Data. The Commission hereby delegates to its Director of the Division
of Data, until the Commission orders otherwise, the authority set forth
in paragraph (a) of this section, to be exercised by the Director of
the Division of Data or by such other employee or employees of the
Commission as may be designated by the Director of the Division of
Data. The Director of the Division of Data may submit to the Commission
for its consideration any matter which has been delegated in this
paragraph. Nothing in this paragraph prohibits the Commission, at its
election, from exercising the authority delegated in this paragraph.
The authority delegated to the Director of the Division of Data by this
paragraph (a) shall include:
* * * * *
(4) The Director of the Division of Data shall publish in the
Federal Register and on the website of the Commission the format, data
schema, electronic data transmission methods and procedures, and dates
and times for reporting acceptable to the Commission with respect to
swap data reporting pursuant to Sec. 45.11.
(b) Delegation of authority to the Director of the Division of
Data. The Commission hereby delegates to the Director of the Division
of Data, until the Commission orders otherwise, the authority set forth
in Sec. 45.13(a)(1), to be exercised by the Director of the Division
of Data or by such other employee or employees of the Commission as may
be designated by the Director of the Division of Data. The Director of
the Division of Data may submit to the Commission for its consideration
any matter which has been delegated pursuant to this paragraph. Nothing
in this paragraph prohibits the Commission, at its election, from
exercising the authority delegated in this paragraph. The authority
delegated
[[Page 71813]]
to the Director of the Division of Data by this paragraph (b) shall
include:
* * * * *
(4) The Director of the Division of Data shall publish from time to
time in the Federal Register and on the website of the Commission the
technical specifications for swap data reporting pursuant to Sec.
45.13(a)(1).
PART 46--SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-
ENACTMENT AND TRANSITION SWAPS
0
49. The authority citation for part 46 continues to read as follows:
Authority: Title VII, sections 723 and 729, Pub. L. 111-203, 124
Stat. 1738.
0
50. Amend Sec. 46.8 by:
0
a. Revising paragraph (c) introductory text; and
0
b. In paragraph (d), removing the term ``Chief Information Officer''
and adding, in its place, the term, ``Director of the Division of
Data''.
The revision reads as follows:
Sec. 46.8 Data reporting for swaps in a swap asset class not accepted
by any swap data repository.
* * * * *
(c) Delegation of authority to the Director of the Division of
Data: The Commission hereby delegates to its Director of the Division
of Data, until the Commission orders otherwise, the authority set forth
in this paragraph (c), to be exercised by the Director of the Division
of Data or by such other employee or employees of the Commission as may
be designated by the Director of the Division of Data. The Director of
the Division of Data may submit to the Commission for its consideration
any matter which has been delegated in this paragraph. Nothing in this
paragraph prohibits the Commission, at its election, from exercising
the authority delegated in this paragraph. The authority delegated to
the Director of the Division of Data by paragraph (c) of this section
shall include:
* * * * *
PART 49--SWAP DATA REPOSITORIES
0
51. The authority citation for part 49 continues to read as follows:
Authority: 7 U.S.C. 1a, 2(a), 6r, 12a, and 24a, as amended by
Title VII of the Wall Street Reform and Consumer Protection Act of
2010, Pub. L. 111-203, 124 Stat. 1376 (Jul. 21, 2010), unless
otherwise noted.
0
52. Sec. 49.31 is revised to read as follows:
Sec. 49.31 Delegation of authority to the Directors of the Division
of Market Oversight and Division of Data relating to certain part 49
matters.
(a) The Commission hereby delegates, until such time as the
Commission orders otherwise, the following functions to the Director of
the Division of Market Oversight and to such members of the Commission
staff acting under their direction as they may designate:
(1) All functions reserved to the Commission in Sec. 49.5.
(2) All functions reserved to the Commission in Sec. 49.12.
(3) All functions reserved to the Commission in Sec. 49.13.
(4) All functions reserved to the Commission in Sec. 49.16.
(5) All functions reserved to the Commission in Sec. 49.17.
(6) All functions reserved to the Commission in Sec. 49.18.
(7) All functions reserved to the Commission in Sec. 49.22.
(8) All functions reserved to the Commission in Sec. 49.23.
(9) All functions reserved to the Commission in Sec. 49.24
(10) All functions reserved to the Commission in Sec. 49.25.
(11) All functions reserved to the Commission in Sec. 49.29.
(12) All functions reserved to the Commission in Sec. 49.30.
(b) The Commission hereby delegates, until such time as the
Commission orders otherwise, the following functions to the Director of
the Division of Data and to such members of the Commission staff acting
under their direction as they may designate:
(1) All functions reserved to the Commission in Sec. 49.9.
(2) All functions reserved to the Commission in Sec. 49.10.
(c) The Director of the Division of Market Oversight, and,
separately, the Director of the Division of Data may submit to the
Commission for its consideration any matter that has been delegated
under this section.
(d) Nothing in this section may prohibit the Commission, at its
election, from exercising the authority delegated in this section.
PART 140--ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
0
53. The authority citation for part 140 continues to read as follows:
Authority: 7 U.S.C. 2(a)(12), 12a, 13(c), 13(d), 13(e), and
16(b).
Sec. Sec. 140.2, 140.11, 140.13, 140.24, 140.72, 140.73, 140.75,
140.76, 140.91, 140.92, 140.93, 140.94, 140.95, 140.96, and
140.99 [Amended]
0
54. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
140.2 section heading........... regional Regional
coordinator. Administrator
140.2(a)........................ 140 Broadway, New 290 Broadway, 6th
York, New York, Floor, New York,
10005. NY 10007
140.2(b)........................ 525 West Monroe 77 W. Jackson
Street, Suite Blvd., Suite 800,
1100, Chicago, Chicago, IL 60604
Illinois 60661.
140.2(c)........................ Two Emanuel 2600 Grand Blvd,
Cleaver II Blvd., Suite 210, Kansas
Suite 300, Kansas City, MO 64108
City, Missouri
64112.
140.2........................... Regional Regional
Coordinator. Administrator
140.11(a)....................... principal offices Commission
of the commission. headquarters
140.11(a)....................... the Chairman, the the Chairman and
Vice-Chairman,
and.
140.11(b)(1).................... the Commission's the Commission's
offices in Washington, DC
Washington, DC. headquarters
140.11(b)(1).................... General Counsel or General Counsel or
his deputy. their deputy
140.11(c)....................... Senior Senior
Commissioner or Commissioner or
at his direction. at their
direction
140.13.......................... until such time as until such time as
his appointment their appointment
as Chairman. as Chairman
140.24(a)(4).................... Executive Director Executive Director
or his delegee. or their designee
[[Page 71814]]
140.24(a)(6).................... Executive Director Executive Director
or his delegee. or their designee
in consultation
with the General
Counsel or their
designee
140.72(a)....................... Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.72(a)....................... the Director of the Director of
the Division of the Division of
Market Oversight, Market Oversight,
the Director of the Director of
the Division of the Division of
Enforcement, Data, the
Director of the
Division of
Enforcement,
140.72(a)....................... may designate from may designate
time to time.
140.72(b)....................... Regional Regional
Coordinator. Administrator
140.73(a)....................... Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.73(a)....................... may designate from may designate
time to time.
140.73(a)....................... the Director of the Director of
the Division of the Division of
Enforcement, the Enforcement, the
Director of the Director of the
Division of Division of Data,
Market Oversight, the Director of
the Division of
Market Oversight,
140.73(b)....................... his or her........ their
140.73(b)....................... Director of Market Director of Market
Oversight or in Oversight or in
his or her their absence
absence each each Deputy
Deputy Director Director of the
of the Division Division to
or for the release
Director of the
Market
Surveillance
Section to
release.
140.75 (section heading)........ Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight. Participants
Division
140.75.......................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight. Participants
Division
140.75.......................... acting under his acting under their
or her direction direction as
as the Director either Director
may designate may designate
from time to time.
140.75.......................... Director of Director of the
Trading and Division of
Markets or any Clearing and
Commission Risk, the
employee Director of the
designated by the Market
Director. Participants
Division, or any
Commission
employee
designated by
either Director
140.75.......................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of or the Director
Swap Dealer and of the Market
Intermediary Participants
Oversight. Division
140.76(a)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and
and Division of Risk, the
Swap Dealer and Director of the
Intermediary Market
Oversight, the Participants
General Counsel Division, the
or any. General Counsel,
or any Commission
employee under
their direction
as they may
designate
140.76(b)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and
and Division of Risk, the
Swap Dealer and Director of the
Intermediary Market
Oversight. Participants
Division
140.91 (section heading)........ Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.91(a)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight and to Participants
such members of Division and to
the Commission's such members of
staff acting the Commission's
under his staff acting
direction as he under their
may designate direction as they
from time to may designate:
time:
140.91(a)(13)................... Any action taken Any action taken
pursuant to the pursuant to the
delegation of delegation of
authority under authority under
this paragraph this paragraph
(a)(12) shall be (a)(13) shall be
made with the made with the
concurrence of concurrence of
the General the General
Counsel or, in Counsel or, in
his or her their absence, a
absence, a Deputy Deputy General
General Counsel. Counsel.
140.91(b)....................... The Director of The Director of
the Division of the Division of
Clearing and Risk Clearing and Risk
and the Director and the Director
of the Division of the Market
Swap Dealer and Participants
Intermediary Division may
Oversight may submit any matter
submit any matter which has been
which has been delegated to them
delegated to him
or her.
140.92(a)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight and to Participants
such members of Division and to
the Commission's such members of
staff acting the Commission's
under his staff acting
direction as he under their
may designate. direction as they
may designate
140.92(b)....................... The Director of The Director of
the Division of the Division of
Clearing and Risk Clearing and Risk
and Division Swap and the Director
Dealer and of the Market
Intermediary Participants
Oversight may Division may
submit any matter submit any matter
which has been which has been
delegated to him. delegated to them
140.92(c)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight. Participants
Division
[[Page 71815]]
140.93 section heading.......... Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.93(a)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight and to Participants
such members of Division and to
the Commission's such members of
staff acting the Commission's
under his staff acting
direction as he under their
may designate direction as they
from time to time. may designate
140.93(b)....................... The Director of The Director of
the Division of the Division of
Clearing and Risk Clearing and Risk
and Division Swap and the Director
Dealer and of the Market
Intermediary Participants
Oversight may Division may
submit any matter submit any matter
which has been which has been
delegated to him. delegated to them
140.93(c)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and the Director
Swap Dealer and of the Market
Intermediary Participants
Oversight. Division
140.94 (section heading)........ Director of the Director of the
Division of Swap Market
Dealer and Participants
Intermediary Division and to
Oversight and the the Director of
Director of the the Division of
Division of Clearing and Risk
Clearing and Risk.
140.94(a)....................... Director of the Director of the
Division of Swap Market
Dealer and Participants
Intermediary Division and to
Oversight and to such members of
such members of the Commission's
the Commission's staff acting
staff acting under their
under his or her direction as they
direction as he may designate
or she may
designate from
time to time.
140.94(b)....................... Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.94(c)....................... under his or her under their
direction as he direction as they
or she may may designate:
designate from
time to time:.
140.94(d)....................... delegated to him delegated to them
or her.
140.94(e)....................... Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.95(a)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight and to Participants
such members of Division and to
the Commission's such members of
staff acting the Commission's
under his staff acting
direction as he under their
may designate. direction as they
may designate
140.95(b)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and the Director
Swap Dealer and of the Market
Intermediary Participants
Oversight may Division may
submit any matter submit any matter
which has been which has been
delegated to him. delegated to them
140.95(c)....................... Director of the Director of the
Division of Division of
Clearing and Risk Clearing and Risk
and Division of and to the
Swap Dealer and Director of the
Intermediary Market
Oversight. Participants
Division
140.96(a)....................... Director of the Director of the
Division of Division of
Market Oversight Market Oversight
or the Director's or the Director's
designee, designee, or the
Director of the
Division of Data
or the Director's
designee,
140.96(b)....................... the Director of the Director of
Swap Dealer and the Market
Intermediary Participants
Oversight or the Division or the
Director's Director's
designee, and to designee, and to
the Director of the Director of
the Division of the Division of
Clearing and Risk Clearing and Risk
or the Director's or the Director's
designee or the designee, with
Director's the concurrence
designee, with of the General
the concurrence Counsel or the
of the General General Counsel's
Counsel or the designee, the
General Counsel's authority to
designee, the determine to
authority to publish, and to
determine to publish, in the
publish, and to Federal Register,
publish, in the requests for
Federal Register, public comment on
requests for proposed rule
public comment on amendments by a
proposed exchange derivatives
and self- clearing
regulatory organization,
organization rule designated
amendments. contract market,
swap data
repository, swap
execution
facility, or
registered
futures
association.
140.96(c)....................... Director of the Director of the
Division of Swap Market
Dealer and Participants
Intermediary Division or the
Oversight or the Director of the
Director of the Division of
Division of Clearing and Risk
Clearing and Risk. or the Director
of the Division
of Data
140.96(d)....................... Director of the Director of the
Division of Division of
Market Oversight Market Oversight
and to the or to the
Director of the Director of the
Division of Swap Market
Dealer and Participants
Intermediary Division or to
Oversight or the the Director of
Director of the the Division of
Division of Clearing and Risk
Clearing and Risk. or to the
Director of the
Division of Data
140.99(a)(5).................... Division of Swap Market
Dealer and Participants
Intermediary Division, the
Oversight, the Division of
Division of Clearing and
Clearing and Risk Risk, the
or the Division Division of
of Market Market Oversight,
Oversight. the Division of
Data, or the
Office of the
General Counsel,
or any successor
divisions or
organizational
units, as the
context requires
[[Page 71816]]
140.99(d)(2)(ii)................ Director of the Director of the
Division of Swap Market
Dealer and Participants
Intermediary Division
Oversight.
140.99(d)(2)(ii)................ Director, Division Director of the
of Clearing and Division of
Risk, Commodity Clearing and Risk
Futures Trading at the
Commission, Three Commission's
Lafayette Centre, Washington, DC
1155 21st Street headquarters.
NW, Washington,
DC 20581.
140.99(d)(2)(iii)............... Director, Division Director of the
of Swap Dealer Market
and Intermediary Participants
Oversight, Division at the
Commodity Futures Commission's
Trading Washington, DC
Commission, Three headquarters.
Lafayette Centre,
1155 21st Street
NW, Washington,
DC 20581.
140.99(d)(2)(iv)................ or or
dsioletters@cftc. [email protected]
gov (for a ov (for a request
request filed filed with the
with the Division Division of
of Swap Dealer Data), or
and Intermediary [email protected]
Oversight), as ov (for a request
appropriate, and filed with the
a properly signed Market
paper copy of the Participants
request must be Division), as
provided to the appropriate, and
Division of a properly signed
Market Oversight, paper copy of the
the Division of request must be
Clearing and provided to the
Risk, or the Division of
Division of Swap Market Oversight,
Dealer and the Division of
Intermediary Data, the
Oversight, as Division of
appropriate, Clearing and
within ten days Risk, or the
for purposes of Market
verification of Participants
the electronic Division, as
submission. appropriate,
pursuant to
paragraphs
(d)(2)(i) through
(iii) of this
section, as
applicable,
within ten days
for purposes of
verification of
the electronic
submission.
------------------------------------------------------------------------
0
55. Section 140.99 is further amended by revising paragraph (d)(2)(i)
to read as follows:
Sec. 140.99 Requests for exemptive, no-action and interpretative
letters
* * * * *
(d) * * *
(2)(i)(A) A request for a letter relating to the provisions of the
Act or the Commission's rules, regulations, or orders issued thereunder
governing designated contract markets, registered swap execution
facilities, registered swap data repositories, registered foreign
boards of trade, the nature of particular transactions and whether they
are exempt or excluded from being required to be traded on one of the
foregoing entities, made available for trading determinations, position
limits, hedging exemptions, the trading of block trades, or position
aggregation treatment shall be filed with the Director, Division of
Market Oversight, Commodity Futures Trading Commission, at the
Commission's Washington, DC headquarters.
(B) A request for a letter regarding the form and manner of data
reporting, data standards for reporting, or the content of any trade
report or form to be submitted to the Commission, under Parts 15-20,
43, 45, 46, or 49, shall be filed with the Director, Division of Data
at the Commission's Washington, DC headquarters.
* * * * *
PART 142--INDEMNIFICATION OF CFTC EMPLOYEES
0
56. The authority citation for part 142 continues to read as follows:
Authority: 7 U.S.C. 4a(j).
Sec. 142.2 [Amended]
0
57. In Sec. 142.2(d), remove ``Office of General Counsel'' and add
``Office of the General Counsel'' in its place.
PART 144--PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND
THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN
RESPONSE TO SUBPOENAS OR OTHER DEMANDS OF A COURT
0
58. The authority citation for part 144 continues to read as follows:
Authority: 5 U.S.C. 301; 7 U.S.C. 4a(j) and 12a(5); 31 U.S.C.
9701, unless otherwise noted.
Sec. Sec. 144.1 and 144.5 [Amended]
0
59. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
144.1(b).................... Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters.
Washington, DC
20581.
144.1(e).................... National Futures National Futures
Association, 200 Association, 300 S
West Madison Riverside Plaza,
Street, Suite 1600, Suite 1800,
Chicago, Illinois Chicago, IL 60606
60606.
144.5(a).................... Commission's office Commission's
in Washington, DC. Washington, DC
headquarters
------------------------------------------------------------------------
PART 145--COMMISSION RECORDS AND INFORMATION
0
60. The authority citation for part 145 continues to read as follows:
Authority: Pub. L. 99-570, 100 Stat. 3207; Pub. L. 89-554, 80
Stat. 383; Pub. L. 90-23, 81 Stat. 54; Pub. L. 98-502, 88 Stat.
1561-1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93-463, 88 Stat. 1389
(5 U.S.C. 4a(j)); Pub. L. 114-185, 130 Stat. 538; unless otherwise
noted.
Section 145.5 is also issued under 5 U.S.C. 552, 5 U.S.C. 552b,
and secs. 2(a)(11), 4b, 4f, 4g, 5a, 8a, and 17 of the Commodity
Exchange Act, 7 U.S.C. 2, 4a(j), 6b, 6f, 6g, 7a, 12a, and 21, as
amended, 92 Stat. 865 et seq.; secs. 2(a)(1), 4c(a)-(d), 4d, 4f, 4g,
4k, 4m, 4n, 8a, 15 and 17, Commodity Exchange Act (7 U.S.C. 2, 4,
6c(a)-(d), 6f, 6g, 6k, 6m, 6n, 12a, 19 and 21; 5 U.S.C. 552 and
552b); secs. 2(a)(11) and 8 of the Commodity Exchange Act, 7 U.S.C.
4(j) and 12 (1983); secs. 8a(5) and 19 of the Commodity Exchange
Act, as
[[Page 71817]]
amended, 7 U.S.C. 12a(5) and 23 (1982); 5 U.S.C. 552 and 552b.
Section 145.6 is also issued under 7 U.S.C. 2, 4, 6, and 12;
secs. 2(a)(1), 4c, 4d, 4e, 4f, 4k, 4m, 4n, 4p, 8, 8a and 19 of the
Commodity Exchange Act (7 U.S.C. 2 and 4, 6c, 6d, 6e, 6f, 6k, 6m,
6n, 6p, 12, 12a and 23 (1982)); 5 U.S.C. 552 and 552b.
Section 145.8 is also issued under 7 U.S.C. 4a(j) and 16a as
amended by Pub. L. 97-444, 96 Stat. 2294 (1983), and 5 U.S.C. 552,
552a and 552b.
0
61. In Sec. 145.0, revise paragraph (a) to read as follows:
Sec. 145.0 Definitions.
* * * * *
(a) FOIA Compliance Staff--refers to the Freedom of Information Act
compliance staff assigned to respond to requests for information under
the Freedom of Information Act.
* * * * *
Sec. Sec. 145.2, 145.6, 145.7, 145.8, and 145.9 and Appendix
A [Amended]
0
62. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
145.2....................... principal office of Commission's
the Commission in Washington, DC
Washington, DC. headquarters
145.6(b)(1)................. National Futures National Futures
Association, 200 Association, 300 S
West Madison Riverside Plaza,
Street, Suite 1600, Suite 1800,
Chicago, Illinois Chicago, IL 60606
60606.
145.7(b).................... Office of General Office of the
Counsel. General Counsel
145.7(c).................... Office of General Office of the
Counsel. General Counsel
145.7(f).................... Office of General Office of the
Counsel. General Counsel
145.7(g).................... Office of General Office of the
Counsel. General Counsel
145.7(h)(1)................. Compliance Staff.... FOIA compliance
staff
145.7(h)(2)................. Compliance Staff.... FOIA compliance
staff
145.7(h)(3)................. Office of General Office of the
Counsel. General Counsel
145.7(h)(3)................. Compliance Staff.... FOIA compliance
staff
145.7(i)(2)................. Office of General Office of the
Counsel. General Counsel
145.7(i)(2)................. Compliance Staff.... FOIA compliance
staff
145.7(i)(5)................. Office of General Office of the
Counsel. General Counsel
145.7(i)(6)................. Compliance Staff.... FOIA compliance
staff
145.7(i)(6)(iii)............ Compliance Staff.... FOIA compliance
staff
145.7(i)(7)................. Office of General Office of the
Counsel. General Counsel
145.7(j).................... Office of General Office of the
Counsel. General Counsel
145.7(j).................... Compliance Staff.... FOIA compliance
staff
145.8....................... Compliance Staff.... FOIA compliance
staff
145.9(d)(2)................. Assistant Secretary Office of the
of the Commission General Counsel at
for FOI, Privacy the Commission's
and Sunshine Acts Washington, DC
Compliance. headquarters, Attn:
FOIA compliance
staff
145.9(d)(3)................. Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
Compliance.
145.9(d)(7)................. Assistant Secretary. FOIA compliance
staff
145.9(d)(9)................. Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
Compliance or his
or her designee.
145.9(d)(9)................. Assistant Secretary FOIA compliance
or his or her staff
designee.
145.9(e)(1)................. Assistant Secretary FOIA compliance
or his or her staff
designee.
145.9(e)(1)................. Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
Compliance.
145.9(f)(1)................. Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
compliance or his
or her designee.
145.9(f)(2)................. Assistant Secretary FOIA compliance
or his or her staff
designee.
145.9(f)(3)................. Assistant Secretary FOIA compliance
or his or her staff
designee.
145.9(g)(3)................. Office of General Office of the
Counsel. General Counsel
145.9(g)(3)................. Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
compliance.
145.9(g)(5)................. Office of General Office of the
Counsel. General Counsel
145.9(g)(7)................. Office of General Office of the
Counsel. General Counsel
145.9(g)(8)................. Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
Compliance.
145.9(g)(10)................ The General Counsel The General Counsel
or his or here or their designee
designee.
145.9(h).................... Assistant Secretary FOIA compliance
of the Commission staff
for FOI, Privacy
and Sunshine Acts
Compliance.
Appendix A introductory text Three Lafayette the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
Appendix A (a) (heading).... Office of External Office of Public
Affairs. Affairs
Appendix A, (d) (heading)... Executive Director, Chief Administrative
Administrative Officer, Division
Services Section. of Administration
Appendix A, (g) (heading)... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
Appendix A, (g)............. National Futures National Futures
Association, 200 Association, 300 S
West Madison Riverside Plaza,
Street, Suite 1600, Suite 1800,
Chicago, Illinois Chicago, IL 60606
60606.
------------------------------------------------------------------------
[[Page 71818]]
0
63. Section 145.6 is further amended by revising paragraph (a) to read
as follows:
Sec. 145.6 Commission offices to contact for assistance; registration
records available.
(a) All requests for non-public records shall be made in writing
and shall be addressed or otherwise directed to the Office of the
General Counsel at the Commission's Washington, DC headquarters, Attn:
FOIA Request, or electronically via [email protected]. Requests
for public records directed to a regional office of the Commission
pursuant to Sec. 145.2 should be sent to the Eastern Regional Office,
Central Regional Office, or Southwestern Regional Office, as
applicable.
* * * * *
PART 146--RECORDS MAINTAINED ON INDIVIDUALS
0
64. The authority citation for part 146 continues to read as follows:
Authority: 88 Stat. 1896 (5 U.S.C. 552a), as amended; 88 Stat.
1389 (7 U.S.C. 4a(j)).
0
65. In Sec. 146.2, revise paragraph (c) to read as follows:
Sec. 146.2 Definitions.
* * * * *
(c) The term FOIA compliance staff refers to the Freedom of
Information Act compliance staff assigned to respond to requests for
information under the Freedom of Information Act;
* * * * *
Sec. Sec. 146.3, 146.4, 146.5, 146.6, 146.8, 146.9, and 146.11 and
Appendix A [Amended]
0
66. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
146.3(a).................... pertaining to him... pertaining to them
146.3(a).................... FOI, Privacy and FOIA compliance
Sunshine Acts staff in the Office
compliance staff, of the General
Office of the Counsel at the
Secretariat, Commission's
Commodity Futures Washington, DC
Trading Commission, headquarters and
Three Lafayette clearly marked
Centre, 1155 21st ``Privacy Act
Street NW, request.''
Washington, DC
20581.
146.4(b).................... Executive Director.. General Counsel
146.4(b).................... his identity........ their identity
146.4(b).................... he is familiar with they are familiar
and understands. with and understand
146.4(b).................... FOI, Privacy and FOIA compliance
Sunshine Acts staff in the Office
compliance staff, of the General
Office of the Counsel at the
Secretariat, Commission's
Commodity Futures Washington, DC
Trading Commission, headquarters and
Three Lafayette clearly marked
Centre, 1155 21st ``Privacy Act
Street NW, request.''
Washington, DC
20581.
146.5(e).................... FOI, Privacy and FOIA compliance
Sunshine Acts staff
compliance staff,
Office of the
Secretariat.
146.5(f).................... FOI, Privacy and FOIA compliance
Sunshine Acts staff in the Office
compliance staff, of the General
Office of the Counsel at the
Secretariat, Commission's
Commodity Futures Washington, DC
Trading Commission, headquarters and
Three Lafayette clearly marked
Centre, 1155 21st ``Privacy Act
Street NW, request.''
Washington, DC
20581.
146.6(d).................... FOI, Privacy and FOIA compliance
Sunshine Acts staff in the Office
compliance staff, of the General
Office of the Counsel at the
Secretariat, Commission's
Commodity Futures Washington, DC
Trading Commission, headquarters,
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581,
146.8(a).................... pertaining to him... pertaining to them
146.8(a).................... under his name...... under their name
146.8(a).................... if he believes...... if they believe
146.8(a).................... the FOI, Privacy and the FOIA compliance
Sunshine Acts staff at the
compliance staff, Commission's
Office of the Washington, DC
Secretariat, headquarters.
Commodity Futures
Trading Commission,
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581.
146.8(d).................... FOI, Privacy and Chief Privacy
Sunshine Acts Officer at the
compliance staff, Commission's
Office of the Washington, DC
Secretariat, headquarters.
Commodity Futures
Trading Commission,
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581.
146.8(e).................... Executive Director.. General Counsel
146.8(f).................... Executive Director.. General Counsel
146.8(g).................... Executive Director.. General Counsel
146.8(h).................... Executive Director.. General Counsel
146.9(c).................... FOI, Privacy and General Counsel,
Sunshine Acts Office of the
compliance staff, General Counsel at
Office of the the Commission's
Secretariat, Washington, DC
Commodity Futures headquarters.
Trading Commission,
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581.
146.9(d).................... FOI, Privacy and General Counsel
Sunshine Acts
compliance staff,
Office of the
Secretariat.
146.9(e)(3)................. FOI, Privacy and Chief Privacy
Sunshine Acts Officer
compliance staff,
Office of the
Secretariat.
146.11(b)................... FOI, Privacy and Chief Privacy
Sunshine Acts Officer at the
compliance staff, Commission's
Office of the Washington, DC
Secretariat, headquarters.
Commodity Futures
Trading Commission,
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581.
Appendix A, (5)b............ FOI, Privacy and FOIA compliance
Sunshine Acts staff at the
compliance staff, Commission's
Office of Washington, DC
Secretariat, headquarters.
Commodity Futures
Trading Commission,
Three Lafayette
Centre, 1155 21st
Street NW,
Washington, DC
20581.
------------------------------------------------------------------------
[[Page 71819]]
PART 147--OPEN COMMISSION MEETINGS
0
67. The authority citation for part 147 continues to read as follows:
Authority: Sec. 3(a), Pub. L. 94-409, 90 Stat. 1241 (5 U.S.C.
552b); sec. 101(a)(11), Pub. L. 93-463, 88 Stat. 1391 (7 U.S.C.
4a(j) (Supp. V, 1975)), unless otherwise noted.
0
68. In Sec. 147.2, revise paragraph (g) to read as follows:
Sec. 147.2 Definitions.
* * * * *
(g) The term FOIA Compliance staff refers to the Freedom of
Information Act Compliance Staff assigned to respond to requests for
information under the Freedom of Information Act.
Sec. Sec. 147.4, 147.5, 147.6, 147.8, and 147.9 [Amended]
0
69. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
147.4(d)(1)..................... , Commodity at the
Futures Trading Commission's
Commission, Three Washington, DC
Lafayette Centre, headquarters
1155 21st Street
NW, Washington,
DC 20581.
147.5(h)........................ offices of the Office of the
FOI, Privacy and Secretariat at
Sunshine Acts the Commission's
compliance staff, Washington, DC
Office of the headquarters.
Secretariat,
Commodity Futures
Trading
Commission, Three
Lafayette Centre,
1155 21st Street
NW, Washington,
DC 20581.
147.5(i)........................ offices of the Office of the
FOI, Privacy and Secretariat at
Sunshine Acts the Commission's
compliance staff, Washington, DC
Office of the headquarters.
Secretariat,
Commodity Futures
Trading
Commission, Three
Lafayette Centre,
1155 21st Street
NW, Washington,
DC 20581.
147.6(c)........................ offices of the Office of the
FOI, Privacy and Secretariat at
Sunshine Acts the Commission's
compliance staff, Washington, DC
Office of the headquarters.
Secretariat,
Commodity Futures
Trading
Commission, Three
Lafayette Centre,
1155 21st Street
NW, Washington,
DC 20581.
147.8(a)........................ offices of the Office of the
FOI, Privacy and Secretariat at
Sunshine Acts the Commission's
compliance staff, Washington, DC
Office of the headquarters.
Secretariat,
Commodity Futures
Trading
Commission, Three
Lafayette Centre,
1155 21st Street
NW, Washington,
DC 20581.
147.8(b)(1)..................... Assistant Office of the
Secretary of the General Counsel
Commission for in consultation
FOI, Privacy and with the Director
Sunshine Acts of any affected
compliance after staff division
due consultation
with the Office
of the
Commission's
General Counsel
and the Director
of any affected
staff division.
147.9(b)........................ FOI, Privacy and Office of the
Sunshine Acts Secretariat at
compliance staff, the Commission's
Office of the Washington, DC
Secretariat, headquarters.
Commodity Futures
Trading
Commission, Three
Lafayette Centre,
1155 21st Street
NW, Washington,
DC 20581.
------------------------------------------------------------------------
PART 148--IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN
COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION
0
70. The authority citation for part 148 continues to read as follows:
Authority: Equal Access to Justice Act, 5 U.S.C. 504(c)(1) and
secs. 2(a)(11) and 8a(5) of the Commodity Exchange Act, 7 U.S.C.
4a(j) and 12a(5), unless otherwise noted.
Sec. 148.30 [Amended]
0
71. In Sec. 148.30, remove ``Executive Director of the Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581,''
and add ``Executive Director at the Commission's Washington, DC
headquarters,'' in its place.
PART 149--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES
TRADING COMMISSION
0
72. The authority citation for part 149 continues to read as follows:
Authority: 29 U.S.C 794, unless otherwise noted.
Sec. 149.170 [Amended]
0
73. In Sec. 149.170(c), remove ``Equal Employment Opportunity Officer,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW, Washington, DC 20581'' and add ``Equal Employment
Opportunity Officer at the Commission's Washington, DC headquarters''
in its place.
PART 150--LIMITS ON POSITIONS
0
74. The authority citation for part 150 continues to read as follows:
Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, and
19, as amended by Title VII of the Dodd-Frank Wall Street Reform and
Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376 (2010).
Sec. 150.4 [Amended]
0
75. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
[[Page 71820]]
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
150.4(e)(1)................. may designate from may designate
time to time.
150.4(e)(2)................. may designate from may designate
time to time.
150.4(e)(2)................. Office of Data and Division of Data
Technology.
150.4(e)(3)................. Office of Data and Division of Data
Technology.
------------------------------------------------------------------------
PART 155--TRADING STANDARDS
0
76. The authority citation for part 155 continues to read as follows:
Authority: 7 U.S.C. 6b, 6c, 6g, 6j and 12a, unless otherwise
noted.
Sec. Sec. 155.3 and 155.4 [Amended]
0
77. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
155.2(i)(2)................. insured............. ensured
155.2(i)(2)................. insure.............. ensure
155.3(a)(1)................. Insure.............. Ensure
155.4(a)(1)................. Insure.............. Ensure
------------------------------------------------------------------------
PART 160--PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V
OF THE GRAMM-LEACH-BLILEY ACT
0
78. The authority citation for part 160 continues to read as follows:
Authority: 7 U.S.C. 7b-2 and 12a(5); 15 U.S.C 6801, et seq., and
sec. 1093, Pub. L. 111-203, 124 Stat. 1376.
Sec. 160.30 [Amended]
0
79. In Sec. 160.30(a), remove ``Insure'' and add ``Ensure'' in its
place.
PART 162--PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT
REPORTING ACT
0
80. The authority citation for part 162 continues to read as follows:
Authority: Sec. 1088, Pub. L. 111-203; 124 Stat. 1376 (2010).
Sec. 162.21 [Amended]
0
81. In Sec. 162.21(a)(1), remove ``Insure'' and add ``Ensure'' in its
place.
PART 165--
0
82. The authority citation for part 165 continues to read as follows:
Authority: 7 U.S.C. 2, 5, 9, 12a(5), 13a, 13a-1, 13b, and 26.
Sec. Sec. 165.3, 165.7, 165.12, 165.15, and Appendix B [Amended]
0
83. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
165.3(a)(2)................. Commission, Three Whistleblower Office
Lafayette Centre, at the Commission's
1155 21st Street Washington, DC
NW, Washington, DC headquarters.
20581.
165.7(b)(1)................. to the Commission by by mail or fax to
mail or fax to the Whistleblower
Commodity Futures Office at the
Trading Commission, Commission's
Three Lafayette Washington, DC
Centre, 1155 21st headquarters,
Street NW,
Washington, DC
20581,
165.12(c)................... Office of Customer Office of Public
Education and Affairs.
Outreach.
165.15(a)(2)................ Office of General Office of the
Counsel. General Counsel
Appendix B under Submission Three Lafayette at the Commission's
Procedures heading. Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
Appendix B, under Submission Three Lafayette at the Commission's
Procedures heading. Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
------------------------------------------------------------------------
PART 170--REGISTERED FUTURES ASSOCIATIONS
0
84. The authority citation for part 170 continues to read as follows:
Authority: 7 U.S.C. 6d, 6m, 6p, 6s, 12a, and 21.
Sec. Sec. 170.11 and 170.12 [Amended]
0
85. For each paragraph indicated in the left column of the following
table, remove the text in the middle column from wherever it appears in
the section or paragraph, and add in its place the text indicated in
the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
170.11(a)(5)................ Three Lafayette the Commission's DC
Centre, 1155 21st headquarters
Street NW,
Washington, DC
20581.
170.12 (section heading).... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
170.12...................... Division of Swap Market Participants
Dealer and Division
Intermediary
Oversight.
------------------------------------------------------------------------
[[Page 71821]]
PART 171--RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION
DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND
MEMBER RESPONSIBILITY ACTIONS
0
86. The authority citation for part 171 continues to read as follows:
Authority: 7 U.S.C. 4a, 12a and 21, unless otherwise noted.
Sec. Sec. 171.2, 171.3, 171.8, 171.28, and 171.31 [Amended]
0
87. For each section and paragraph indicated in the left column of the
following table, remove the text in the middle column from wherever it
appears in the section or paragraph, and add in its place the text
indicated in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
171.2(c).................... Commission's Office of the
Opinions Section. General Counsel's
Litigation,
Enforcement, and
Adjudication
Section
171.3....................... principal office.... headquarters
171.8(a).................... Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
171.8(b).................... Three Lafayette at the Commission's
Centre, 1155 21st Washington, DC
Street NW, headquarters
Washington, DC
20581.
171.28...................... the Division of Swap the Market
Dealer and Participants
Intermediary Division, the
Oversight and the Division of
Division of Clearing and Risk,
Clearing and Risk the Division of
or the Division of Market Oversight,
Market Oversight. or the Division of
Data
171.31(a)................... the Division of Swap the Market
Dealer and Participants
Intermediary Division, the
Oversight, and the Division of
Division of Clearing and Risk,
Clearing and Risk the Division of
or the Division of Market Oversight,
Market Oversight. or the Division of
Data
------------------------------------------------------------------------
Issued in Washington, DC, on August 13, 2024, by the Commission.
Robert Sidman
Deputy Secretary of the Commission.
Note: The following appendix will not appear in the Code of
Federal Regulations.
Appendix to Incorporation of Changes in the Commission's Administrative
Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text--
Voting Summary
Appendix 1--Voting Summary
On this matter, Chairman Behnam and Commissioners Johnson, and
Goldsmith Romero, Mersinger, and Pham voted in the affirmative. No
Commissioner voted in the negative.
[FR Doc. 2024-18445 Filed 9-3-24; 8:45 am]
BILLING CODE 6351-01-P