[Federal Register Volume 78, Number 5 (Tuesday, January 8, 2013)]
[Rules and Regulations]
[Pages 1144-1145]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-31721]


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COMMODITY FUTURES TRADING COMMISSION

17 CFR Parts 9, 12, and 171


Rules of Practice; Amendments to Delegations of Authority to the 
Office of General Counsel

AGENCY: Commodity Futures Trading Commission.

ACTION: Final rule.

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SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or 
``Commission'') is amending its regulations delegating authority to the 
Commission's Office of General Counsel, so that all delegations thereto 
will be to the General Counsel, with authority to sub-delegate to any 
Commission employee under the supervision of the General Counsel.

DATES: Effective Date: January 8, 2013.

FOR FURTHER INFORMATION CONTACT: Lynn Bulan, Counsel, Office of General 
Counsel, 1155 21st Street NW., Washington, DC 20581, [email protected] 
and (202) 418-5120.

SUPPLEMENTARY INFORMATION: The Commission is revising delegations of 
authority to the Office of General Counsel, replacing delegations to 
the Deputy General Counsel for Opinions and Review with delegations to 
the General Counsel. The reason for this change is due to the 
elimination of the position of Deputy General Counsel for Opinions and 
Review under a reorganization within the Office of General Counsel. The 
revisions will permit the General Counsel to sub-delegate authority to 
any Commission employee under his or her supervision.

I. Rules Being Amended

    The following CFTC rules are being amended.

A. 17 CFR 9.9

    CFTC rule 9.9 delegates certain authority to the Deputy General 
Counsel for Opinions and Review. Currently, the rule authorizes the 
Deputy General Counsel for Opinions and Review or his/her designee to 
handle certain procedural and technical matters and, in his/her 
discretion, to submit matters otherwise falling within this rule to the 
Commission for its consideration. The CFTC is changing the rule to 
grant this authority to the General Counsel. As a result, references to 
the Deputy General Counsel for Opinions and Review in rule 9.9 have 
been changed to the General Counsel, and to any employee under the 
General Counsel's supervision as he or she may designate.

B. 17 CFR 12.10

    CFTC rule 12.10(a)(3) sets forth all the persons upon whom the 
Proceedings Clerk must serve all notices, rulings, opinions, and 
orders. This list of persons includes the Deputy General Counsel for 
Opinions and Review. The rule is being revised such that all references 
to the Deputy General Counsel for Opinions and Review in rule 12.10 
have been changed to the General Counsel, and permits the General 
Counsel to sub-delegate this authority to any Commission employee under 
his or her supervision.

C. 17 CFR 12.408

    CFTC rule 12.408 is titled ``Delegation of Authority to the Deputy 
General Counsel for Opinions.'' The text of the rule delegates certain 
functions to the General Counsel and not the Deputy General Counsel for 
Opinions. In order to conform the title of the section to the substance 
of the section, the reference in the title of the section has been 
changed to ``Delegation of Authority to the General Counsel.''

D. 17 CFR 171.1(c)

    CFTC rule 171.1(c) provides the Deputy General Counsel for Opinions 
the authority to strike a notice of appeal in certain circumstances. 
All references to the Deputy General Counsel for Opinions in rule 
171.1(c) have been changed to the General Counsel, or the General 
Counsel's delegate.

E. 17 CFR 171.50

    CFTC rule 171.50 delegates certain authority to the Deputy General 
Counsel for Opinions. The current rule authorizes the Deputy General 
Counsel for Opinions and Review or his/her designee to handle certain 
procedural and technical matters and, in his/her discretion, to submit 
matters otherwise falling within this rule to the Commission for its 
consideration. References in rule 171.50 have been changed to the 
General Counsel.

II. Administrative Compliance

A. Administrative Procedure Act

    The Administrative Procedure Act does not require notice of the 
proposed rulemaking and an opportunity for public participation in 
connection with these amendments, as they relate solely to agency 
organization, procedure and practice.\1\ For the same reason, these 
rules will become effective upon publication in the Federal 
Register.\2\
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    \1\ 5 U.S.C. 553(b).
    \2\ 5 U.S.C. 553(d).
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    Pursuant to the authority contained in the Commodity Exchange Act, 
in particular section 2(a)(4), 7 U.S.C. 2(a)(4), the CFTC corrects part 
9, 12 and 171 of Title 17 of the Code of Federal regulations as 
described below.

B. Paperwork Reduction Act and Regulatory Flexibility Act

    This rulemaking does not contain any collections of information for 
which the Commission must seek a control number under the Paperwork 
Reduction Act.\3\ Moreover, the Regulatory Flexibility Act requires the 
Commission to consider whether a rulemaking will

[[Page 1145]]

have a significant economic impact on a substantial number of small 
businesses only when the agency is obligated to publish a general 
notice of proposed rulemaking under section 553(b). As this rulemaking 
relates to agency organization and procedure, and therefore is not 
subject to notice and comment under section 553(b), a regulatory 
flexibility analysis is not required.\4\
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    \3\ See 44 U.S.C. 3501 et seq.
    \4\ See 5 U.S.C. 601(2).
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List of Subjects in 17 CFR Parts 9, 12 and 171

    Administrative practice and procedure, Commodity exchanges, 
Commodity futures, Rules of practice before administrative agency.

    For the reasons stated in the preamble, the Commodity Futures 
Trading Commission amends 17 CFR Parts 9, 12 and 171 as set forth 
below:

PART 9--RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS 
DENIAL OR OTHER ADVERSE ACTIONS

0
1. The authority citation for Part 9 continues to read as follows:

    Authority:  7 U.S.C. 4a, 6c, 7a, 12a, 12c, 16a, as amended by 
Title XIII of the Food, Conservation and Energy Act of 2008, Pub. L. 
110-246, 122 Stat. 1624 (June 18, 2008), unless otherwise noted.


0
2. Section 9.9 is amended by revising paragraphs (b)(1) introductory 
text, (b)(3) and (b)(4), to read as follows:


Sec.  9.9  Waiver of rules; delegation of authority.

* * * * *
    (b) * * *
    (1) The Commission hereby delegates, until the Commission orders 
otherwise, to the General Counsel, or to any employee under the General 
Counsel's supervision as the General Counsel may designate, the 
authority:
* * * * *
    (3) The General Counsel, or his designee, may submit to the 
Commission for its consideration any matter which has been delegated 
pursuant to paragraph (b)(1) of this section.
    (4) Nothing in this section will be deemed to prohibit the 
Commission, at its election, from exercising the authority delegated to 
the General Counsel, or his designee, under this section.

PART 12--RULES RELATING TO REPARATION PROCEEDINGS

0
3. The authority citation for Part 12 continues to read as follows:

    Authority:  7 U.S.C. 2(a)(12), 12a(5), and 18, as amended by 
Title XIII of the Food, Conservation and Energy Act of 2008, Pub. L. 
110-246, 122 Stat. 1624 (June 18, 2008), unless otherwise noted.


0
4. Section 12.10 is amended by revising paragraph (a)(3) to read as 
follows:


Sec.  12.10  Service.

* * * * *
    (a) * * *
    (3) Service of orders and decisions. A copy of all notices, 
rulings, opinions and orders of the Proceedings Clerk, the Director of 
the Office of Proceedings, a Judgment Officer, Administrative Law 
Judge, the General Counsel or any employee under the General Counsel's 
supervision as the General Counsel may designate, or the Commission 
shall be served by the Proceedings Clerk on each of the parties.
* * * * *

0
5. Section 12.408 is amended by revising the section heading to read as 
follows:


Sec.  12.408  Delegation of authority to the General Counsel.

* * * * *

PART 171--RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION 
DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND 
MEMBERSHIP RESPONSIBILITY ACTIONS

Authority and Issuance

0
6. The authority citation for Part 171 continues to read as follows:

    Authority:  7 U.S.C. 4a, 12a, and 21, as amended by Title XIII 
of the Food, Conservation and Energy Act of 2008, Pub. L. 110-246, 
122 Stat. 1624 (June 18, 2008), unless otherwise noted.


0
7. Section 171.1 is amended by revising paragraph (c) to read as 
follows:


Sec.  171.1  Scope of rules.

* * * * *
    (c) Appeals from excluded decisions. If the General Counsel, or any 
employee under the General Counsel's supervision as the General Counsel 
may designate, determines that a notice of appeal submitted to the 
Commission is from a decision that is excluded from review under this 
part, the notice of appeal may be stricken and ordered to be returned 
to the aggrieved party who submitted it.
* * * * *

0
8. Section 171.50 is amended by revising paragraphs (a) introductory 
text, (c), and (d) to read as follows:


Sec.  171.50  Delegation to the General Counsel.

    (a) The Commission hereby delegates, until it orders otherwise, to 
the General Counsel, or any employee under the General Counsel's 
supervision as the General Counsel may designate, the authority:
* * * * *
    (c) The General Counsel, or his designee, may submit to the 
Commission for its consideration any matter which has been delegated 
pursuant to paragraph (a) of this section.
    (d) Nothing in this section will be deemed to prohibit the 
Commission, at its election, from exercising the authority delegated to 
the General Counsel, or his designee, under this section.

    Issued in Washington, DC on December 31, 2012, by the 
Commission.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. 2012-31721 Filed 1-7-13; 8:45 am]
BILLING CODE 6351-01-P