Proceedings Before the Commodity Futures Trading Commission, 63359-63361 [E8-25354]
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Federal Register / Vol. 73, No. 207 / Friday, October 24, 2008 / Rules and Regulations
Actions
Compliance
63359
Procedures
(i) Before further flight after any inspection where hydraulic fluid leakage was
found; or
(ii) Within the next 200 hours TIS after
November 3, 2008 (the effective date
of this AD) or within the next 6 months
after November 3, 2008 (the effective
date of this AD), whichever occurs first.
(f) The replacement required by paragraph
(e)(3) of this AD is terminating action for this
AD. This replacement may be done instead
of the inspections required by paragraphs
(e)(1) and (e)(2) of this AD.
Alternative Methods of Compliance
(AMOCs)
(g) The Manager, Wichita Aircraft
Certification Office (ACO), FAA, has the
authority to approve AMOCs for this AD, if
requested using the procedures found in 14
CFR 39.19. Send information to ATTN: Mike
Imbler, Aerospace Engineer, Wichita ACO,
1801 Airport Road, Room 100, Wichita,
Kansas 67209; telephone: (316) 946–4147;
fax: (316) 946–4107. Before using any
approved AMOC on any airplane to which
the AMOC applies, notify your appropriate
principal inspector (PI) in the FAA Flight
Standards District Office (FSDO), or lacking
a PI, your local FSDO.
Material Incorporated by Reference
mstockstill on PROD1PC66 with RULES
(h) You must use Hawker Beechcraft
Mandatory Service Bulletin SB 29–3897,
dated August 2008 to do the actions required
by this AD, unless the AD specifies
otherwise.
(1) The Director of the Federal Register
approved the incorporation by reference of
this service information under 5 U.S.C.
552(a) and 1 CFR part 51.
(2) For service information identified in
this AD, contact Hawker Beechcraft
Corporation, P.O. Box 85, Wichita, Kansas
67201–0085; telephone: (800) 429–5372 or
(316) 676–3140; Internet: https://
pubs.hawkerbeechcraft.com.
(3) You may review copies at the FAA,
Central Region, Office of the Regional
Counsel, 901 Locust, Kansas City, Missouri
64106; or at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030, or go
to: https://www.archives.gov/federal_register/
code_of_federal_regulations/
ibr_locations.html.
Issued in Kansas City, Missouri, on
October 17, 2008.
John Colomy,
Acting Manager, Small Airplane Directorate,
Aircraft Certification Service.
[FR Doc. E8–25284 Filed 10–23–08; 8:45 am]
BILLING CODE 4910–13–P
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COMMODITY FUTURES TRADING
COMMISSION
17 CFR Parts 10 and 12
RIN 3038–AC50
Proceedings Before the Commodity
Futures Trading Commission
Commodity Futures Trading
Commission.
ACTION: Final rule.
AGENCY:
SUMMARY: The Commodity Futures
Trading Commission (‘‘Commission’’) is
amending its Rules of Practice and
Rules Relating to Reparation
Proceedings, respectively, to
standardize service and filing by
electronic means. The amendments also
revise rules regarding formatting
requirements of reparations documents
filed with the Proceedings Clerk.
DATES: Effective October 24, 2008.
FOR FURTHER INFORMATION CONTACT:
Thuy Dinh, Office of General Counsel,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC
20581. Telephone: (202) 418–5128.
SUPPLEMENTARY INFORMATION: Personal
delivery and delivery by U.S. mail are
the manners of filing and service
authorized in proceedings under 17 CFR
Part 12. Since 1998, Part 10 of the
Commission Rules has provided an
additional means—service by fax. Up to
now, neither Parts 10 nor 12 have
provided for service by e-mail. In
keeping with the demands of today’s
world, and especially in light of
cautionary measures used in the postSeptember 11 climate that have slowed
incoming mail to the agency, the
Commission proposes to authorize fax
and e-mail as additional manners of
filing and service, to: (1) Avoid undue
delay; (2) take advantage of
technological developments, which will
be faster and less costly than the mails;
and (3) streamline procedures.
The Commission and the federal
government overall are engaged in
ongoing efforts to use technology to
increase efficiency. Since March 2000,
the Commission has allowed customers,
clients of Commission registrants and
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commodity pool participants to sign
electronically certain documents
required under the Commodity
Exchange Act (‘‘CEA’’), 7 U.S.C. 1 et seq.
and Commission Rules. See, e.g., 17
CFR 1.3(tt) and 1.4 (rules dealing with
electronic signatures). In May 2000, the
Office of Management and Budget
issued a Guide on Implementation of
the Government Paperwork Elimination
Act (‘‘GPEA’’) at 65 FR 255508, 2000
WL 517619. More recently, on July 25,
2007, the Commission, acting on a
request made by the National Futures
Association (‘‘NFA’’), amended 17 CFR
171.9(b) to allow for service by fax and
e-mail in appeals from NFA actions.
Thus, the amendments complement
existing Commission Rules and
government policy dealing with
electronic submissions.
All of the amendments under Parts 10
and 12 make filing and service by fax
and e-mail effective upon transmission.
While authorizing these electronic
means of filing and service, the
Commission wishes to make clear that
these options may be used on a case-bycase basis at the discretion of the
Presiding Officer, with the parties’
consent. Signed documents filed or
served by electronic means must be in
PDF or other non-alterable form. With
respect to Part 12, when a document to
be filed requires the concurrent
submission of a filing fee, filing is not
complete until the fee has been paid.
See Commission Rule 12.25.
The Part 12 amended rules also allow
filing and service by commercial
package delivery service, which is
already allowed under the Part 10 rules.
To harmonize Parts 10 and 12, when
documents are served by mail, the
length of time within which a party
being served in a Part 10 proceeding
may respond is extended from three (3)
extra days as Part 10 currently provides,
to five (5) extra days, as provided in Part
12.
The amendments affect the Rules’
provisions respecting service upon
parties by the Proceedings Clerk on
behalf of the Commission, i.e.,
Commission Rules 10.12(b) and
12.10(a)(3), providing that the
Commission, in its discretion and with
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63360
Federal Register / Vol. 73, No. 207 / Friday, October 24, 2008 / Rules and Regulations
due consideration for the convenience
of the parties, may serve documents
(i.e., rulings, opinions and orders) to the
parties by electronic means.
The amendments also update
Commission Rules 12.11(a) and (c) for
filing hard copy pleadings. For example,
outdated requirements such as
references to mimeographed filings are
hereby removed from the rule.
Related Matters
A. No Notice Is Required Under 5 U.S.C.
553
The Commission has determined that
these amendments are exempt from the
provisions of the Administrative
Procedure Act, 5 U.S.C. 553, which
generally require notice of proposed
rulemaking and provide other
opportunities for public participation.
According to the exemptive language of
5 U.S.C. 553, these amendments pertain
to ‘‘rules of agency organization,
procedure, or practice,’’ as to which
there exists agency discretion not to
provide notice. In addition, notice and
public procedure are unnecessary in
this case because the proposed
amendments are self-explanatory. If
made effective immediately, they will
promote efficiency and facilitate the
Commission’s core mission without
imposing a new burden. For the above
reasons, the notice requirements under
5 U.S.C. 553 are inapplicable.
mstockstill on PROD1PC66 with RULES
B. Regulatory Flexibility Act
The Regulatory Flexibility Act
(‘‘RFA’’), 5 U.S.C. 601 et seq., requires
agencies with rulemaking authority to
consider the impact those rules will
have on small businesses. With respect
to persons seeking Commission review
of final exchange and NFA decisions,
and initial decisions in reparation and
administrative enforcement matters, the
amendments impose no additional
burden and in fact ease existing burdens
by providing more options, greater
certainty and increased predictability
concerning filing and service.
Accordingly, the Acting Chairman, on
behalf of the Commission, hereby
certifies, pursuant to 5 U.S.C. 605(b),
that the amendments will not have a
significant economic impact on a
substantial number of small businesses.
C. Paperwork Reduction Act
The amendments to Parts 10 and 12
do not impose a burden within the
meaning and intent of the Paperwork
Reduction Act of 1980, 44 U.S.C. 3501,
et seq.
D. Cost-Benefit Analysis
Section 15(a) of the Act, 7 U.S.C.
19(a), requires the Commission to
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15:58 Oct 23, 2008
Jkt 217001
consider the costs and benefits of its
action before issuing a new regulation.
The Commission understands that, by
its terms, Section 15(a) does not require
the Commission to quantify the costs
and benefits of a new regulation or to
determine whether the benefits of the
proposed regulation outweigh its costs.
Nor does it require that each proposed
rule be analyzed in isolation when that
rule is a component of a larger package
of rules or rule revisions. Rather,
Section 15(a) simply requires the
Commission to ‘‘consider the costs and
benefits’’ of its action.
Section 15(a) further specifies that
costs and benefits shall be evaluated in
light of five broad areas of market and
public concern: (1) Protection of market
participants and the public; (2)
efficiency, competitiveness, and
financial integrity of futures markets; (3)
price discovery; (4) sound risk
management practices; and (5) other
public interest considerations.
Accordingly, the Commission can, in its
discretion, give greater weight to any
one of the five enumerated areas of
concern and can, in its discretion,
determine that notwithstanding its
costs, a particular rule is necessary or
appropriate to protect the public interest
or to effectuate any of the provisions, or
accomplish any of the purposes, of the
Commodity Exchange Act.
The amendments to Parts 10 and 12
will not create any significant change in
the Commission’s adjudicatory process.
In fact, the amendments will enhance
the protection of market participants
and the public by making filing and
service more certain, faster and cheaper.
The amendments do not bear directly
upon the risk-benefit factors but simply
increase the efficiency of litigation that
arises pursuant to the operation of
futures markets.
List of Subjects in 17 CFR Parts 10 and
12
Administrative practice and
procedure, Commodity futures.
In consideration of the foregoing, the
Commission amends Chapter I of Title
17 of the Code of Federal Regulations as
follows:
■
PART 10—RULES OF PRACTICE
1. The authority citation for Part 10 is
revised read as follows:
■
Authority: Pub. L. 93–463, sec. 101(a)(11),
88 Stat. 1391; 7 U.S.C. 2(a)(12).
2. Section 10.12 is amended by
revising paragraphs (a)(2), (b) and (d)(1)
to read as follows:
■
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§ 10.12 Service and filing of documents;
form and execution
(a) * * *
(2) How service is made. Service shall
be made by:
(i) Personal service;
(ii) First-class or a more expeditious
form of United States mail or a similar
commercial package delivery service;
(iii) Transmitting the documents via
facsimile machine (‘‘fax’’); or
(iv) Via electronic mail (‘‘e-mail’’).
(v) Service shall be complete at the
time of personal service; upon deposit
in the mail or with a similar commercial
package delivery service of a properly
addressed document for which all
postage or delivery service fees have
been paid; or upon transmission by fax
or e-mail. Where a party effects service
by mail or similar package delivery
service (but not by fax or e-mail), the
time within which the party being
served may respond shall be extended
by five (5) days. Service by fax or e-mail
shall be permitted at the discretion of
the Presiding Officer, with the parties’
consent. Signed documents that are
served by e-mail must be in PDF or
other non-alterable form.
*
*
*
*
*
(b) Service of decisions and orders. A
copy of all rulings, opinions and orders
of the Administrative Law Judge and the
Commission shall be served by the
Proceedings Clerk on each of the parties.
The Commission, in its discretion and
with due consideration for the
convenience of the parties, may serve
the aforementioned documents to the
parties by electronic means.
*
*
*
*
*
(d) Filing of documents with the
Proceedings Clerk. (1) All documents
which are required to be served upon a
party shall be filed concurrently with
the Proceedings Clerk. A document
shall be filed by delivering it in person
or by certified or registered mail with
return receipt requested to Proceedings
Clerk, Office of Proceedings, Three
Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581; or faxing the
document to (202) 418–5532 or emailing it to (PROC_Filings@cftc.gov) in
accordance with the conditions set forth
in paragraph (a)(2) of this section.
*
*
*
*
*
PART 12—RULES RELATING TO
REPARATION PROCEEDINGS
1. The authority citation for Part 12
shall read as follows:
■
Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18.
2. Section 12.10 is amended by
revising paragraphs (a)(2), (a)(3) and (b)
to read as follows:
■
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§ 12.10
Service.
(a) * * *
(2) Filing with the Proceedings Clerk;
proof of service. All documents which
are required to be served upon a party
shall be filed concurrently with the
Proceedings Clerk, and shall meet the
requirements as to form prescribed by
§§ 12.11 and 12.12 of this part. Unless
otherwise provided in these rules, a
document shall be filed by:
(i) Delivering it in person;
(ii) Mailing it by first-class or a more
expeditious form of United States mail,
or delivering it to a similar commercial
package delivery service;
(iii) Transmitting the documents via
facsimile machine (‘‘fax’’); or
(iv) Via electronic mail (‘‘e-mail.’’)
(v) Mailed documents must be
addressed to: Proceedings Clerk, Office
of Proceedings, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW.,
Washington, DC 20581. Faxed
documents should be sent to (202) 418–
5532 and e-mailed documents to
(PROC_Filings@cftc.gov), directed to the
Proceedings Clerk. Electronic filing and
service in a given case shall be at the
discretion of the Presiding Officer, with
the parties’ consent. Signed documents
that are served by e-mail attachment
must be in PDF or other non-alterable
form. To be timely filed under this part,
a document must be delivered; mailed
by first-class or a more expeditious form
of United States mail or a similar
commercial package delivery service; or
faxed or e-mailed to the Proceedings
Clerk within the time prescribed for
filing. Proof of filing shall be made by
attaching to the document to be filed an
affidavit certifying that the attached
document was either deposited in the
mail or with the commercial package
delivery service, with postage or
delivery service fees prepaid, addressed
to the Proceedings Clerk, Office of
Proceedings, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC
20581; or faxed or e-mailed to the
Proceeding Clerk on the date specified
in the affidavit. Proof of service of a
document shall be made by filing with
the Proceedings Clerk, simultaneously
with the filing of the required
document, an affidavit of service
executed by any person 18 years of age
or older or a certificate of service
executed by an attorney-at-law qualified
to practice before the Commission. The
proof of service shall identify the
persons served, state that service has
been made, set forth the date of service,
and recite the manner of service.
(3) Service of orders and decisions. A
copy of all notices, rulings, opinions,
and orders of the Proceedings Clerk, the
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15:58 Oct 23, 2008
Jkt 217001
Director of the Office of Proceedings, a
Judgment Officer, Administrative Law
Judge, the Deputy General Counsel for
Opinions and Review or the
Commission shall be served by the
Proceedings Clerk on each of the parties.
The Commission, in its discretion and
with due consideration for the
convenience of the parties, may serve
the aforementioned documents to the
parties by electronic means.
(b) How service is made. (1) Service
shall be made by:
(i) Personal service;
(ii) First-class or a more expeditious
form of United States mail or a similar
commercial package delivery service;
(iii) Fax; or
(iv) E-mail in accordance with the
conditions set forth in paragraph (a)(2)
of this section.
(v) Service shall be complete at the
time of personal service upon deposit in
the mail or with a commercial package
delivery service of a properly addressed
document for which postage or delivery
service fees have been prepaid; or upon
transmission by fax or e-mail. Where
service is effected by mail or a
commercial package delivery service
(but not by fax or e-mail), the time
within which the person served may
respond thereto shall be increased by
five (5) days. Signed documents that are
served by e-mail attachment must be in
PDF or other non-alterable form. For the
purposes of this Rule, service of any
document by the Proceedings Clerk
upon the Commission shall be regarded
as service by mail.
*
*
*
*
*
3. Section 12.11 is amended by
revising paragraphs (a) and (c) to read as
follows:
■
§ 12.11 Formalities of filing of documents
with the Proceedings Clerk.
(a) Number of copies. Unless
otherwise specifically provided, or
unless filed by fax or e-mail in
accordance with the requirements of
§ 12.10(a)(2), an original and one
conformed copy of all documents shall
be filed with the Proceedings Clerk.
*
*
*
*
*
(c) Format. All documents filed under
the Reparation Rules shall be
typewritten, printed, or, if a party is not
represented by counsel, in plainly
legible handwriting. Documents sent in
hardcopy must be on good quality white
paper, 81⁄2 by 111⁄2 inches and bound at
the top only. Documents e-mailed in
accordance with the requirements of
§ 12.10(a)(2) must be in PDF or other
non-alterable form. All documents must
be double-spaced, except for quotations
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63361
more than 3 lines and footnotes, both of
which should be single-spaced.
*
*
*
*
*
Issued in Washington, DC, on the 8th of
October 2008, by the Commission.
David A. Stawick,
Secretary of the Commission.
[FR Doc. E8–25354 Filed 10–23–08; 8:45 am]
BILLING CODE 6351–01–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Parts 210 and 211
[Docket No. FDA–2007–N–0379] (formerly
Docket No. 2007N–0280)
Amendments to the Current Good
Manufacturing Practice Regulations for
Finished Pharmaceuticals; Final Rule;
Correction
AGENCY:
Food and Drug Administration,
HHS.
ACTION:
Final rule; correction.
SUMMARY: The Food and Drug
Administration (FDA) is correcting a
final rule that appeared in the Federal
Register of Monday, September 8, 2008
(73 FR 51919). The final rule was
published with an inadvertent error in
the ‘‘Analysis of Impacts’’ section. This
document corrects that error.
FOR FURTHER INFORMATION CONTACT:
Diane Sullivan, Office of Policy (HF–
26), Food and Drug Administration,
5600 Fishers Lane, rm. 12A–11,
Rockville, MD 20857, 301–827–7069, email: diane.sullivan@fda.hhs.gov.
SUPPLEMENTARY INFORMATION: In FR Doc.
E8–20709, appearing on page 51919 in
the Federal Register of Monday,
September 8, 2008, the following
correction is made:
1. On page 51931, in the first column,
under ‘‘IV. Analysis of Impacts,’’ in the
first full paragraph, the sentence ‘‘The
agency believes that this final rule is not
a significant regulatory action as defined
by the Executive order, because the rule
either clarifies the agency’s
longstanding interpretation of, or
increases latitude for manufacturers in
complying with, existing CGMP
requirements’’ is corrected to read ‘‘The
agency certifies that this final rule is not
a significant regulatory action as defined
by the Executive order, because the rule
either clarifies the agency’s
longstanding interpretation of, or
increases latitude for manufacturers in
complying with, existing CGMP
requirements.’’
E:\FR\FM\24OCR1.SGM
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]]>Agencies
[Federal Register Volume 73, Number 207 (Friday, October 24, 2008)]
[Rules and Regulations]
[Pages 63359-63361]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-25354]
=======================================================================
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
17 CFR Parts 10 and 12
RIN 3038-AC50
Proceedings Before the Commodity Futures Trading Commission
AGENCY: Commodity Futures Trading Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (``Commission'') is
amending its Rules of Practice and Rules Relating to Reparation
Proceedings, respectively, to standardize service and filing by
electronic means. The amendments also revise rules regarding formatting
requirements of reparations documents filed with the Proceedings Clerk.
DATES: Effective October 24, 2008.
FOR FURTHER INFORMATION CONTACT: Thuy Dinh, Office of General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581. Telephone: (202) 418-5128.
SUPPLEMENTARY INFORMATION: Personal delivery and delivery by U.S. mail
are the manners of filing and service authorized in proceedings under
17 CFR Part 12. Since 1998, Part 10 of the Commission Rules has
provided an additional means--service by fax. Up to now, neither Parts
10 nor 12 have provided for service by e-mail. In keeping with the
demands of today's world, and especially in light of cautionary
measures used in the post-September 11 climate that have slowed
incoming mail to the agency, the Commission proposes to authorize fax
and e-mail as additional manners of filing and service, to: (1) Avoid
undue delay; (2) take advantage of technological developments, which
will be faster and less costly than the mails; and (3) streamline
procedures.
The Commission and the federal government overall are engaged in
ongoing efforts to use technology to increase efficiency. Since March
2000, the Commission has allowed customers, clients of Commission
registrants and commodity pool participants to sign electronically
certain documents required under the Commodity Exchange Act (``CEA''),
7 U.S.C. 1 et seq. and Commission Rules. See, e.g., 17 CFR 1.3(tt) and
1.4 (rules dealing with electronic signatures). In May 2000, the Office
of Management and Budget issued a Guide on Implementation of the
Government Paperwork Elimination Act (``GPEA'') at 65 FR 255508, 2000
WL 517619. More recently, on July 25, 2007, the Commission, acting on a
request made by the National Futures Association (``NFA''), amended 17
CFR 171.9(b) to allow for service by fax and e-mail in appeals from NFA
actions. Thus, the amendments complement existing Commission Rules and
government policy dealing with electronic submissions.
All of the amendments under Parts 10 and 12 make filing and service
by fax and e-mail effective upon transmission. While authorizing these
electronic means of filing and service, the Commission wishes to make
clear that these options may be used on a case-by-case basis at the
discretion of the Presiding Officer, with the parties' consent. Signed
documents filed or served by electronic means must be in PDF or other
non-alterable form. With respect to Part 12, when a document to be
filed requires the concurrent submission of a filing fee, filing is not
complete until the fee has been paid. See Commission Rule 12.25.
The Part 12 amended rules also allow filing and service by
commercial package delivery service, which is already allowed under the
Part 10 rules. To harmonize Parts 10 and 12, when documents are served
by mail, the length of time within which a party being served in a Part
10 proceeding may respond is extended from three (3) extra days as Part
10 currently provides, to five (5) extra days, as provided in Part 12.
The amendments affect the Rules' provisions respecting service upon
parties by the Proceedings Clerk on behalf of the Commission, i.e.,
Commission Rules 10.12(b) and 12.10(a)(3), providing that the
Commission, in its discretion and with
[[Page 63360]]
due consideration for the convenience of the parties, may serve
documents (i.e., rulings, opinions and orders) to the parties by
electronic means.
The amendments also update Commission Rules 12.11(a) and (c) for
filing hard copy pleadings. For example, outdated requirements such as
references to mimeographed filings are hereby removed from the rule.
Related Matters
A. No Notice Is Required Under 5 U.S.C. 553
The Commission has determined that these amendments are exempt from
the provisions of the Administrative Procedure Act, 5 U.S.C. 553, which
generally require notice of proposed rulemaking and provide other
opportunities for public participation. According to the exemptive
language of 5 U.S.C. 553, these amendments pertain to ``rules of agency
organization, procedure, or practice,'' as to which there exists agency
discretion not to provide notice. In addition, notice and public
procedure are unnecessary in this case because the proposed amendments
are self-explanatory. If made effective immediately, they will promote
efficiency and facilitate the Commission's core mission without
imposing a new burden. For the above reasons, the notice requirements
under 5 U.S.C. 553 are inapplicable.
B. Regulatory Flexibility Act
The Regulatory Flexibility Act (``RFA''), 5 U.S.C. 601 et seq.,
requires agencies with rulemaking authority to consider the impact
those rules will have on small businesses. With respect to persons
seeking Commission review of final exchange and NFA decisions, and
initial decisions in reparation and administrative enforcement matters,
the amendments impose no additional burden and in fact ease existing
burdens by providing more options, greater certainty and increased
predictability concerning filing and service. Accordingly, the Acting
Chairman, on behalf of the Commission, hereby certifies, pursuant to 5
U.S.C. 605(b), that the amendments will not have a significant economic
impact on a substantial number of small businesses.
C. Paperwork Reduction Act
The amendments to Parts 10 and 12 do not impose a burden within the
meaning and intent of the Paperwork Reduction Act of 1980, 44 U.S.C.
3501, et seq.
D. Cost-Benefit Analysis
Section 15(a) of the Act, 7 U.S.C. 19(a), requires the Commission
to consider the costs and benefits of its action before issuing a new
regulation. The Commission understands that, by its terms, Section
15(a) does not require the Commission to quantify the costs and
benefits of a new regulation or to determine whether the benefits of
the proposed regulation outweigh its costs. Nor does it require that
each proposed rule be analyzed in isolation when that rule is a
component of a larger package of rules or rule revisions. Rather,
Section 15(a) simply requires the Commission to ``consider the costs
and benefits'' of its action.
Section 15(a) further specifies that costs and benefits shall be
evaluated in light of five broad areas of market and public concern:
(1) Protection of market participants and the public; (2) efficiency,
competitiveness, and financial integrity of futures markets; (3) price
discovery; (4) sound risk management practices; and (5) other public
interest considerations. Accordingly, the Commission can, in its
discretion, give greater weight to any one of the five enumerated areas
of concern and can, in its discretion, determine that notwithstanding
its costs, a particular rule is necessary or appropriate to protect the
public interest or to effectuate any of the provisions, or accomplish
any of the purposes, of the Commodity Exchange Act.
The amendments to Parts 10 and 12 will not create any significant
change in the Commission's adjudicatory process. In fact, the
amendments will enhance the protection of market participants and the
public by making filing and service more certain, faster and cheaper.
The amendments do not bear directly upon the risk-benefit factors but
simply increase the efficiency of litigation that arises pursuant to
the operation of futures markets.
List of Subjects in 17 CFR Parts 10 and 12
Administrative practice and procedure, Commodity futures.
0
In consideration of the foregoing, the Commission amends Chapter I of
Title 17 of the Code of Federal Regulations as follows:
PART 10--RULES OF PRACTICE
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1. The authority citation for Part 10 is revised read as follows:
Authority: Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391; 7
U.S.C. 2(a)(12).
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2. Section 10.12 is amended by revising paragraphs (a)(2), (b) and
(d)(1) to read as follows:
Sec. 10.12 Service and filing of documents; form and execution
(a) * * *
(2) How service is made. Service shall be made by:
(i) Personal service;
(ii) First-class or a more expeditious form of United States mail
or a similar commercial package delivery service;
(iii) Transmitting the documents via facsimile machine (``fax'');
or
(iv) Via electronic mail (``e-mail'').
(v) Service shall be complete at the time of personal service; upon
deposit in the mail or with a similar commercial package delivery
service of a properly addressed document for which all postage or
delivery service fees have been paid; or upon transmission by fax or e-
mail. Where a party effects service by mail or similar package delivery
service (but not by fax or e-mail), the time within which the party
being served may respond shall be extended by five (5) days. Service by
fax or e-mail shall be permitted at the discretion of the Presiding
Officer, with the parties' consent. Signed documents that are served by
e-mail must be in PDF or other non-alterable form.
* * * * *
(b) Service of decisions and orders. A copy of all rulings,
opinions and orders of the Administrative Law Judge and the Commission
shall be served by the Proceedings Clerk on each of the parties. The
Commission, in its discretion and with due consideration for the
convenience of the parties, may serve the aforementioned documents to
the parties by electronic means.
* * * * *
(d) Filing of documents with the Proceedings Clerk. (1) All
documents which are required to be served upon a party shall be filed
concurrently with the Proceedings Clerk. A document shall be filed by
delivering it in person or by certified or registered mail with return
receipt requested to Proceedings Clerk, Office of Proceedings, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581; or
faxing the document to (202) 418-5532 or e-mailing it to (PROC_
Filings@cftc.gov) in accordance with the conditions set forth in
paragraph (a)(2) of this section.
* * * * *
PART 12--RULES RELATING TO REPARATION PROCEEDINGS
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1. The authority citation for Part 12 shall read as follows:
Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18.
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2. Section 12.10 is amended by revising paragraphs (a)(2), (a)(3) and
(b) to read as follows:
[[Page 63361]]
Sec. 12.10 Service.
(a) * * *
(2) Filing with the Proceedings Clerk; proof of service. All
documents which are required to be served upon a party shall be filed
concurrently with the Proceedings Clerk, and shall meet the
requirements as to form prescribed by Sec. Sec. 12.11 and 12.12 of
this part. Unless otherwise provided in these rules, a document shall
be filed by:
(i) Delivering it in person;
(ii) Mailing it by first-class or a more expeditious form of United
States mail, or delivering it to a similar commercial package delivery
service;
(iii) Transmitting the documents via facsimile machine (``fax'');
or
(iv) Via electronic mail (``e-mail.'')
(v) Mailed documents must be addressed to: Proceedings Clerk,
Office of Proceedings, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Faxed
documents should be sent to (202) 418-5532 and e-mailed documents to
(PROC_Filings@cftc.gov), directed to the Proceedings Clerk. Electronic
filing and service in a given case shall be at the discretion of the
Presiding Officer, with the parties' consent. Signed documents that are
served by e-mail attachment must be in PDF or other non-alterable form.
To be timely filed under this part, a document must be delivered;
mailed by first-class or a more expeditious form of United States mail
or a similar commercial package delivery service; or faxed or e-mailed
to the Proceedings Clerk within the time prescribed for filing. Proof
of filing shall be made by attaching to the document to be filed an
affidavit certifying that the attached document was either deposited in
the mail or with the commercial package delivery service, with postage
or delivery service fees prepaid, addressed to the Proceedings Clerk,
Office of Proceedings, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581; or faxed or e-mailed to the Proceeding Clerk on
the date specified in the affidavit. Proof of service of a document
shall be made by filing with the Proceedings Clerk, simultaneously with
the filing of the required document, an affidavit of service executed
by any person 18 years of age or older or a certificate of service
executed by an attorney-at-law qualified to practice before the
Commission. The proof of service shall identify the persons served,
state that service has been made, set forth the date of service, and
recite the manner of service.
(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 Deputy General Counsel for Opinions and Review or the
Commission shall be served by the Proceedings Clerk on each of the
parties. The Commission, in its discretion and with due consideration
for the convenience of the parties, may serve the aforementioned
documents to the parties by electronic means.
(b) How service is made. (1) Service shall be made by:
(i) Personal service;
(ii) First-class or a more expeditious form of United States mail
or a similar commercial package delivery service;
(iii) Fax; or
(iv) E-mail in accordance with the conditions set forth in
paragraph (a)(2) of this section.
(v) Service shall be complete at the time of personal service upon
deposit in the mail or with a commercial package delivery service of a
properly addressed document for which postage or delivery service fees
have been prepaid; or upon transmission by fax or e-mail. Where service
is effected by mail or a commercial package delivery service (but not
by fax or e-mail), the time within which the person served may respond
thereto shall be increased by five (5) days. Signed documents that are
served by e-mail attachment must be in PDF or other non-alterable form.
For the purposes of this Rule, service of any document by the
Proceedings Clerk upon the Commission shall be regarded as service by
mail.
* * * * *
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3. Section 12.11 is amended by revising paragraphs (a) and (c) to read
as follows:
Sec. 12.11 Formalities of filing of documents with the Proceedings
Clerk.
(a) Number of copies. Unless otherwise specifically provided, or
unless filed by fax or e-mail in accordance with the requirements of
Sec. 12.10(a)(2), an original and one conformed copy of all documents
shall be filed with the Proceedings Clerk.
* * * * *
(c) Format. All documents filed under the Reparation Rules shall be
typewritten, printed, or, if a party is not represented by counsel, in
plainly legible handwriting. Documents sent in hardcopy must be on good
quality white paper, 8\1/2\ by 11\1/2\ inches and bound at the top
only. Documents e-mailed in accordance with the requirements of Sec.
12.10(a)(2) must be in PDF or other non-alterable form. All documents
must be double-spaced, except for quotations more than 3 lines and
footnotes, both of which should be single-spaced.
* * * * *
Issued in Washington, DC, on the 8th of October 2008, by the
Commission.
David A. Stawick,
Secretary of the Commission.
[FR Doc. E8-25354 Filed 10-23-08; 8:45 am]
BILLING CODE 6351-01-P
