Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests, 42599-42601 [2010-17897]
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Federal Register / Vol. 75, No. 140 / Thursday, July 22, 2010 / Rules and Regulations
Defense (DOD) dated October 2005, the
FAA was a cooperating agency on the
FEA.
The FAA has conducted an
independent review of the FEA and is
adopting the FEA for this action
pursuant to 40 CFR 1506.3(a) and (c)
and has issued an Adoption of FEA and
FONSI/Record of Decision (ROD) dated
May 2010. This final rule, which
increases the vertical limit and lateral
boundary of R–3404, will not result in
significant environmental impacts. A
copy of the FAA Adoption of FEA and
FONSI/ROD has been placed in the
public docket for this rulemaking.
List of Subjects in 14 CFR Part 73
Airspace, Prohibited areas, Restricted
areas.
Adoption of the Amendment
In consideration of the foregoing, the
Federal Aviation Administration
amends 14 CFR part 73 as follows:
■
PART 73—SPECIAL USE AIRSPACE
1. The authority citation for part 73
continues to read as follows:
■
Authority: 49 U.S.C. 106(g), 40103, 40113,
40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–
1963 Comp., p. 389.
§ 73.34
[Amended]
2. § 73.34 is amended as follows:
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■
R–3404
Crane, IN [Revised]
Boundaries. That airspace within a 1 NM
radius of lat. 38°49′30″ N., long. 86°50′08″ W.
Designated altitudes. Surface to and
including 4,100 feet MSL.
Time of designation. Sunrise to sunset,
daily from May 1 through and including
November 1. Other times by NOTAM 24
hours in advance.
Controlling agency. FAA, Terre Haute
ATCT.
Using agency. U.S. Navy, Crane Division,
Naval Surface Warfare Center tenant of NSA
Crane.
Issued in Washington, DC, July 16, 2010.
Edith V. Parish,
Manager, Airspace and Rules Group.
[FR Doc. 2010–17951 Filed 7–21–10; 8:45 am]
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BILLING CODE 4910–13–P
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
42599
Issued July 16, 2010, in Washington, DC.
Susan Kurland,
Assistant Secretary for Aviation and
International Affairs.
14 CFR Part 234
[FR Doc. 2010–17859 Filed 7–21–10; 8:45 am]
[Docket No. DOT–OST–2007–0022]
BILLING CODE P
RIN No. 2105–AE02
Posting of Flight Delay Data on Web
Sites
SECURITIES AND EXCHANGE
COMMISSION
Office of the Secretary (OST),
Department of Transportation (DOT).
ACTION: Direct final rule; confirmation of
effective date
17 CFR Part 200
AGENCY:
This document confirms the
effective date of the direct final rule
amending the time period for uploading
flight performance information to a
reporting air carrier’s Web site from
anytime between the 20th and 23rd day
of the month to the fourth Saturday of
the month.
DATES: This final rule is effective on July
21, 2010.
FOR FURTHER INFORMATION CONTACT:
Blane A. Workie, Deputy Assistant
General Counsel, Office of the Assistant
General Counsel for Aviation
Enforcement and Proceedings, U.S.
Department of Transportation, 1200
New Jersey Ave., SE., Washington, DC
20590, 202–366–9342 (phone), 202–
366–7152 (fax), blane.workie@dot.gov
(e-mail).
SUPPLEMENTARY INFORMATION:
SUMMARY:
Background
The Department of Transportation’s
Office of the Secretary (OST) published
a direct final rule with a request for
comments in the Federal Register on
June 21, 2010 (75 FR 34925). The direct
final rule required that the reporting
carriers (i.e., certificated air carriers that
account for at least 1 percent of
domestic scheduled passenger revenues)
load flight performance data onto their
Web sites on Saturday, July 24, 2010, for
June data, and all subsequent flight
performance information on the fourth
Saturday of the month following the
month for which the data are that being
reported. OST uses the direct final
rulemaking procedure for a noncontroversial rule where OST believes
that there will be no adverse public
comment. The direct final rule advised
the public that no adverse comments
were anticipated, and that unless a
written adverse comment was received
by July 6, 2010, the regulation would
become effective on July 21, 2010. No
adverse comments were received, and
thus this notice confirms that the direct
final rule will become effective on that
date.
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[Release No. 34–62520]
Technical Amendment to Rules of
Organization; Conduct and Ethics; and
Information and Requests
Securities and Exchange
Commission.
ACTION: Final rule; technical
amendment.
AGENCY:
The Securities and Exchange
Commission (‘‘Commission’’) is making
technical amendments to the rule by
which authority is delegated to the
Director of the Division of Enforcement.
The amendments update references to
the provision in the Securities Act of
1933 (‘‘Securities Act’’) which authorizes
the Commission to issue subpoenas in
investigations under the Securities Act,
and delete references to the Public
Utility Holding Company Act of 1935
(‘‘PUHCA’’).
SUMMARY:
DATES:
Effective Date: July 22, 2010.
FOR FURTHER INFORMATION CONTACT:
Kenneth H. Hall, Assistant Chief
Counsel, 202–551–4936, Office of Chief
Counsel, Division of Enforcement,
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549–6553.
SUPPLEMENTARY INFORMATION:
I. Background
The Commission is authorized to
conduct investigations of possible
violations of the Securities Act.
Specifically, section 19(c) of the
Securities Act 1 provides that,
For the purpose of any investigations
which, in the opinion of the Commission, are
necessary and proper for the enforcement of
this title, any member of the Commission or
any officer or officers designated by it are
empowered to administer oaths and
affirmations, subpena [sic] witnesses, take
evidence, and require the production of any
books, papers, or other documents which the
Commission deems relevant or material to
the inquiry. Such attendance of witnesses
and the production of such documentary
evidence may be required from any place in
the United States or any Territory at any
designated place of hearing.
1 15
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U.S.C. 77s(c).
22JYR1
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Federal Register / Vol. 75, No. 140 / Thursday, July 22, 2010 / Rules and Regulations
Section 21(b) of the Securities Exchange
Act of 1934 (‘‘Exchange Act’’),2 section
42(b) of the Investment Company Act of
1940 3 and section 209(b) of the
Investment Advisers Act of 1940 4 also
include provisions authorizing
investigations. The Sarbanes-Oxley Act
of 2002 5 amended section 19 of the
Securities Act by inserting a new
section (b), and by redesignating prior
sections (b) and (c) as sections (c) and
(d), respectively.6 As a result of the
statutory amendment, section 19(b) of
the Securities Act, which pertained to
investigations of possible Securities Act
violations, was redesignated as section
19(c). To reflect this change, the
Commission is adopting technical
amendments to Rule 30–4, which
delegates authority to the Director of its
Division of Enforcement to take certain
actions during investigations, including
investigations under the Securities Act.
Specifically, paragraphs (a)(1), (a)(4),
(a)(10), (a)(11), and (a)(13) of Rule 30–
4 7 are each being amended to refer to
‘‘section 19(c) of the Securities Act of
1933 (15 U.S.C. 77s(c)).’’
PUHCA was repealed by the Energy
Policy Act of 2005.8 To reflect this
change, the Commission is also
adopting technical amendments to Rule
30–4 to remove references to
investigations brought under PUHCA.
Specifically, paragraphs (a)(1), (a)(3),
(a)(4), (a)(10), and (a)(11) of Rule 30–4
are each being amended to remove
references to ‘‘section 18(c) of the Public
Utility Holding Company Act of 1935
(15 U.S.C. 79r(c)).’’
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II. Administrative Law Matters
Under the Administrative Procedure
Act (‘‘APA’’), notice of proposed
rulemaking is not required when an
agency, for good cause, finds that notice
and public comment are impracticable,
unnecessary, or contrary to the public
interest.’’ 9 The amendments are
technical changes, adopted solely to
update references to a statutory
provision that remains unchanged
except for its designation. For this
reason, the Commission finds that it is
unnecessary to publish notice of these
amendments. Similarly, the
amendments do not require analysis
under the Regulatory Flexibility Act or
analysis of major rule status under the
Small Business Regulatory Fairness Act.
See 5 U.S.C. 601(2) (for purposes of
2 15
U.S.C. 78u(b).
U.S.C. 80a–41(b).
4 15 U.S.C. 80b–9(b).
5 Public Law 107–204, 116 Stat. 745 (2002).
6 Section 108(a)(1) and (2).
7 17 CFR 200.30–4(a)(1), (4), (10), (11), and (13).
8 Public Law 109–58, 119 Stat. 624 (2005).
9 5 U.S.C. 553(b).
3 15
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Regulatory Flexibility Act analysis, the
term ‘‘rule’’ means any rule for which
the agency publishes a general notice of
proposed rulemaking); and 5 U.S.C.
804(3)(C) (for purposes of Congressional
review of agency rulemaking, the term
‘‘rule’’ does not include any rule of
agency organization, procedure or
practice that does not substantially
affect the rights or obligations of nonagency parties).
Section 23(a)(2) of the Exchange Act
requires the Commission, in adopting
rules under the Exchange Act, to
consider the competitive effects of such
rules.10 Because this amendment merely
makes technical changes to update
statutory references, no competitive
advantages or disadvantages would be
created.
III. Statutory Authority and Text of
Amendments
We are adopting these technical
amendments under the authority set
forth in section 23(a) of the Exchange
Act.11
List of Subjects in 17 CFR Part 200
Rules of organization, Conduct and
ethics, and Information and requests.
Text of Amendments
For the reasons set out in the
preamble, title 17, Chapter II of the Code
of Federal Regulations is amended as
follows:
■
PART 200—RULES OF
ORGANIZATION; CONDUCT AND
ETHICS; AND INFORMATION AND
REQUESTS
1. The authority citation for part 200,
subpart A, continues to read in part as
follows:
■
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d,
78d–1, 78d–2, 78w, 78ll(d), 78mm, 80a–37,
80b–11, and 7202, unless otherwise noted.
2. Section 200.30–4 is amended by
revising paragraphs (a)(1), (a)(3), (a)(4),
(a)(10), (a)(11) and (13) to read as
follows:
■
§ 200.30–4 Delegation of authority to
Director of Division of Enforcement.
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(a)(1) To designate officers
empowered to administer oaths and
affirmations, subpoena witnesses,
compel their attendance, take evidence,
and require the production of any
books, papers, correspondence,
memoranda, contracts, agreements, or
other records in the course of
investigations instituted by the
Commission pursuant to section 19(c) of
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10 15
11 15
U.S.C. 78w(a)(2).
U.S.C. 782w(a).
Frm 00030
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the Securities Act of 1933 (15 U.S.C.
77s(c)), section 21(b) of the Securities
Exchange Act of 1934 (15 U.S.C. 78u(b)),
section 42(b) of the Investment
Company Act of 1940 (15 U.S.C. 80a–
41(b)) and section 209(b) of the
Investment Advisers Act of 1940 (15
U.S.C. 80b–9(b)).
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(3) To terminate and close all
investigations authorized by the
Commission pursuant to section 20 of
the Securities Act of 1933 (15 U.S.C.
77t), section 21 of the Securities
Exchange Act of 1934 (15 U.S.C. 78u),
section 42 of the Investment Company
Act of 1940 (15 U.S.C. 80a–41) and
section 209 of the Investment Advisers
Act of 1940 (15 U.S.C. 80b–9).
(4) To terminate the authority to
administer oaths and affirmations,
subpoena witnesses, compel their
attendance, take evidence, and require
the production of any books, papers,
correspondence, memoranda, contracts,
agreements, or other records in the
course of investigations instituted by the
Commission pursuant to section 19(c) of
the Securities Act of 1933 (15 U.S.C.
77s(c)), section 21(b) of the Securities
Exchange Act of 1934 (15 U.S.C. 78u(b)),
section 42(b) of the Investment
Company Act of 1940 (15 U.S.C. 80a–
41(b)) and section 209(b) of the
Investment Advisers Act of 1940 (15
U.S.C. 80b–9(b)).
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(10) To institute subpoena
enforcement proceedings in federal
court to seek an order compelling the
production of documents or an
individual’s appearance for testimony
pursuant to subpoenas issued pursuant
to paragraph (a)(1) of this section in
connection with investigations pursuant
to section 19(c) of the Securities Act of
1933 (15 U.S.C. 77s(c)), section 21(b) of
the Securities Exchange Act of 1934 (15
U.S.C. 78u(b)), section 42(b) of the
Investment Company Act of 1940 (15
U.S.C. 80a–41(b)) and section 209(b) of
the Investment Advisers Act of 1940 (15
U.S.C. 80b–9(b)).
(11) To authorize staff to appear in
federal bankruptcy court to preserve
Commission claims in connection with
investigations pursuant to section 19(c)
of the Securities Act of 1933 (15 U.S.C.
77s(c)), section 21(b) of the Securities
Exchange Act of 1934 (15 U.S.C. 78u(b)),
section 42(b) of the Investment
Company Act of 1940 (15 U.S.C. 80a–
41(b)) and section 209(b) of the
Investment Advisers Act of 1940 (15
U.S.C. 80b–9(b)).
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(13) For the period from August 11,
2009 through August 11, 2010, to order
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Federal Register / Vol. 75, No. 140 / Thursday, July 22, 2010 / Rules and Regulations
the making of private investigations
pursuant to section 19(c) of the
Securities Act of 1933 (15 U.S.C. 77s(c)),
section 21(b) of the Securities Exchange
Act of 1934 (15 U.S.C. 78u(b)), section
42(b) of the Investment Company Act of
1940 (15 U.S.C. 80a–41(b) and section
209(b) of the Investment Advisers Act of
1940 (15 U.S.C. 80b–9(b)). Orders issued
pursuant to this delegation during this
period will continue to have effect after
August 11, 2010.
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Dated: July 16, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–17897 Filed 7–21–10; 8:45 am]
BILLING CODE 8010–01–P
DEPARTMENT OF THE TREASURY
Alcohol and Tobacco Tax and Trade
Bureau
27 CFR Part 9
[Docket No. TTB–2009–0004; T.D. TTB–86;
Re: Notice No. 97]
RIN 1513–AB64
Establishment of the Sierra Pelona
Valley Viticultural Area (2010R–004P)
Alcohol and Tobacco Tax and
Trade Bureau, Treasury.
ACTION: Final rule; Treasury decision.
AGENCY:
This Treasury decision
establishes the 9.7-square mile ‘‘Sierra
Pelona Valley’’ American viticultural
area in southern California. We
designate viticultural areas to allow
vintners to better describe the origin of
their wines and to allow consumers to
better identify wines they may
purchase.
SUMMARY:
DATES:
Effective Date: August 23, 2010.
FOR FURTHER INFORMATION CONTACT:
Christina McMahon, Regulations and
Rulings Division, Alcohol and Tobacco
Tax and Trade Bureau, 1310 G Street,
NW., Room 200–E, Washington, DC
20220; phone 202–453–2256.
SUPPLEMENTARY INFORMATION:
Background on Viticultural Areas
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TTB Authority
Section 105(e) of the Federal Alcohol
Administration Act (FAA Act), 27
U.S.C. 205(e), authorizes the Secretary
of the Treasury to prescribe regulations
for the labeling of wine, distilled spirits,
and malt beverages. The FAA Act
requires that these regulations, among
other things, prohibit consumer
deception and the use of misleading
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statements on labels, and ensure that
labels provide the consumer with
adequate information as to the identity
and quality of the product. The Alcohol
and Tobacco Tax and Trade Bureau
(TTB) administers the regulations
promulgated under the FAA Act.
Part 4 of the TTB regulations (27 CFR
part 4) allows the establishment of
definitive viticultural areas and the use
of their names as appellations of origin
on wine labels and in wine
advertisements. Part 9 of the TTB
regulations (27 CFR part 9) contains the
list of approved viticultural areas.
Definition
Section 4.25(e)(1)(i) of the TTB
regulations (27 CFR 4.25(e)(1)(i)) defines
a viticultural area for American wine as
a delimited grape-growing region
distinguishable by geographical
features, the boundaries of which have
been recognized and defined in part 9
of the regulations. These designations
allow vintners and consumers to
attribute a given quality, reputation, or
other characteristic of a wine made from
grapes grown in an area to its
geographical origin. The establishment
of viticultural areas allows vintners to
describe more accurately the origin of
their wines to consumers and helps
consumers to identify wines they may
purchase. Establishment of a viticultural
area is neither an approval nor an
endorsement by TTB of the wine
produced in that area.
Requirements
Section 4.25(e)(2) of the TTB
regulations outlines the procedure for
proposing an American viticultural area
and provides that any interested party
may petition TTB to establish a grapegrowing region as a viticultural area.
Section 9.3(b) of the TTB regulations
requires the petition to include—
• Evidence that the proposed
viticultural area is locally and/or
nationally known by the name specified
in the petition;
• Historical or current evidence that
supports setting the boundary of the
proposed viticultural area as the
petition specifies;
• Evidence relating to the
geographical features, such as climate,
soils, elevation, and physical features
that distinguish the proposed
viticultural area from surrounding areas;
• A description of the specific
boundary of the proposed viticultural
area, based on features found on United
States Geological Survey (USGS) maps;
and
• A copy of the appropriate USGS
map(s) with the proposed viticultural
area’s boundary prominently marked.
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42601
Sierra Pelona Valley Viticultural Area
Mr. Ralph Jens Carter submitted a
petition proposing the establishment of
the Sierra Pelona Valley viticultural area
on behalf of local grape growers. The
proposed viticultural area covers 9.7
square miles and contains 96 acres of
commercial vineyards. The proposed
viticultural area lies 30 miles north of
the City of Los Angeles, 35 miles east of
the Pacific Ocean, and 20 miles
southwest of the Mojave Desert. TTB
notes that the proposed viticultural area
is not within any established American
viticultural area, and that the boundary
line of the proposed viticultural area
neither overlaps nor runs along any
other proposed or established
viticultural area boundary line. The
evidence submitted in support of the
petition is summarized below.
Name Evidence
The USGS Sleepy Valley and Agua
Dulce maps identify the Sierra Pelona
Valley as a landform within Los Angeles
County. The USGS Ritter Ridge, Sleepy
Valley, and Agua Dulce maps identify
Sierra Pelona as a mountain range to the
immediate north of the proposed Sierra
Pelona Valley viticultural area.
According to the petition, the Sierra
Pelona Valley is located north of
California State Highway 14, between
the towns of Santa Clarita and Palmdale
(Los Angeles Region map, California
Regional Series, Automobile Club of
Southern California, 2006 edition). The
proposed viticultural area, including the
expansive Sierra Pelona Valley region,
is adjacent to the southern foothills of
the Sierra Pelona range (DeLorme
Southern and Central California Atlas
and Gazetteer, Seventh Edition, 2005,
page 79).
The petition explains that the large
Sierra Pelona Valley region, oriented
northeast-to-southwest, comprises
Hauser Canyon, upper Agua Dulce
Canyon, and Mint Canyon, including
Sleepy Valley. The petition states that in
local usage ‘‘Sierra Pelona’’ applies to
the expansive valley, as well as the
mountain range to the immediate north
of the valley. The Sierra Pelona Valley
is the name that best describes the
proposed viticultural area, according to
the petitioner.
Boundary Evidence
The petition provides historical,
physiographical, and geographical data
to define the boundary of the proposed
viticultural area.
Viticulture in the proposed Sierra
Pelona Valley viticultural area started in
1995, according to the petition. By 2008,
the region had 96 acres of commercial
vineyards.
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]]>Agencies
[Federal Register Volume 75, Number 140 (Thursday, July 22, 2010)]
[Rules and Regulations]
[Pages 42599-42601]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-17897]
=======================================================================
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 200
[Release No. 34-62520]
Technical Amendment to Rules of Organization; Conduct and Ethics;
and Information and Requests
AGENCY: Securities and Exchange Commission.
ACTION: Final rule; technical amendment.
-----------------------------------------------------------------------
SUMMARY: The Securities and Exchange Commission (``Commission'') is
making technical amendments to the rule by which authority is delegated
to the Director of the Division of Enforcement. The amendments update
references to the provision in the Securities Act of 1933 (``Securities
Act'') which authorizes the Commission to issue subpoenas in
investigations under the Securities Act, and delete references to the
Public Utility Holding Company Act of 1935 (``PUHCA'').
DATES: Effective Date: July 22, 2010.
FOR FURTHER INFORMATION CONTACT: Kenneth H. Hall, Assistant Chief
Counsel, 202-551-4936, Office of Chief Counsel, Division of
Enforcement, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-6553.
SUPPLEMENTARY INFORMATION:
I. Background
The Commission is authorized to conduct investigations of possible
violations of the Securities Act. Specifically, section 19(c) of the
Securities Act \1\ provides that,
---------------------------------------------------------------------------
\1\ 15 U.S.C. 77s(c).
For the purpose of any investigations which, in the opinion of
the Commission, are necessary and proper for the enforcement of this
title, any member of the Commission or any officer or officers
designated by it are empowered to administer oaths and affirmations,
subpena [sic] witnesses, take evidence, and require the production
of any books, papers, or other documents which the Commission deems
relevant or material to the inquiry. Such attendance of witnesses
and the production of such documentary evidence may be required from
any place in the United States or any Territory at any designated
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place of hearing.
[[Page 42600]]
Section 21(b) of the Securities Exchange Act of 1934 (``Exchange
Act''),\2\ section 42(b) of the Investment Company Act of 1940 \3\ and
section 209(b) of the Investment Advisers Act of 1940 \4\ also include
provisions authorizing investigations. The Sarbanes-Oxley Act of 2002
\5\ amended section 19 of the Securities Act by inserting a new section
(b), and by redesignating prior sections (b) and (c) as sections (c)
and (d), respectively.\6\ As a result of the statutory amendment,
section 19(b) of the Securities Act, which pertained to investigations
of possible Securities Act violations, was redesignated as section
19(c). To reflect this change, the Commission is adopting technical
amendments to Rule 30-4, which delegates authority to the Director of
its Division of Enforcement to take certain actions during
investigations, including investigations under the Securities Act.
Specifically, paragraphs (a)(1), (a)(4), (a)(10), (a)(11), and (a)(13)
of Rule 30-4 \7\ are each being amended to refer to ``section 19(c) of
the Securities Act of 1933 (15 U.S.C. 77s(c)).''
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\2\ 15 U.S.C. 78u(b).
\3\ 15 U.S.C. 80a-41(b).
\4\ 15 U.S.C. 80b-9(b).
\5\ Public Law 107-204, 116 Stat. 745 (2002).
\6\ Section 108(a)(1) and (2).
\7\ 17 CFR 200.30-4(a)(1), (4), (10), (11), and (13).
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PUHCA was repealed by the Energy Policy Act of 2005.\8\ To reflect
this change, the Commission is also adopting technical amendments to
Rule 30-4 to remove references to investigations brought under PUHCA.
Specifically, paragraphs (a)(1), (a)(3), (a)(4), (a)(10), and (a)(11)
of Rule 30-4 are each being amended to remove references to ``section
18(c) of the Public Utility Holding Company Act of 1935 (15 U.S.C.
79r(c)).''
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\8\ Public Law 109-58, 119 Stat. 624 (2005).
---------------------------------------------------------------------------
II. Administrative Law Matters
Under the Administrative Procedure Act (``APA''), notice of
proposed rulemaking is not required when an agency, for good cause,
finds that notice and public comment are impracticable, unnecessary, or
contrary to the public interest.'' \9\ The amendments are technical
changes, adopted solely to update references to a statutory provision
that remains unchanged except for its designation. For this reason, the
Commission finds that it is unnecessary to publish notice of these
amendments. Similarly, the amendments do not require analysis under the
Regulatory Flexibility Act or analysis of major rule status under the
Small Business Regulatory Fairness Act. See 5 U.S.C. 601(2) (for
purposes of Regulatory Flexibility Act analysis, the term ``rule''
means any rule for which the agency publishes a general notice of
proposed rulemaking); and 5 U.S.C. 804(3)(C) (for purposes of
Congressional review of agency rulemaking, the term ``rule'' does not
include any rule of agency organization, procedure or practice that
does not substantially affect the rights or obligations of non-agency
parties).
---------------------------------------------------------------------------
\9\ 5 U.S.C. 553(b).
---------------------------------------------------------------------------
Section 23(a)(2) of the Exchange Act requires the Commission, in
adopting rules under the Exchange Act, to consider the competitive
effects of such rules.\10\ Because this amendment merely makes
technical changes to update statutory references, no competitive
advantages or disadvantages would be created.
---------------------------------------------------------------------------
\10\ 15 U.S.C. 78w(a)(2).
---------------------------------------------------------------------------
III. Statutory Authority and Text of Amendments
We are adopting these technical amendments under the authority set
forth in section 23(a) of the Exchange Act.\11\
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\11\ 15 U.S.C. 782w(a).
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List of Subjects in 17 CFR Part 200
Rules of organization, Conduct and ethics, and Information and
requests.
Text of Amendments
0
For the reasons set out in the preamble, title 17, Chapter II of the
Code of Federal Regulations is amended as follows:
PART 200--RULES OF ORGANIZATION; CONDUCT AND ETHICS; AND
INFORMATION AND REQUESTS
0
1. The authority citation for part 200, subpart A, continues to read in
part as follows:
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d, 78d-1, 78d-2, 78w,
78ll(d), 78mm, 80a-37, 80b-11, and 7202, unless otherwise noted.
0
2. Section 200.30-4 is amended by revising paragraphs (a)(1), (a)(3),
(a)(4), (a)(10), (a)(11) and (13) to read as follows:
Sec. 200.30-4 Delegation of authority to Director of Division of
Enforcement.
* * * * *
(a)(1) To designate officers empowered to administer oaths and
affirmations, subpoena witnesses, compel their attendance, take
evidence, and require the production of any books, papers,
correspondence, memoranda, contracts, agreements, or other records in
the course of investigations instituted by the Commission pursuant to
section 19(c) of the Securities Act of 1933 (15 U.S.C. 77s(c)), section
21(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78u(b)),
section 42(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-
41(b)) and section 209(b) of the Investment Advisers Act of 1940 (15
U.S.C. 80b-9(b)).
* * * * *
(3) To terminate and close all investigations authorized by the
Commission pursuant to section 20 of the Securities Act of 1933 (15
U.S.C. 77t), section 21 of the Securities Exchange Act of 1934 (15
U.S.C. 78u), section 42 of the Investment Company Act of 1940 (15
U.S.C. 80a-41) and section 209 of the Investment Advisers Act of 1940
(15 U.S.C. 80b-9).
(4) To terminate the authority to administer oaths and
affirmations, subpoena witnesses, compel their attendance, take
evidence, and require the production of any books, papers,
correspondence, memoranda, contracts, agreements, or other records in
the course of investigations instituted by the Commission pursuant to
section 19(c) of the Securities Act of 1933 (15 U.S.C. 77s(c)), section
21(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78u(b)),
section 42(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-
41(b)) and section 209(b) of the Investment Advisers Act of 1940 (15
U.S.C. 80b-9(b)).
* * * * *
(10) To institute subpoena enforcement proceedings in federal court
to seek an order compelling the production of documents or an
individual's appearance for testimony pursuant to subpoenas issued
pursuant to paragraph (a)(1) of this section in connection with
investigations pursuant to section 19(c) of the Securities Act of 1933
(15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of
1934 (15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of
1940 (15 U.S.C. 80a-41(b)) and section 209(b) of the Investment
Advisers Act of 1940 (15 U.S.C. 80b-9(b)).
(11) To authorize staff to appear in federal bankruptcy court to
preserve Commission claims in connection with investigations pursuant
to section 19(c) of the Securities Act of 1933 (15 U.S.C. 77s(c)),
section 21(b) of the Securities Exchange Act of 1934 (15 U.S.C.
78u(b)), section 42(b) of the Investment Company Act of 1940 (15 U.S.C.
80a-41(b)) and section 209(b) of the Investment Advisers Act of 1940
(15 U.S.C. 80b-9(b)).
* * * * *
(13) For the period from August 11, 2009 through August 11, 2010,
to order
[[Page 42601]]
the making of private investigations pursuant to section 19(c) of the
Securities Act of 1933 (15 U.S.C. 77s(c)), section 21(b) of the
Securities Exchange Act of 1934 (15 U.S.C. 78u(b)), section 42(b) of
the Investment Company Act of 1940 (15 U.S.C. 80a-41(b) and section
209(b) of the Investment Advisers Act of 1940 (15 U.S.C. 80b-9(b)).
Orders issued pursuant to this delegation during this period will
continue to have effect after August 11, 2010.
* * * * *
Dated: July 16, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-17897 Filed 7-21-10; 8:45 am]
BILLING CODE 8010-01-P
