Delegation of Authority to the Director of Its Division of Enforcement, 39769-39770 [2011-16864]

Download as PDF Federal Register / Vol. 76, No. 130 / Thursday, July 7, 2011 / Rules and Regulations Issued in Renton, Washington, on June 23, 2011. Ali Bahrami, Manager, Transport Airplane Directorate, Aircraft Certification Service, ANM–100. [FR Doc. 2011–16295 Filed 7–6–11; 8:45 am] BILLING CODE 4910–13–P DEPARTMENT OF COMMERCE Office of the Secretary [Docket No. 110613329–1329–01] RIN 0605–AA29 15 CFR Part 4 Disclosure of Government Information Department of Commerce. Final rule. AGENCY: ACTION: This rule amends the Department of Commerce’s (Department) Freedom of Information Act (FOIA) regulations by changing the officials authorized to deny requests for records under the Freedom of Information Act, and requests for correction or amendment under the Privacy Act (PA), for the Office of Inspector General. DATES: Effective Date: July 7, 2011. FOR FURTHER INFORMATION CONTACT: Wade Green, Jr., Counsel to the Inspector General, Office of Inspector General, 202–482–5992. SUPPLEMENTARY INFORMATION: The regulations at Appendix B to 15 CFR part 4 designate the officials authorized to deny requests for records under the FOIA, and requests for records and requests for correction or amendment under the PA. The Department of Commerce amends these regulations by changing the designated officials for the ‘‘Office of Inspector General from the Counsel to the Inspector General; Deputy Counsel to the Inspector General’’ to the ‘‘FOIA Officer; Senior Associate Counsel to the Inspector General.’’ SUMMARY: wwoods2 on DSK1DXX6B1PROD with RULES_PART 1 Classification Executive Order 12866: It has been determined that this notice is not significant for purposes of E.O. 12866. Executive Order 13132: It has been determined that this notice does not contain policies with Federalism implications as that term is defined in E.O. 13132. Paperwork Reduction Act: This rule does not involve a collection of information and, therefore, does not implicate requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 5201 et seq.) (PRA). VerDate Mar<15>2010 13:26 Jul 06, 2011 Jkt 223001 Notwithstanding any other provisions of law, no person is required to respond to nor be subject to a penalty for failure to comply with a collection of information, subject to the requirements of the PRA, unless that collection of information displays a currently valid Office of Management and Budget (OMB) Control Number. Administrative Procedure Act: Pursuant to 5 U.S.C. 553(b)(A), prior notice and an opportunity for public comment are not required by the Administrative Procedure Act for rules concerning agency organization, procedure, or practice. This rule merely changes the name of the officials who are authorized to deny requests for records under the Freedom of Information Act, and requests for correction or amendment under the Privacy Act. Pursuant to 5 U.S.C. 553(e), the Department finds good cause to waive the 30-day delay in effectiveness. This rule merely changes the name of the officials who are authorized to deny requests for records under the Freedom of Information Act, and requests for correction or amendment under the Privacy Act. Regulatory Flexibility Act: Because notice and opportunity for comment are not required pursuant to 5 U.S.C. 553 or any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) are inapplicable. Therefore, a regulatory flexibility analysis is not required and has not been prepared. List of Subjects in 15 CFR Part 4 Freedom of information, Privacy. For the reasons above, amend 15 CFR Part 4 as follows: PART 4—DISCLOSURE OF GOVERNMENT INFORMATION 1. The authority citation for part 4 continues to read as follows: ■ Authority: 5 U.S.C. 301; 5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C. 553; 31 U.S.C. 3717; 44 U.S.C. 3101; Reorganization Plan No. 5 of 1950. Appendix B to Part 4—[Amended] 2. In Appendix B to part 4, under the heading OFFICE OF THE SECRETARY, remove ‘‘Office of the Inspector General: Counsel to the Inspector General; Deputy Counsel to the Inspector General’’ and add in its place ‘‘Office of the Inspector General: FOIA Officer; Senior Associate Counsel to the Inspector General.’’ ■ PO 00000 Frm 00007 Fmt 4700 Sfmt 4700 39769 Dated: June 29, 2011. Jonathan R. Cantor, Chief Privacy Officer. [FR Doc. 2011–17016 Filed 7–6–11; 8:45 am] BILLING CODE 3510–55–P SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 [Release No. 34–64778] Delegation of Authority to the Director of Its Division of Enforcement Securities and Exchange Commission. ACTION: Final rule. AGENCY: The Commission is amending its rules to delegate authority to the Director of the Division of Enforcement to disclose information that could reasonably be expected to reveal the identity of a whistleblower (‘‘whistleblower identifying information’’) to those persons to whom disclosure may be made without loss of confidentiality under the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ‘‘Dodd-Frank Act’’). DATES: Effective Date: July 7, 2011. 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: Section 922 of the Dodd-Frank Act, Public Law 111–203, 124 Stat. 1376, 1841 (2010), added Section 21F to the Securities Exchange Act of 1934, 15 U.S.C. 78u–6, which creates a new program authorizing the Commission to make monetary awards to whistleblowers who provide the Commission with ‘‘original information’’ that leads to the successful enforcement of a ‘‘covered judicial or administrative action’’ or a ‘‘related action,’’ as those terms are defined in Section 21F(a), 15 U.S.C. 78u–6(a). Awards may be paid in connection with original information concerning any violation of the federal securities laws, and may range from 10 to 30 percent of the amounts collected as monetary sanctions imposed in the covered judicial or administrative action brought by the Commission or in related actions brought by other entities identified in the statute. To protect the identity of whistleblowers, Section 21F(h)(2)(A), 15 U.S.C. 78u–6(h)(2)(A) provides that, SUMMARY: E:\FR\FM\07JYR1.SGM 07JYR1 wwoods2 on DSK1DXX6B1PROD with RULES_PART 1 39770 Federal Register / Vol. 76, No. 130 / Thursday, July 7, 2011 / Rules and Regulations except as otherwise permitted by that subsection, the Commission ‘‘shall not disclose any information, including information provided by a whistleblower to the Commission, which could reasonably be expected to reveal the identity of a whistleblower.’’ Such information may be disclosed by the Commission under Section 21F(h)(2)(A) to those entities identified in Section 21F(h)(2)(D)(i), 15 U.S.C. 78u–6(h)(2)(D)(i), ‘‘when necessary to accomplish the purposes of [the Securities Exchange Act] and to protect investors.’’ Otherwise, such information may be disclosed by the Commission only in accordance with the provisions of the Privacy Act of 1974, 5 U.S.C. 552a, ‘‘unless and until required to be disclosed to a defendant or respondent in connection with a public proceeding instituted by the Commission or any entity described in [Section 21F(h)(2)(D)(i)].’’ Whistleblower identifying information may be disclosed by the Commission to the following entities listed in Section 21F(h)(2)(D)(i): The Attorney General of the United States; an appropriate regulatory authority; a self-regulatory organization; a State attorney general in connection with any criminal investigation; any appropriate State regulatory authority; the Public Company Accounting Oversight Board; a foreign securities authority; or a foreign law enforcement authority. Domestic entities to which the Commission discloses such information ‘‘shall maintain such information as confidential in accordance with the requirements established under [Section 21F(h)(2)(A].’’ Section 21F(h)(2)(D)(ii)(I), 15 U.S.C. 78u– 6(h)(2)(D)(ii)(I). Foreign securities authorities and foreign law enforcement authorities to which the Commission discloses such information ‘‘shall maintain such information in accordance with such assurances of confidentiality as the Commission determines appropriate.’’ Section 21F(h)(2)(D)(ii)(II), 15 U.S.C. 78u– 6(h)(2)(D)(ii)(II). The Commission is delegating authority to the Director of the Division of Enforcement to disclose whistleblower identifying information to the entities described in Section 21F(h)(2)(D), in accordance with the restrictions of Section 21F(h)(2)(A) and (D). The delegation will increase investor protection by facilitating administration of the whistleblower award program and the investigations and actions by those agencies and authorities that may receive whistleblower identifying information pursuant to this delegation. VerDate Mar<15>2010 13:26 Jul 06, 2011 Jkt 223001 Administrative Law Matters The Commission finds, in accordance with the Administrative Procedure Act (‘‘APA’’) (5 U.S.C. 553(b)(3)(A)), that this amendment relates solely to agency organization, procedure, or practice and does not relate to a substantive rule. Accordingly, the provisions of the APA regarding notice of the proposed rulemaking, opportunities for public participation, and publication of the amendment prior to its effective date, 5 U.S.C. 553, are not applicable. For the same reason, and because this amendment does not substantively affect the rights or obligations of nonagency parties, the provisions of the Small Business Regulatory Enforcement Fairness Act, 5 U.S.C. 804(3)(C), are not applicable. Additionally, the provisions of the Regulatory Flexibility Act, which apply only when notice and comment are required by the APA or other law, 5 U.S.C. 603, are not applicable. Further, because the amendment imposes no new burdens on parties in investigations, the Commission does not believe it will have any anti-competitive effects for purposes of Section 23(a)(2) of the Securities Exchange Act, 15 U.S.C. 78w(a)(2). Finally, this amendment does not contain any collection of information requirements as defined by the Paperwork Reduction Act of 1980, as amended. Accordingly, the amendment is effective July 7, 2011. List of Subjects in 17 CFR Part 200 Administrative practice and procedure, Authority delegations (Government agencies). Text of Amendment For the reasons set out in the preamble, Title 17, Chapter II of the Code of Federal Regulations is amended as follows: PART 200—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 adding paragraph (a)(16) to read as follows: ■ § 200.30–4 Delegation of authority to Director of Division of Enforcement. * * * * * (a) * * * (16) To disclose information, in accordance with Section 21F(h)(2) of the PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 Securities Exchange Act of 1934 (15 U.S.C. 78u–6(h)(2)), that would reveal, or could reasonably be expected to reveal, the identity of a whistleblower. * * * * * By the Commission. Dated: June 30, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–16864 Filed 7–6–11; 8:45 am] BILLING CODE 8011–01–P DEPARTMENT OF COMMERCE International Trade Administration 19 CFR Part 351 [Docket No. 0612243022–1049–01] RIN 0625–AA66 Interim Final Rule on Certification of Factual Information To Import Administration During Antidumping and Countervailing Duty Proceedings: Reopening of Rebuttal Comment Period Import Administration, International Trade Administration, Department of Commerce. ACTION: Notice of reopening of rebuttal comment period. AGENCY: The Department of Commerce (‘‘the Department’’) is reopening the public comment period for the submission of rebuttal comments on the Interim Final Rule on Certification of Factual Information to Import Administration During Antidumping and Countervailing Duty Proceedings due to recent technical difficulties with filing comments on the Federal eRulemaking Portal (‘‘Portal’’). DATES: The submission period for public rebuttal comments is reopened through July 14, 2011. ADDRESSES: All rebuttal comments must be submitted through the Portal at http://www.regulations.gov, Docket No. ITA–2010–0007, unless the commenter does not have access to the Internet. Commenters who do not have access to the Internet may submit the original and two copies of each set of comments by mail or hand delivery/courier. All rebuttal comments should refer to RIN 0625–AA66 and should be addressed to Ronald K. Lorentzen, Deputy Assistant Secretary for Import Administration, Room 1870, Department of Commerce, 14th Street and Constitution Ave., NW., Washington, DC 20230. The Department will consider all rebuttal comments received before the close of the reopened comment period. SUMMARY: E:\FR\FM\07JYR1.SGM 07JYR1

Agencies

[Federal Register Volume 76, Number 130 (Thursday, July 7, 2011)]
[Rules and Regulations]
[Pages 39769-39770]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-16864]



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SECURITIES AND EXCHANGE COMMISSION



17 CFR Part 200



[Release No. 34-64778]




Delegation of Authority to the Director of Its Division of 

Enforcement



AGENCY: Securities and Exchange Commission.



ACTION: Final rule.



-----------------------------------------------------------------------



SUMMARY: The Commission is amending its rules to delegate authority to 

the Director of the Division of Enforcement to disclose information 

that could reasonably be expected to reveal the identity of a 

whistleblower (``whistleblower identifying information'') to those 

persons to whom disclosure may be made without loss of confidentiality 

under the whistleblower provisions of the Dodd-Frank Wall Street Reform 

and Consumer Protection Act (the ``Dodd-Frank Act'').



DATES: Effective Date: July 7, 2011.



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: Section 922 of the Dodd-Frank Act, Public 

Law 111-203, 124 Stat. 1376, 1841 (2010), added Section 21F to the 

Securities Exchange Act of 1934, 15 U.S.C. 78u-6, which creates a new 

program authorizing the Commission to make monetary awards to 

whistleblowers who provide the Commission with ``original information'' 

that leads to the successful enforcement of a ``covered judicial or 

administrative action'' or a ``related action,'' as those terms are 

defined in Section 21F(a), 15 U.S.C. 78u-6(a). Awards may be paid in 

connection with original information concerning any violation of the 

federal securities laws, and may range from 10 to 30 percent of the 

amounts collected as monetary sanctions imposed in the covered judicial 

or administrative action brought by the Commission or in related 

actions brought by other entities identified in the statute.

    To protect the identity of whistleblowers, Section 21F(h)(2)(A), 15 

U.S.C. 78u-6(h)(2)(A) provides that,



[[Page 39770]]



except as otherwise permitted by that subsection, the Commission 

``shall not disclose any information, including information provided by 

a whistleblower to the Commission, which could reasonably be expected 

to reveal the identity of a whistleblower.'' Such information may be 

disclosed by the Commission under Section 21F(h)(2)(A) to those 

entities identified in Section 21F(h)(2)(D)(i), 15 U.S.C. 78u-

6(h)(2)(D)(i), ``when necessary to accomplish the purposes of [the 

Securities Exchange Act] and to protect investors.'' Otherwise, such 

information may be disclosed by the Commission only in accordance with 

the provisions of the Privacy Act of 1974, 5 U.S.C. 552a, ``unless and 

until required to be disclosed to a defendant or respondent in 

connection with a public proceeding instituted by the Commission or any 

entity described in [Section 21F(h)(2)(D)(i)].''

    Whistleblower identifying information may be disclosed by the 

Commission to the following entities listed in Section 21F(h)(2)(D)(i): 

The Attorney General of the United States; an appropriate regulatory 

authority; a self-regulatory organization; a State attorney general in 

connection with any criminal investigation; any appropriate State 

regulatory authority; the Public Company Accounting Oversight Board; a 

foreign securities authority; or a foreign law enforcement authority. 

Domestic entities to which the Commission discloses such information 

``shall maintain such information as confidential in accordance with 

the requirements established under [Section 21F(h)(2)(A].'' Section 

21F(h)(2)(D)(ii)(I), 15 U.S.C. 78u-6(h)(2)(D)(ii)(I). Foreign 

securities authorities and foreign law enforcement authorities to which 

the Commission discloses such information ``shall maintain such 

information in accordance with such assurances of confidentiality as 

the Commission determines appropriate.'' Section 21F(h)(2)(D)(ii)(II), 

15 U.S.C. 78u-6(h)(2)(D)(ii)(II).

    The Commission is delegating authority to the Director of the 

Division of Enforcement to disclose whistleblower identifying 

information to the entities described in Section 21F(h)(2)(D), in 

accordance with the restrictions of Section 21F(h)(2)(A) and (D). The 

delegation will increase investor protection by facilitating 

administration of the whistleblower award program and the 

investigations and actions by those agencies and authorities that may 

receive whistleblower identifying information pursuant to this 

delegation.



Administrative Law Matters



    The Commission finds, in accordance with the Administrative 

Procedure Act (``APA'') (5 U.S.C. 553(b)(3)(A)), that this amendment 

relates solely to agency organization, procedure, or practice and does 

not relate to a substantive rule. Accordingly, the provisions of the 

APA regarding notice of the proposed rulemaking, opportunities for 

public participation, and publication of the amendment prior to its 

effective date, 5 U.S.C. 553, are not applicable. For the same reason, 

and because this amendment does not substantively affect the rights or 

obligations of non-agency parties, the provisions of the Small Business 

Regulatory Enforcement Fairness Act, 5 U.S.C. 804(3)(C), are not 

applicable. Additionally, the provisions of the Regulatory Flexibility 

Act, which apply only when notice and comment are required by the APA 

or other law, 5 U.S.C. 603, are not applicable. Further, because the 

amendment imposes no new burdens on parties in investigations, the 

Commission does not believe it will have any anti-competitive effects 

for purposes of Section 23(a)(2) of the Securities Exchange Act, 15 

U.S.C. 78w(a)(2). Finally, this amendment does not contain any 

collection of information requirements as defined by the Paperwork 

Reduction Act of 1980, as amended. Accordingly, the amendment is 

effective July 7, 2011.



List of Subjects in 17 CFR Part 200



    Administrative practice and procedure, Authority delegations 

(Government agencies).



Text of Amendment



    For the reasons set out in the preamble, Title 17, Chapter II of 

the Code of Federal Regulations is amended as follows:



PART 200--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 adding paragraph (a)(16) to read as 

follows:





Sec.  200.30-4  Delegation of authority to Director of Division of 

Enforcement.



* * * * *

    (a) * * *

    (16) To disclose information, in accordance with Section 21F(h)(2) 

of the Securities Exchange Act of 1934 (15 U.S.C. 78u-6(h)(2)), that 

would reveal, or could reasonably be expected to reveal, the identity 

of a whistleblower.

* * * * *



    By the Commission.



    Dated: June 30, 2011.

Elizabeth M. Murphy,

Secretary.

[FR Doc. 2011-16864 Filed 7-6-11; 8:45 am]

BILLING CODE 8011-01-P