Reassignment of Commission Staff Responsibilities and Delegations of Authority, 22418-22421 [2013-08353]
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Federal Register / Vol. 78, No. 73 / Tuesday, April 16, 2013 / Rules and Regulations
PART 71—DESIGNATION OF CLASS A,
B, C, D AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND
REPORTING POINTS
1. The authority citation for 14 CFR
Part 71 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.
§ 71.1
[Amended]
2. The incorporation by reference in
14 CFR Part 71.1 of the Federal Aviation
Administration Order 7400.9W,
Airspace Designations and Reporting
Points, dated August 8, 2012, and
effective September 15, 2012 is
amended as follows:
■
Paragraph 6005 Class E airspace areas
extending upward from 700 feet or more
above the surface of the earth.
*
*
*
*
*
ANM OR E5 Lakeview, OR [Modified]
Lakeview County Airport, OR
(Lat. 42°09′40″ N., long. 120°23′57″ W.)
That airspace extending upward from 700
feet above the surface within a 4.3-mile
radius of the Lakeview County Airport, and
within 1.8 miles each side of the 180° bearing
of the airport extending from the 4.3-mile
radius to 7 miles south of the airport; that
airspace extending upward from 1,200 feet
above the surface bounded by a line
beginning at lat. 42°50′00″ N., long.
120°57′00″ W.; to lat. 42°54′00″ N., long.
120°22′00″ W.; to lat. 41°23′00″ N., long.
119°52′00″ W.; to lat. 41°17′00″ N., long.
120°25′00″ W.; to lat. 41°41′00″ N., long.
120°41′00″ W., thence to the point of
beginning; that airspace extending upward
from 10,500 feet MSL bounded on the north
by lat. 44°00′00″ N., on the east by a line
extending from lat. 44°00′00″ N., long.
120°00′04″ W., to the north edge of V–122 at
long. 119°00′04″ W., on the south by the
north edge of V–122, and on the west by the
east edge of V–165.
Issued in Seattle, Washington, on April 2,
2013.
Clark Desing,
Manager, Operations Support Group, Western
Service Center.
[FR Doc. 2013–08812 Filed 4–15–13; 8:45 am]
BILLING CODE 4910–13–P
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COMMODITY FUTURES TRADING
COMMISSION
17 CFR Parts 1, 3, 5, 9, 11, 31, 40, 41,
140, 145, 170, 171 and 190
RIN 3038–AE03
Reassignment of Commission Staff
Responsibilities and Delegations of
Authority
Commodity Futures Trading
Commission.
AGENCY:
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ACTION:
Final rule.
SUMMARY: The Commission is amending
its regulations to reflect the
reassignment of responsibilities,
including delegations of authority,
resulting from its recent reorganization
of Commission staff. Effective October 9,
2011, the Commission abolished the
Division of Clearing and Intermediary
Oversight and reassigned its staff and
responsibilities to the newly established
Division of Swap Dealer and
Intermediary Oversight and Division of
Clearing and Risk.
DATES: These amendments shall become
effective on April 16, 2013.
FOR FURTHER INFORMATION CONTACT:
Frank Fisanich, Chief Counsel,
Telephone: (202) 418–5949, Email:
ffisanich@cftc.gov, Amanda Lesher
Olear, Special Counsel, Telephone:
(202) 418–5283, Email: aolear@cftc.gov,
Division of Swap Dealer and
Intermediary Oversight; or Robert
Wasserman, Chief Counsel, Telephone:
(202) 418–5092, Email:
rwasserman@cftc.gov, Jocelyn Partridge,
Special Counsel, Telephone: (202) 418–
5926, Email: jpartridge@cftc.gov,
Division of Clearing and Risk,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
SUPPLEMENTARY INFORMATION:
I. Background
On July 21, 2010, President Obama
signed the Dodd-Frank Wall Street
Reform and Consumer Protection Act
(‘‘Dodd-Frank Act’’),1 which extensively
revises the Commodity Exchange Act.2
In order to more effectively implement
its provisions, the Commission has
reorganized its operating divisions.
Under the reorganized structure, the
Division of Clearing and Intermediary
Oversight has been reconfigured into
two new divisions: the Division of Swap
Dealer and Intermediary Oversight and
the Division of Clearing and Risk.
The Commission is amending its
regulations to reflect this reorganized
structure. Accordingly, as indicated in
the chart below, the Commission is
deleting references to the former
division and replacing them with
references to the new divisions in the
Commission’s regulations. As amended,
the regulations will reflect new
assignments of responsibilities,
1 See Dodd-Frank Wall Street Reform and
Consumer Protection Act, Public Law 111–203, 124
Stat. 1376 (2010). The text of the Dodd-Frank Act
may be accessed at https://www.cftc.gov./
LawRegulation/OTCDERIVATIVES/index.htm.
2 The Commodity Exchange Act may be found at
7 U.S.C. 1 et seq.
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including delegated authorities, to the
new divisions.
II. Related Matters
A. Administrative Procedure Act
The amendments to the Commission’s
regulations in this rulemaking do not
establish any new substantive or
legislative rules, but rather relate solely
to the restructuring of responsibilities
within the Commission, including
amendments re-delegating authority to
newly formed divisions, and therefore
relate solely to agency organization,
procedure, and practice. Therefore, this
rulemaking is excepted from the public
rulemaking provisions of the
Administrative Procedure Act.3
Additionally, as the revisions to the
Commission’s regulations in this
rulemaking will not cause any party to
undertake efforts to comply with the
regulations as revised, the Commission
has determined to make this rulemaking
effective upon publication in the
Federal Register.4
B. Regulatory Flexibility Act
The Regulatory Flexibility Act
requires the Commission to consider
whether the regulations it adopts will
have a significant economic impact on
a substantial number of small entities.5
The Commission is obligated to conduct
a regulatory flexibility analysis for any
rule for which the agency publishes a
general notice of proposed rulemaking
pursuant to section 553(b) of the
Administrative Procedure Act.6 This
rulemaking is excepted from the public
rulemaking provisions of the
Administrative Procedure Act.
Accordingly, the Commission is not
obligated to conduct a regulatory
flexibility analysis for this rulemaking.
C. Paperwork Reduction Act
The Commission may not conduct or
sponsor, and a respondent is not
required to respond to, a collection of
information contained in a rulemaking
unless the information collection
displays a currently valid control
number issued by the Office of
Management and Budget (‘‘OMB’’)
pursuant to the Paperwork Reduction
Act.7 This rulemaking contains no
collection of information for which the
Commission is obligated to obtain a
control number from OMB.
35
U.S.C. 553(b).
5 U.S.C. 553(d).
5 See 5 U.S.C. 601 et seq.
6 5 U.S.C. 601(2).
7 See 44 U.S.C. 3501 et seq.
4 See
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Federal Register / Vol. 78, No. 73 / Tuesday, April 16, 2013 / Rules and Regulations
List of Subjects in 17 CFR Part 140
Authority delegations (Government
agencies), Organization and functions
(Government agencies).
For the reasons stated in the
preamble, the Commission hereby
amends chapter I of title 17 of the Code
of Federal Regulations as follows:
PARTS 1, 3, 5, 9, 11, 31, 40, 41, 140,
145, 170, 171, and 190—[AMENDED]
1. For each section and paragraph
indicated in the left column of the
■
22419
following table, remove the division
name or title indicated in the middle
column from wherever it appears in the
section or paragraph, and add in its
place the division name or title
indicated in the right column:
Remove
Add
1.12(g)(3) .............................
1.12(h) ..................................
1.17(c)(6)(ii)(A) .....................
1.17(c)(6)(ii)(D) .....................
1.17(c)(6)(iii)(B) ....................
1.65(d) ..................................
1.66(b)(5)(ii) .........................
3.22 introductory text ...........
3.50(c) ..................................
3.50(d) ..................................
3.55(e)(2) .............................
3.56(e)(2) .............................
3.63 ......................................
3.70(a) ..................................
3.70(a) ..................................
Pt. 3 app. A, note 2 .............
5.6(f)(3) ................................
5.6(h) ....................................
5.20(d) (2 references) ..........
5.23(f) ...................................
9.2(h) ....................................
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Attn: Deputy Director, Compliance and Registration
Section, Division of Clearing and Intermediary Oversight.
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
9.26 ......................................
Division of Clearing and Intermediary Oversight ............
9.31(a) ..................................
Division Clearing and Intermediary Oversight ................
11.2(a) ..................................
the Director of the Division of Clearing and Intermediary
Oversight.
31.13(n)(1) (2 references) ....
31.14(a) ................................
40.7(a)(1) .............................
40.7(a)(2) .............................
40.7(a)(3) .............................
40.7(a)(4) .............................
40.7(b) ..................................
40.7(c) ..................................
41.3(d) ..................................
Pt. 140 Table of Contents
(140.75).
Pt. 140 Table of Contents
(140.91).
Pt. 140 Table of Contents
(140.93).
Pt. 140 Table of Contents
(140.94).
140.72(a) ..............................
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Section
Division
Division
Division
Division
Division
Division
Division
Division
Division
Division
Division of Trading and Markets .....................................
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Attn: Deputy Director, Registration and Compliance
Branch, Division of Swap Dealer and Intermediary
Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight
and Division of Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight
and Division of Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight
and Division of Clearing and Risk.
the Director of the Division of Swap Dealer and Intermediary Oversight and the Director of the Division of
Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Clearing and Risk.
Division of Clearing and Risk.
Division of Clearing and Risk.
Division of Clearing and Risk.
Division of Clearing and Risk.
Division of Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Clearing and Intermediary Oversight ............
Division of Swap Dealer and Intermediary Oversight.
Director of the Division of Clearing and Risk .................
140.73(a) ..............................
Director of the Division of Clearing and Intermediary
Oversight or, in his or her absence, each Deputy Director of the Division of Clearing and Intermediary
Oversight.
Directors of the Division of Clearing and Risk and the
Division of Swap Dealer and Intermediary Oversight.
Director of the Division of Swap Dealer and Intermediary Oversight, the Chief Counsel of the Division
of Swap Dealer and Intermediary Oversight, each
Deputy Director of the Division of Swap Dealer and
Intermediary Oversight, the Director of the Division of
Clearing and Risk, the Chief Counsel of the Division
of Clearing and Risk, each Deputy Director of the Division of Clearing and Risk.
Director of the Division of Swap Dealer and Intermediary Oversight or, in his or her absence, the
Chief Counsel of the Division of Swap Dealer and
Intermediary Oversight, each Deputy Director of the
Division of Swap Dealer and Intermediary Oversight,
the Director of the Division of Clearing and Risk or, in
his or her absence, the Chief Counsel of the Division
of Clearing and Risk, each Deputy Director of the Division of Clearing and Risk.
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of
of
of
of
of
of
of
of
of
of
Clearing
Clearing
Clearing
Clearing
Clearing
Clearing
Clearing
Clearing
Clearing
Clearing
and
and
and
and
and
and
and
and
and
and
Intermediary
Intermediary
Intermediary
Intermediary
Intermediary
Intermediary
Intermediary
Intermediary
Intermediary
Intermediary
Oversight
Oversight
Oversight
Oversight
Oversight
Oversight
Oversight
Oversight
Oversight
Oversight
............
............
............
............
............
............
............
............
............
............
Director of the Division of Clearing and Intermediary
Oversight, each Deputy Director of the Division of
Clearing and Intermediary Oversight.
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22420
Federal Register / Vol. 78, No. 73 / Tuesday, April 16, 2013 / Rules and Regulations
Section
Remove
Add
140.75 (section heading and
2 references).
140.76(a) ..............................
Division of Clearing and Intermediary Oversight ............
140.76(b) ..............................
Director of the Division of Clearing and Intermediary
Oversight.
140.91 (section heading) .....
140.91(a) ..............................
140.91(b) ..............................
140.92(a) ..............................
Division
Division
Division
Division
140.92(b) ..............................
Division of Clearing and Intermediary Oversight ............
140.92(c) ..............................
Division of Clearing and Intermediary Oversight ............
140.93 (section heading) .....
140.93(a) ..............................
140.93(b) ..............................
140.93(c) ..............................
140.95(a) ..............................
Division
Division
Division
Division
Division
140.95(b) ..............................
Division of Clearing and Intermediary Oversight ............
140.95(c) ..............................
Division of Clearing and Intermediary Oversight ............
140.96(b) ..............................
the Director of the Division of Clearing and Intermediary
Oversight or the Director’s designee.
140.96(c) ..............................
Director of the Division of Clearing and Intermediary
Oversight.
140.96(d) ..............................
Director of the Division of Clearing and Intermediary
Oversight.
140.99(a)(5) .........................
Division of Clearing and Intermediary Oversight ............
Part 145, App. A, (g) ............
Pt. 170 (Table of Contents)
Division of Clearing and Intermediary Oversight ............
170.12 Delegation of Authority to Director of the Division of Clearing and Intermediary Oversight.
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Director of the Division of Swap Dealer and Intermediary Oversight, the Director of the Division of
Clearing and Risk.
Director of the Division of Swap Dealer and Intermediary Oversight, the Director of the Division of
Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
Division of Clearing and Risk and Division of Swap
Dealer and Intermediary Oversight.
the Director of Swap Dealer and Intermediary Oversight
or the Director’s designee, and to the Director of the
Division of Clearing and Risk or the Director’s designee.
Director of the Division of Swap Dealer and Intermediary Oversight or the Director of the Division of
Clearing and Risk.
Director of the Division of Swap Dealer and Intermediary Oversight or the Director of the Division of
Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight,
the Division of Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight.
170.12 Delegation of Authority to Director of the Division of Swap Dealer and Intermediary Oversight.
Division of Swap Dealer and Intermediary Oversight.
170.12 (section heading and
1 reference).
171.28 ..................................
Director of the Division of Clearing and Intermediary
Oversight.
of
of
of
of
of
of
of
of
of
Trading and Markets .....................................
Clearing and Intermediary Oversight ............
Clearing and Intermediary Oversight ............
Clearing and Intermediary Oversight ............
Clearing
Clearing
Clearing
Clearing
Clearing
and Intermediary Oversight ............
and Intermediary Oversight ............
and Intermediary Oversight ............
Intermediary Oversight ...................
and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
190.10(b)(4) .........................
Director of the Division of Clearing and Intermediary
Oversight, or such members of the Commission’s
staff acting under his direction as he may designate,
on the basis of the information provided in any such
request, shall determine, in his sole discretion.
190.10(d) heading ................
190.10(d)(1) .........................
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171.31(a) ..............................
Division of Clearing and Intermediary Oversight ............
Director of the Division of Clearing and Intermediary
Oversight, and to such members of the Commission’s staff acting under his direction as he may designate.
190.10(d)(2) .........................
190.10(d)(3) .........................
Division of Clearing and Intermediary Oversight ............
Division of Clearing and Intermediary Oversight ............
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Division of Swap Dealer and Intermediary Oversight
and the Division of Clearing and Risk.
Division of Swap Dealer and Intermediary Oversight
and the Division of Clearing and Risk.
Director of the Division of Clearing and Risk, or such
members of the Commission’s staff acting under his
direction as he may designate, on the basis of the information provided in any such request, shall determine, after consultation with the Director of the Division of Swap Dealer and Intermediary Oversight, or
such member of the Commission’s staff under his direction as he may designate, unless exigent circumstances require immediate action precluding
such prior consultation.
Division of Clearing and Risk.
Director of the Division of Clearing and Risk, and to
such members of the Commission’s staff acting
under his direction as he may designate, after consultation with the Director of the Division of Swap
Dealer and Intermediary Oversight, or such member
of the Commission’s staff under his direction as he
may designate, unless exigent circumstances require
immediate action.
Division of Clearing and Risk.
Division of Clearing and Risk.
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Federal Register / Vol. 78, No. 73 / Tuesday, April 16, 2013 / Rules and Regulations
PART 140—ORGANIZATION,
FUNCTIONS, AND PROCEDURES OF
THE COMMISSION
2. The authority citation for Part 140
is revised to read as follows:
■
Authority: 7 U.S.C. 2(a)(12), 13(c), 13(d),
13(e), and 16(b).
3. Section 140.94 is revised to read as
follows:
■
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§ 140.94 Delegation of authority to the
Director of the Division of Swap Dealer and
Intermediary Oversight and the Director of
the Division of Clearing and Risk.
(a) The Commission hereby delegates,
until such time as the Commission
orders otherwise, the following
functions to the Director of the Division
of Swap Dealer and Intermediary
Oversight and to such members of the
Commission’s staff acting under his or
her direction as he or she may designate
from time to time:
(1) All functions reserved to the
Commission in § 5.7 of this chapter;
(2) All function reserved to the
Commission in § 5.10 of this chapter;
(3) All functions reserved to the
Commission in § 5.11 of this chapter;
(4) All functions reserved to the
Commission in § 5.12 of this chapter,
except for those relating to nonpublic
treatment of reports set forth in § 5.12(i)
of this chapter; and
(5) All functions reserved to the
Commission in § 5.14 of this chapter.
(b) The Director of the Division of
Swap Dealer and Intermediary
Oversight may submit any matter which
has been delegated to him or her under
paragraph (a) of this section to the
Commission for its consideration.
(c) The Commission hereby delegates,
until such time as the Commission
orders otherwise, the following function
to the Director of the Division of
Clearing and Risk and to such members
of the Commission’s staff acting under
his or her direction as he or she may
designate from time to time:
(1) All functions reserved to the
Commission in §§ 39.3(a)(1), (a)(2),
(a)(3), 39.3(b)(1), and 39.3(f)(4) of this
chapter;
(2) All functions reserved to the
Commission in § 39.4(a) of this chapter;
(3) All functions reserved to the
Commission in § 39.5(b)(2), (b)(3)(ix),
(c)(1), and (d)(3) of this chapter;
(4) All functions reserved to the
Commission in § 39.10(c)(4)(iv) of this
chapter;
(5) All functions reserved to the
Commission in § 39.11(b)(1)(vi),
(b)(2)(ii), (c)(1), (c)(2), (f)(1), and (f)(4) of
this chapter;
(6) All functions reserved to the
Commission in § 39.12(a)(5)(i)(B) of this
chapter;
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(7) All functions reserved to the
Commission in § 39.13(g)(8)(ii),
(h)(1)(i)(C), (h)(1)(ii), (h)(3)(i), (h)(3)(ii),
and (h)(5)(i)(A) of this chapter;
(8) The authority to request additional
information in support of a rule
submission under § 39.15(b)(2)(iii)(A) of
this chapter and in support of a petition
pursuant to section 4d of the Act under
§ 39.15(b)(2)(iii)(B) of this chapter;
(9) All functions reserved to the
Commission in § 39.19(c)(3)(iv), (c)(5)(i),
(c)(5)(ii), and (c)(5)(iii) of this chapter;
(10) All functions reserved to the
Commission in § 39.20(a)(5); and
(11) All functions reserved to the
Commission in § 39.21(d) of this
chapter.
(d) The Director of Clearing and Risk
may submit any matter which has been
delegated to him or her under paragraph
(c) of this section to the Commission for
its consideration.
(e) Nothing in this section may
prohibit the Commission, at its election,
from exercising the authority delegated
to the Director of the Division of Swap
Dealers and Intermediary Oversight
under paragraph (a) or to the Director of
the Division of Clearing and Risk under
paragraph (c) of this section.
■ 4. Amend § 140.99 to revise paragraph
(d)(2) to read as follows:
§ 140.99 Requests for exemptive, noaction and interpretative letters.
*
*
*
*
*
(d) * * *
(2)(i) A request for a Letter relating to
the provisions of the Act or the
Commission’s rules, regulations or
orders governing designated contract
markets, registered swap execution
facilities, registered swap data
repositories, registered foreign boards of
trade, exempt commercial markets,
exempt boards of trade, the nature of
particular transactions and whether they
are exempt or excluded from being
required to be traded on one of the
foregoing entities, made available for
trading determinations, position limits,
hedging exemptions, position
aggregation treatment or the reporting of
market positions shall be filed with the
Director, Division of Market Oversight,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
(ii) A request for a Letter relating to
the provisions of the Act or the
Commission’s rules, regulations or
orders governing or related to
derivatives clearing organizations and
other central counterparties, the clearing
process, the clearing requirement
determination, Commission regulation
1.25 jointly with the Director of the
PO 00000
Frm 00011
Fmt 4700
Sfmt 4700
22421
Division of Swap Dealer and
Intermediary Oversight, risk assessment,
financial surveillance, the end user
exemption, and bankruptcy shall be
filed with the Director, Division of
Clearing and Risk, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW.,
Washington, DC 20581.
(iii) A request for a Letter relating to
all other provisions of the Act or
Commission rules, including
Commission regulation 1.25 jointly with
the Director of the Division of Clearing
and Risk, shall be filed with the
Director, Division of Swap Dealer and
Intermediary Oversight, Commodity
Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581.
(iv) The requests described in
paragraphs (d)(2)(i) through (iii) of this
section must be submitted electronically
using the email address
dmoletters@cftc.gov (for a request filed
with the Division of Market Oversight),
dcrletters@cftc.gov (for a request filed
with the Division of Clearing and Risk),
or dsioletters@cftc.gov (for a request
filed with the Division of Swap Dealer
and Intermediary Oversight), as
appropriate, and a properly signed
paper copy of the request must be
provided to the Division of Market
Oversight, the Division of Clearing and
Risk, or the Division of Swap Dealer and
Intermediary Oversight, as appropriate,
within ten days for purposes of
verification of the electronic
submission.
*
*
*
*
*
Issued in Washington, DC, on April 5,
2013, by the Commission.
Christopher J. Kirkpatrick,
Deputy Secretary of the Commission.
[FR Doc. 2013–08353 Filed 4–15–13; 8:45 am]
BILLING CODE 6351–01–P
DEPARTMENT OF DEFENSE
Department of the Navy
32 CFR Part 706
Certifications and Exemptions Under
the International Regulations for
Preventing Collisions at Sea, 1972
Department of the Navy, DoD.
Final rule.
AGENCY:
ACTION:
SUMMARY: The Department of the Navy
(DoN) is amending its certifications and
exemptions under the International
Regulations for Preventing Collisions at
Sea, 1972 (72 COLREGS), to reflect that
the Deputy Assistant Judge Advocate
General (DAJAG) (Admiralty and
E:\FR\FM\16APR1.SGM
16APR1
]]>Agencies
[Federal Register Volume 78, Number 73 (Tuesday, April 16, 2013)]
[Rules and Regulations]
[Pages 22418-22421]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-08353]
=======================================================================
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
17 CFR Parts 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171 and 190
RIN 3038-AE03
Reassignment of Commission Staff Responsibilities and Delegations
of Authority
AGENCY: Commodity Futures Trading Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Commission is amending its regulations to reflect the
reassignment of responsibilities, including delegations of authority,
resulting from its recent reorganization of Commission staff. Effective
October 9, 2011, the Commission abolished the Division of Clearing and
Intermediary Oversight and reassigned its staff and responsibilities to
the newly established Division of Swap Dealer and Intermediary
Oversight and Division of Clearing and Risk.
DATES: These amendments shall become effective on April 16, 2013.
FOR FURTHER INFORMATION CONTACT: Frank Fisanich, Chief Counsel,
Telephone: (202) 418-5949, Email: ffisanich@cftc.gov, Amanda Lesher
Olear, Special Counsel, Telephone: (202) 418-5283, Email:
aolear@cftc.gov, Division of Swap Dealer and Intermediary Oversight; or
Robert Wasserman, Chief Counsel, Telephone: (202) 418-5092, Email:
rwasserman@cftc.gov, Jocelyn Partridge, Special Counsel, Telephone:
(202) 418-5926, Email: jpartridge@cftc.gov, Division of Clearing and
Risk, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581.
SUPPLEMENTARY INFORMATION:
I. Background
On July 21, 2010, President Obama signed the Dodd-Frank Wall Street
Reform and Consumer Protection Act (``Dodd-Frank Act''),\1\ which
extensively revises the Commodity Exchange Act.\2\ In order to more
effectively implement its provisions, the Commission has reorganized
its operating divisions. Under the reorganized structure, the Division
of Clearing and Intermediary Oversight has been reconfigured into two
new divisions: the Division of Swap Dealer and Intermediary Oversight
and the Division of Clearing and Risk.
---------------------------------------------------------------------------
\1\ See Dodd-Frank Wall Street Reform and Consumer Protection
Act, Public Law 111-203, 124 Stat. 1376 (2010). The text of the
Dodd-Frank Act may be accessed at https://www.cftc.gov./
LawRegulation/OTCDERIVATIVES/index.htm.
\2\ The Commodity Exchange Act may be found at 7 U.S.C. 1 et
seq.
---------------------------------------------------------------------------
The Commission is amending its regulations to reflect this
reorganized structure. Accordingly, as indicated in the chart below,
the Commission is deleting references to the former division and
replacing them with references to the new divisions in the Commission's
regulations. As amended, the regulations will reflect new assignments
of responsibilities, including delegated authorities, to the new
divisions.
II. Related Matters
A. Administrative Procedure Act
The amendments to the Commission's regulations in this rulemaking
do not establish any new substantive or legislative rules, but rather
relate solely to the restructuring of responsibilities within the
Commission, including amendments re-delegating authority to newly
formed divisions, and therefore relate solely to agency organization,
procedure, and practice. Therefore, this rulemaking is excepted from
the public rulemaking provisions of the Administrative Procedure
Act.\3\ Additionally, as the revisions to the Commission's regulations
in this rulemaking will not cause any party to undertake efforts to
comply with the regulations as revised, the Commission has determined
to make this rulemaking effective upon publication in the Federal
Register.\4\
---------------------------------------------------------------------------
\3\ 5 U.S.C. 553(b).
\4\ See 5 U.S.C. 553(d).
---------------------------------------------------------------------------
B. Regulatory Flexibility Act
The Regulatory Flexibility Act requires the Commission to consider
whether the regulations it adopts will have a significant economic
impact on a substantial number of small entities.\5\ The Commission is
obligated to conduct a regulatory flexibility analysis for any rule for
which the agency publishes a general notice of proposed rulemaking
pursuant to section 553(b) of the Administrative Procedure Act.\6\ This
rulemaking is excepted from the public rulemaking provisions of the
Administrative Procedure Act. Accordingly, the Commission is not
obligated to conduct a regulatory flexibility analysis for this
rulemaking.
---------------------------------------------------------------------------
\5\ See 5 U.S.C. 601 et seq.
\6\ 5 U.S.C. 601(2).
---------------------------------------------------------------------------
C. Paperwork Reduction Act
The Commission may not conduct or sponsor, and a respondent is not
required to respond to, a collection of information contained in a
rulemaking unless the information collection displays a currently valid
control number issued by the Office of Management and Budget (``OMB'')
pursuant to the Paperwork Reduction Act.\7\ This rulemaking contains no
collection of information for which the Commission is obligated to
obtain a control number from OMB.
---------------------------------------------------------------------------
\7\ See 44 U.S.C. 3501 et seq.
---------------------------------------------------------------------------
[[Page 22419]]
List of Subjects in 17 CFR Part 140
Authority delegations (Government agencies), Organization and
functions (Government agencies).
For the reasons stated in the preamble, the Commission hereby
amends chapter I of title 17 of the Code of Federal Regulations as
follows:
PARTS 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171, and 190--
[AMENDED]
0
1. For each section and paragraph indicated in the left column of the
following table, remove the division name or title indicated in the
middle column from wherever it appears in the section or paragraph, and
add in its place the division name or title indicated in the right
column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
1.12(g)(3).................. Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
1.12(h)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
1.17(c)(6)(ii)(A)........... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
1.17(c)(6)(ii)(D)........... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
1.17(c)(6)(iii)(B).......... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
1.65(d)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
1.66(b)(5)(ii).............. Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.22 introductory text...... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.50(c)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.50(d)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.55(e)(2).................. Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.56(e)(2).................. Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.63........................ Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.70(a)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
3.70(a)..................... Attn: Deputy Attn: Deputy
Director, Director,
Compliance and Registration and
Registration Compliance Branch,
Section, Division Division of Swap
of Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight.
Pt. 3 app. A, note 2........ Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
5.6(f)(3)................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
5.6(h)...................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
5.20(d) (2 references)...... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
5.23(f)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
9.2(h)...................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight and
Division of
Clearing and Risk.
9.26........................ Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight and
Division of
Clearing and Risk.
9.31(a)..................... Division Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight and
Division of
Clearing and Risk.
11.2(a)..................... the Director of the the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight and the
Director of the
Division of
Clearing and Risk.
31.13(n)(1) (2 references).. Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
31.14(a).................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
40.7(a)(1).................. Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
40.7(a)(2).................. Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
40.7(a)(3).................. Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
40.7(a)(4).................. Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
40.7(b)..................... Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
40.7(c)..................... Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
41.3(d)..................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
Pt. 140 Table of Contents Division of Clearing Division of Clearing
(140.75). and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
Pt. 140 Table of Contents Division of Trading Division of Swap
(140.91). and Markets. Dealer and
Intermediary
Oversight.
Pt. 140 Table of Contents Division of Clearing Division of Swap
(140.93). and Intermediary Dealer and
Oversight. Intermediary
Oversight.
Pt. 140 Table of Contents Director of the Directors of the
(140.94). Division of Division of
Clearing and Risk. Clearing and Risk
and the Division of
Swap Dealer and
Intermediary
Oversight.
140.72(a)................... Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight, each Oversight, the
Deputy Director of Chief Counsel of
the Division of the Division of
Clearing and Swap Dealer and
Intermediary Intermediary
Oversight. Oversight, each
Deputy Director of
the Division of
Swap Dealer and
Intermediary
Oversight, the
Director of the
Division of
Clearing and Risk,
the Chief Counsel
of the Division of
Clearing and Risk,
each Deputy
Director of the
Division of
Clearing and Risk.
140.73(a)................... Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight or, in Oversight or, in
his or her absence, his or her absence,
each Deputy the Chief Counsel
Director of the of the Division of
Division of Swap Dealer and
Clearing and Intermediary
Intermediary Oversight, each
Oversight. Deputy Director of
the Division of
Swap Dealer and
Intermediary
Oversight, the
Director of the
Division of
Clearing and Risk
or, in his or her
absence, the Chief
Counsel of the
Division of
Clearing and Risk,
each Deputy
Director of the
Division of
Clearing and Risk.
[[Page 22420]]
140.75 (section heading and Division of Clearing Division of Clearing
2 references). and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.76(a)................... Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight, the
Director of the
Division of
Clearing and Risk.
140.76(b)................... Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight, the
Director of the
Division of
Clearing and Risk.
140.91 (section heading).... Division of Trading Division of Swap
and Markets. Dealer and
Intermediary
Oversight.
140.91(a)................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
140.91(b)................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
140.92(a)................... Division of Clearing Division of Clearing
and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.92(b)................... Division of Clearing Division of Clearing
and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.92(c)................... Division of Clearing Division of Clearing
and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.93 (section heading).... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
140.93(a)................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
140.93(b)................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
140.93(c)................... Division of Clearing Division of Swap
Intermediary Dealer and
Oversight. Intermediary
Oversight.
140.95(a)................... Division of Clearing Division of Clearing
and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.95(b)................... Division of Clearing Division of Clearing
and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.95(c)................... Division of Clearing Division of Clearing
and Intermediary and Risk and
Oversight. Division of Swap
Dealer and
Intermediary
Oversight.
140.96(b)................... the Director of the the Director of Swap
Division of Dealer and
Clearing and Intermediary
Intermediary Oversight or the
Oversight or the Director's
Director's designee. designee, and to
the Director of the
Division of
Clearing and Risk
or the Director's
designee.
140.96(c)................... Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight or the
Director of the
Division of
Clearing and Risk.
140.96(d)................... Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight or the
Director of the
Division of
Clearing and Risk.
140.99(a)(5)................ Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight, the
Division of
Clearing and Risk.
Part 145, App. A, (g)....... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight.
Pt. 170 (Table of Contents). 170.12 Delegation of 170.12 Delegation of
Authority to Authority to
Director of the Director of the
Division of Division of Swap
Clearing and Dealer and
Intermediary Intermediary
Oversight. Oversight.
170.12 (section heading and Division of Clearing Division of Swap
1 reference). and Intermediary Dealer and
Oversight. Intermediary
Oversight.
171.28...................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight and the
Division of
Clearing and Risk.
171.31(a)................... Division of Clearing Division of Swap
and Intermediary Dealer and
Oversight. Intermediary
Oversight and the
Division of
Clearing and Risk.
190.10(b)(4)................ Director of the Director of the
Division of Division of
Clearing and Clearing and Risk,
Intermediary or such members of
Oversight, or such the Commission's
members of the staff acting under
Commission's staff his direction as he
acting under his may designate, on
direction as he may the basis of the
designate, on the information
basis of the provided in any
information such request, shall
provided in any determine, after
such request, shall consultation with
determine, in his the Director of the
sole discretion. Division of Swap
Dealer and
Intermediary
Oversight, or such
member of the
Commission's staff
under his direction
as he may
designate, unless
exigent
circumstances
require immediate
action precluding
such prior
consultation.
190.10(d) heading........... Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
190.10(d)(1)................ Director of the Director of the
Division of Division of
Clearing and Clearing and Risk,
Intermediary and to such members
Oversight, and to of the Commission's
such members of the staff acting under
Commission's staff his direction as he
acting under his may designate,
direction as he may after consultation
designate. with the Director
of the Division of
Swap Dealer and
Intermediary
Oversight, or such
member of the
Commission's staff
under his direction
as he may
designate, unless
exigent
circumstances
require immediate
action.
190.10(d)(2)................ Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
190.10(d)(3)................ Division of Clearing Division of Clearing
and Intermediary and Risk.
Oversight.
------------------------------------------------------------------------
[[Page 22421]]
PART 140--ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
0
2. The authority citation for Part 140 is revised to read as follows:
Authority: 7 U.S.C. 2(a)(12), 13(c), 13(d), 13(e), and 16(b).
0
3. Section 140.94 is revised to read as follows:
Sec. 140.94 Delegation of authority to the Director of the Division
of Swap Dealer and Intermediary Oversight and the Director of the
Division of Clearing and Risk.
(a) The Commission hereby delegates, until such time as the
Commission orders otherwise, the following functions to the Director of
the Division of Swap Dealer and Intermediary Oversight and to such
members of the Commission's staff acting under his or her direction as
he or she may designate from time to time:
(1) All functions reserved to the Commission in Sec. 5.7 of this
chapter;
(2) All function reserved to the Commission in Sec. 5.10 of this
chapter;
(3) All functions reserved to the Commission in Sec. 5.11 of this
chapter;
(4) All functions reserved to the Commission in Sec. 5.12 of this
chapter, except for those relating to nonpublic treatment of reports
set forth in Sec. 5.12(i) of this chapter; and
(5) All functions reserved to the Commission in Sec. 5.14 of this
chapter.
(b) The Director of the Division of Swap Dealer and Intermediary
Oversight may submit any matter which has been delegated to him or her
under paragraph (a) of this section to the Commission for its
consideration.
(c) The Commission hereby delegates, until such time as the
Commission orders otherwise, the following function to the Director of
the Division of Clearing and Risk and to such members of the
Commission's staff acting under his or her direction as he or she may
designate from time to time:
(1) All functions reserved to the Commission in Sec. Sec.
39.3(a)(1), (a)(2), (a)(3), 39.3(b)(1), and 39.3(f)(4) of this chapter;
(2) All functions reserved to the Commission in Sec. 39.4(a) of
this chapter;
(3) All functions reserved to the Commission in Sec. 39.5(b)(2),
(b)(3)(ix), (c)(1), and (d)(3) of this chapter;
(4) All functions reserved to the Commission in Sec.
39.10(c)(4)(iv) of this chapter;
(5) All functions reserved to the Commission in Sec.
39.11(b)(1)(vi), (b)(2)(ii), (c)(1), (c)(2), (f)(1), and (f)(4) of this
chapter;
(6) All functions reserved to the Commission in Sec.
39.12(a)(5)(i)(B) of this chapter;
(7) All functions reserved to the Commission in Sec.
39.13(g)(8)(ii), (h)(1)(i)(C), (h)(1)(ii), (h)(3)(i), (h)(3)(ii), and
(h)(5)(i)(A) of this chapter;
(8) The authority to request additional information in support of a
rule submission under Sec. 39.15(b)(2)(iii)(A) of this chapter and in
support of a petition pursuant to section 4d of the Act under Sec.
39.15(b)(2)(iii)(B) of this chapter;
(9) All functions reserved to the Commission in Sec.
39.19(c)(3)(iv), (c)(5)(i), (c)(5)(ii), and (c)(5)(iii) of this
chapter;
(10) All functions reserved to the Commission in Sec. 39.20(a)(5);
and
(11) All functions reserved to the Commission in Sec. 39.21(d) of
this chapter.
(d) The Director of Clearing and Risk may submit any matter which
has been delegated to him or her under paragraph (c) of this section to
the Commission for its consideration.
(e) Nothing in this section may prohibit the Commission, at its
election, from exercising the authority delegated to the Director of
the Division of Swap Dealers and Intermediary Oversight under paragraph
(a) or to the Director of the Division of Clearing and Risk under
paragraph (c) of this section.
0
4. Amend Sec. 140.99 to revise paragraph (d)(2) to read as follows:
Sec. 140.99 Requests for exemptive, no-action and interpretative
letters.
* * * * *
(d) * * *
(2)(i) A request for a Letter relating to the provisions of the Act
or the Commission's rules, regulations or orders governing designated
contract markets, registered swap execution facilities, registered swap
data repositories, registered foreign boards of trade, exempt
commercial markets, exempt boards of trade, the nature of particular
transactions and whether they are exempt or excluded from being
required to be traded on one of the foregoing entities, made available
for trading determinations, position limits, hedging exemptions,
position aggregation treatment or the reporting of market positions
shall be filed with the Director, Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581.
(ii) A request for a Letter relating to the provisions of the Act
or the Commission's rules, regulations or orders governing or related
to derivatives clearing organizations and other central counterparties,
the clearing process, the clearing requirement determination,
Commission regulation 1.25 jointly with the Director of the Division of
Swap Dealer and Intermediary Oversight, risk assessment, financial
surveillance, the end user exemption, and bankruptcy shall be filed
with the Director, Division of Clearing and Risk, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581.
(iii) A request for a Letter relating to all other provisions of
the Act or Commission rules, including Commission regulation 1.25
jointly with the Director of the Division of Clearing and Risk, shall
be filed with the Director, Division of Swap Dealer and Intermediary
Oversight, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581.
(iv) The requests described in paragraphs (d)(2)(i) through (iii)
of this section must be submitted electronically using the email
address dmoletters@cftc.gov (for a request filed with the Division of
Market Oversight), dcrletters@cftc.gov (for a request filed with the
Division of Clearing and Risk), or dsioletters@cftc.gov (for a request
filed with the Division of Swap Dealer and Intermediary Oversight), as
appropriate, and a properly signed paper copy of the request must be
provided to the Division of Market Oversight, the Division of Clearing
and Risk, or the Division of Swap Dealer and Intermediary Oversight, as
appropriate, within ten days for purposes of verification of the
electronic submission.
* * * * *
Issued in Washington, DC, on April 5, 2013, by the Commission.
Christopher J. Kirkpatrick,
Deputy Secretary of the Commission.
[FR Doc. 2013-08353 Filed 4-15-13; 8:45 am]
BILLING CODE 6351-01-P
