Requests for Administrative Acknowledgment of Federal Indian Tribes, 37538-37539 [2015-16194]
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37538
Federal Register / Vol. 80, No. 126 / Wednesday, July 1, 2015 / Rules and Regulations
thereunder, including Form SDR (17
CFR 249.1500) and reports filed
pursuant to Rules 13n–11(d) and (f) (17
CFR 240.13n–11(d) and (f)) under the
Exchange Act; and
(xviii) Filings made pursuant to
Regulation A (§§ 230.251 through
230.262 of this chapter).
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Dated: June 25, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015–16045 Filed 6–30–15; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 275
[Release No. IA–4129; File No. S7–18–09]
RIN 3235–AK39
Political Contributions by Certain
Investment Advisers: Ban on ThirdParty Solicitation; Notice of
Compliance Date
Securities and Exchange
Commission.
ACTION: Notice of compliance date.
AGENCY:
The Securities and Exchange
Commission (‘‘Commission’’ or ‘‘SEC’’)
previously set and extended the
compliance date for the ban on thirdparty solicitation until nine months
after the compliance date of a final rule
adopted by the Commission by which
municipal advisors must register under
the Securities Exchange Act of 1934
(‘‘final municipal advisor registration
rule’’) and indicated that notice with
respect thereto would be provided in
the Federal Register. This notice of
compliance date is being published to
provide the notice of the compliance
date.
SUMMARY:
The compliance date for the ban
on third-party solicitation under 17 CFR
275.206(4)–5 [rule 206(4)–5] is July 31,
2015.
FOR FURTHER INFORMATION CONTACT:
Sirimal R. Mukerjee, Senior Counsel, or
Sarah A. Buescher, Branch Chief, at
(202) 551–6787 or IArules@sec.gov,
Investment Adviser Regulation Office,
Division of Investment Management,
U.S. Securities and Exchange
Commission, 100 F Street NE.,
Washington, DC 20549–8549.
SUPPLEMENTARY INFORMATION: The
Commission adopted rule 206(4)–5 [17
CFR 275.206(4)–5] (‘‘Pay to Play Rule’’)
under the Investment Advisers Act of
1940 [15 U.S.C. 80b] to prohibit an
investment adviser from providing
tkelley on DSK3SPTVN1PROD with RULES
DATES:
VerDate Sep<11>2014
17:34 Jun 30, 2015
Jkt 235001
advisory services for compensation to a
government client for two years after the
adviser or certain of its executives or
employees (‘‘covered associates’’) make
a contribution to certain elected officials
or candidates.1 Rule 206(4)–5 also
prohibits an adviser and its covered
associates from providing or agreeing to
provide, directly or indirectly, payment
to any third-party for a solicitation of
advisory business from any government
entity on behalf of such adviser, unless
such third-party is a ‘‘regulated person’’
(‘‘third-party solicitor ban’’).2 Rule
206(4)–5 defines a ‘‘regulated person’’ as
an SEC-registered investment adviser,3 a
registered broker or dealer subject to pay
to play restrictions adopted by a
registered national securities
association,4 or a registered municipal
advisor subject to pay to play
restrictions adopted by the Municipal
Securities Rulemaking Board
(‘‘MSRB’’).5 In addition, the
Commission must find, by order, that
these pay to play rules: (i) Impose
substantially equivalent or more
stringent restrictions on broker-dealers
or municipal advisors than the Pay to
Play Rule imposes on investment
advisers; and (ii) are consistent with the
objectives of the Pay to Play Rule.6
Rule 206(4)–5 became effective on
September 13, 2010 and the compliance
date for the third-party solicitor ban was
set to September 13, 2011.7 When the
Commission added municipal advisors
to the definition of regulated person, the
Commission also extended the thirdparty solicitor ban’s compliance date to
1 Political Contributions by Certain Investment
Advisers, Investment Advisers Act Rel. No. 3043
(July 1, 2010) [75 FR 41018 (July 14, 2010)] (‘‘Pay
to Play Release’’).
2 See id. at Section II.B.2.(b). See also 17 CFR
275.206(4)–5(a)(2)(i)(A).
3 See 17 CFR 275.206(4)–5(f)(9)(i).
4 See 17 CFR 275.206(4)–5(f)(9)(ii). While rule
206(4)–5 applies to any registered national
securities association, the Financial Industry
Regulatory Authority (‘‘FINRA’’) is currently the
only registered national securities association under
section 19(a) of the Securities Exchange Act of 1934
[15 U.S.C. 78s(b)]. As such, for convenience, we
will refer directly to FINRA in this notice of
compliance date when describing the exception for
certain broker-dealers from the third-party solicitor
ban.
5 See 17 CFR 275.206(4)–5(f)(9)(iii). On June 22,
2011, the Commission amended the Pay to Play
Rule to add municipal advisors to the definition of
‘‘regulated persons.’’ See Rules Implementing
Amendments to the Investment Advisers Act of
1940, Investment Advisers Act Rel. No. 3221 (June
22, 2011) [76 FR 42950 (July 19, 2011)] (‘‘Municipal
Advisor Addition Release’’). The Commission
adopted final rules with respect to the registration
of municipal advisors on September 20, 2013. See
Registration of Municipal Advisors, Exchange Act
Release No. 70462 (Sept. 20, 2013) [78 FR 67468
(Nov. 12, 2013)] (‘‘Municipal Advisor Registration
Release’’).
6 See 17 CFR 275.206(4)–5(f)(9).
7 See Pay to Play Release at section III.
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June 13, 2012.8 In the absence of a final
municipal advisor registration rule, the
Commission extended the third-party
solicitor ban’s compliance date from
June 13, 2012 to nine months after the
compliance date of the final rule,9
which is July 31, 2015.10
This notice of compliance date is
technical in nature and serves solely to
fulfill the Commission’s commitment to
provide the notice for the compliance
date it previously set.11
Dated: June 25, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015–16048 Filed 6–30–15; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF THE INTERIOR
Bureau of Indian Affairs
25 CFR Part 83
[156A2100DD/AAKC001030/
A0A501010.999900 253G]
Requests for Administrative
Acknowledgment of Federal Indian
Tribes
Bureau of Indian Affairs,
Interior.
ACTION: Policy guidance.
AGENCY:
This policy guidance
establishes the Department’s intent to
make determinations to acknowledge
Federal Indian tribes within the
contiguous 48 states only in accordance
with the regulations established for that
purpose at 25 CFR part 83. This notice
directs any unrecognized group
requesting that the Department
acknowledge it as an Indian tribe,
through reaffirmation or any other
alternative basis, to petition under 25
CFR part 83 unless an alternate process
is established by rulemaking following
the effective date of this policy
guidance.
DATES: This policy guidance is effective
July 1, 2015.
FOR FURTHER INFORMATION CONTACT:
Elizabeth Appel, Director, Office of
Regulatory Affairs & Collaborative
SUMMARY:
8 See Municipal Advisor Addition Release at
section II.D.1.
9 See Political Contributions by Certain
Investment Advisers: Ban on Third-Party
Solicitation; Extension of Compliance Date,
Investment Advisers Act Rel. No. 3418 (June 8,
2012) [77 FR 35263 (June 13, 2012)] (‘‘Extension
Release’’).
10 The final date on which a municipal advisor
must file a complete application for registration was
October 31, 2014. See Municipal Advisor
Registration Release at section V.
11 See the Extension Release.
E:\FR\FM\01JYR1.SGM
01JYR1
Federal Register / Vol. 80, No. 126 / Wednesday, July 1, 2015 / Rules and Regulations
Action—Indian Affairs, (202) 273–4680;
elizabeth.appel@bia.gov.
SUPPLEMENTARY INFORMATION:
Prior to the establishment of the
regulatory process for establishing that
an American Indian group exists as an
Indian tribe in 1978 (‘‘the Part 83
process’’), the Department used an
informal process for the Federal
acknowledgment of Indian tribes. The
Part 83 regulations formalized the
process by which the Department
reviewed requests and the criteria
required of groups to obtain Federal
acknowledgment. The Department has
resolved over 50 petitions using the Part
83 process.
However, even after the promulgation
of the Part 83 regulations in 1978, there
have been a range of requests by
unrecognized groups to use other
administrative processes to obtain
Federal acknowledgment. The
Department has utilized those processes
in limited circumstances. For example,
the Department has ‘‘reaffirmed’’ some
tribes and reorganized some half-blood
communities as tribes under the Indian
Reorganization Act (IRA).
Over the past couple of years, the
Department has undertaken a
comprehensive review and evaluation of
the process and criteria by which it
federally acknowledges Indian tribes
under 25 CFR part 83. As part of that
review of the proposed revisions to Part
83, we also received comments related
to the other administrative processes
that have occasionally been used by the
Department for acknowledgment. For
example, the Eastern Band of Cherokee
Indians and Stand Up for California
requested that the Department utilize
only the Part 83 process to acknowledge
tribes.
We recognize the concerns expressed
in comments about the use of
administrative approaches for
acknowledgment other than Part 83.
Having worked hard to make the Part 83
process more transparent, timely and
efficient, while maintaining Part 83’s
fairness, rigor, and integrity, the
Department has decided that, in light of
these reforms to improve the Part 83
process, that process should be the only
method utilized by the Department to
acknowledge an Indian tribe in the
contiguous 48 states.1 The Department
has determined that it will no longer
accept requests for acknowledgement
outside the Part 83 process. Rather, the
Department intends to rely on the newly
reformed Part 83 process as the sole
administrative avenue for
acknowledgment as a tribe.
Of course, the basis for the policy
shift being announced today is the
Department’s reform and improvement
of the Part 83 process. The recently
revised Part 83 regulations promote
fairness, integrity, efficiency and
flexibility. No group should be denied
access to other mechanisms if the only
administrative avenue available to them
is widely considered ‘‘broken.’’ Thus,
this policy guidance is contingent on
the Department’s ability to implement
Part 83, as reformed. If in the future the
newly reformed Part 83 process is not in
effect and being implemented, this
policy guidance is deemed rescinded.
To conclude, any group within the
contiguous 48 states seeking Federal
acknowledgment as an Indian tribe
administratively must petition under 25
CFR part 83 from this date forward. The
decision to use only the recently
reformed Part 83 process from this point
forward does not affect the validity of
any determination made prior to the
institution of this policy guidance;
while the Department exercised its
discretionary authority to use those
methods of acknowledgment in the past,
it no longer will.
Dated: June 26, 2015.
Kevin K. Washburn,
Assistant Secretary—Indian Affairs.
tkelley on DSK3SPTVN1PROD with RULES
regard to Alaska, under 473a, Congress has
specifically provided: ‘‘that groups of Indians in
Alaska not recognized prior to May 1, 1936, as
bands or tribes, but having a common bond of
occupation, or association, or residence within a
well-defined neighborhood, community, or rural
district, may organize to adopt constitutions and
bylaws and to receive charters of incorporation and
Federal loans under sections 470, 476, and 477 of
this title.’’
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17:34 Jun 30, 2015
Jkt 235001
FOR FURTHER INFORMATION CONTACT:
Todd Smyth at the U.S. Department of
Labor, Office of Administrative Law
Judges, 800 K Street NW., Suite 400North, Washington, DC 20001–8002;
telephone (202) 693–7300.
SUPPLEMENTARY INFORMATION:
Background
The final regulations that are the
subject of these corrections became
effective on June 18, 2015. The
regulations constitute the rules of
practice and procedure for
administrative hearings before the
Office of Administrative Law Judges.
Need for Correction
As published, the final regulations
contain four internal cross-reference
errors, and a typographical error in the
title of 29 CFR 18.33(e).
List of Subjects in 29 CFR Part 18
Administrative practice and
procedure, Labor.
Accordingly, 29 CFR part 18 is
corrected by making the following
correcting amendments:
PART 18—RULES OF PRACTICE AND
PROCEDURE FOR ADMINISTRATIVE
HEARINGS BEFORE THE OFFICE OF
ADMINISTRATIVE LAW JUDGES
1. The authority citation for part 18
continues to read as follows:
■
Authority: 5 U.S.C. 301; 5 U.S.C. 551–553;
5 U.S.C. 571 note; E.O. 12778; 57 FR 7292.
[FR Doc. 2015–16194 Filed 6–30–15; 8:45 am]
2. Revise paragraph (c) of § 18.32 to
read as follows:
BILLING CODE 4337–15–P
§ 18.32
■
Computing and extending time.
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(c) Additional time after certain kinds
of service. When a party may or must act
within a specified time after service and
service is made under § 18.30(a)(2)(ii)(C)
or (D), 3 days are added after the period
would otherwise expire under
paragraph (a) of this section.
DEPARTMENT OF LABOR
Office of the Secretary
29 CFR Part 18
RIN 1290–AA26
Rules of Practice and Procedure for
Administrative Hearings Before the
Office of Administrative Law Judges;
Corrections
Office of the Secretary, Labor.
Correcting amendments.
AGENCY:
ACTION:
This document contains
corrections to the final regulations
which were published in the Federal
Register of May 19, 2015 (80 FR 28768).
Those regulations relate to rules of
practice and procedure for
administrative hearings before the
Office of Administrative Law Judges.
DATES: Effective on July 1, 2015.
SUMMARY:
1 With
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3. Revise paragraph (e) of § 18.33 to
read as follows:
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§ 18.33
Motions and other papers.
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(e) Motions made at hearing. A
motion made at a hearing may be stated
orally unless the judge determines that
a written motion or response would best
serve the ends of justice.
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■ 4. Revise paragraph (d)(1) and the
introductory text of paragraph (d)(3) of
§ 18.51 to read as follows:
§ 18.51
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E:\FR\FM\01JYR1.SGM
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Discovery scope and limits.
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Agencies
[Federal Register Volume 80, Number 126 (Wednesday, July 1, 2015)]
[Rules and Regulations]
[Pages 37538-37539]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-16194]
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DEPARTMENT OF THE INTERIOR
Bureau of Indian Affairs
25 CFR Part 83
[156A2100DD/AAKC001030/A0A501010.999900 253G]
Requests for Administrative Acknowledgment of Federal Indian
Tribes
AGENCY: Bureau of Indian Affairs, Interior.
ACTION: Policy guidance.
-----------------------------------------------------------------------
SUMMARY: This policy guidance establishes the Department's intent to
make determinations to acknowledge Federal Indian tribes within the
contiguous 48 states only in accordance with the regulations
established for that purpose at 25 CFR part 83. This notice directs any
unrecognized group requesting that the Department acknowledge it as an
Indian tribe, through reaffirmation or any other alternative basis, to
petition under 25 CFR part 83 unless an alternate process is
established by rulemaking following the effective date of this policy
guidance.
DATES: This policy guidance is effective July 1, 2015.
FOR FURTHER INFORMATION CONTACT: Elizabeth Appel, Director, Office of
Regulatory Affairs & Collaborative
[[Page 37539]]
Action--Indian Affairs, (202) 273-4680; elizabeth.appel@bia.gov.
SUPPLEMENTARY INFORMATION:
Prior to the establishment of the regulatory process for
establishing that an American Indian group exists as an Indian tribe in
1978 (``the Part 83 process''), the Department used an informal process
for the Federal acknowledgment of Indian tribes. The Part 83
regulations formalized the process by which the Department reviewed
requests and the criteria required of groups to obtain Federal
acknowledgment. The Department has resolved over 50 petitions using the
Part 83 process.
However, even after the promulgation of the Part 83 regulations in
1978, there have been a range of requests by unrecognized groups to use
other administrative processes to obtain Federal acknowledgment. The
Department has utilized those processes in limited circumstances. For
example, the Department has ``reaffirmed'' some tribes and reorganized
some half-blood communities as tribes under the Indian Reorganization
Act (IRA).
Over the past couple of years, the Department has undertaken a
comprehensive review and evaluation of the process and criteria by
which it federally acknowledges Indian tribes under 25 CFR part 83. As
part of that review of the proposed revisions to Part 83, we also
received comments related to the other administrative processes that
have occasionally been used by the Department for acknowledgment. For
example, the Eastern Band of Cherokee Indians and Stand Up for
California requested that the Department utilize only the Part 83
process to acknowledge tribes.
We recognize the concerns expressed in comments about the use of
administrative approaches for acknowledgment other than Part 83. Having
worked hard to make the Part 83 process more transparent, timely and
efficient, while maintaining Part 83's fairness, rigor, and integrity,
the Department has decided that, in light of these reforms to improve
the Part 83 process, that process should be the only method utilized by
the Department to acknowledge an Indian tribe in the contiguous 48
states.\1\ The Department has determined that it will no longer accept
requests for acknowledgement outside the Part 83 process. Rather, the
Department intends to rely on the newly reformed Part 83 process as the
sole administrative avenue for acknowledgment as a tribe.
---------------------------------------------------------------------------
\1\ With regard to Alaska, under 473a, Congress has specifically
provided: ``that groups of Indians in Alaska not recognized prior to
May 1, 1936, as bands or tribes, but having a common bond of
occupation, or association, or residence within a well-defined
neighborhood, community, or rural district, may organize to adopt
constitutions and bylaws and to receive charters of incorporation
and Federal loans under sections 470, 476, and 477 of this title.''
---------------------------------------------------------------------------
Of course, the basis for the policy shift being announced today is
the Department's reform and improvement of the Part 83 process. The
recently revised Part 83 regulations promote fairness, integrity,
efficiency and flexibility. No group should be denied access to other
mechanisms if the only administrative avenue available to them is
widely considered ``broken.'' Thus, this policy guidance is contingent
on the Department's ability to implement Part 83, as reformed. If in
the future the newly reformed Part 83 process is not in effect and
being implemented, this policy guidance is deemed rescinded.
To conclude, any group within the contiguous 48 states seeking
Federal acknowledgment as an Indian tribe administratively must
petition under 25 CFR part 83 from this date forward. The decision to
use only the recently reformed Part 83 process from this point forward
does not affect the validity of any determination made prior to the
institution of this policy guidance; while the Department exercised its
discretionary authority to use those methods of acknowledgment in the
past, it no longer will.
Dated: June 26, 2015.
Kevin K. Washburn,
Assistant Secretary--Indian Affairs.
[FR Doc. 2015-16194 Filed 6-30-15; 8:45 am]
BILLING CODE 4337-15-P