Incorporation of Changes in the Commission's Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text, 71803-71821 [2024-18445]

Download as PDF 71803 Rules and Regulations Federal Register Vol. 89, No. 171 Wednesday, September 4, 2024 This section of the FEDERAL REGISTER contains regulatory documents having general applicability and legal effect, most of which are keyed to and codified in the Code of Federal Regulations, which is published under 50 titles pursuant to 44 U.S.C. 1510. The Code of Federal Regulations is sold by the Superintendent of Documents. DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 734, 740, 744, 746 and 774 [Docket No. 240610–0156] RIN 0694–AJ67 Implementation of Additional Sanctions Against Russia and Belarus Under the Export Administration Regulations (EAR) and Refinements to Existing Controls Correction In rule document 2024–13148 beginning on page 51644 in the issue of Tuesday, June 18, 2024, make the following correction: Supplement No. 5 to Part 744 [Corrected] On page 51662, in Supplement No. 5 to Part 744, in the first column, in the twentieth line, ‘‘Ö’’ should read ‘‘(e)’’. ■ [FR Doc. C1–2024–13148 Filed 9–3–24; 8:45 am] BILLING CODE 0099–10–P COMMODITY FUTURES TRADING COMMISSION 17 CFR Parts 1, 3, 5, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 20, 23, 30, 31, 37, 41, 43, 45, 46, 49, 140, 142, 144, 145, 146, 147, 148, 149, 150, 155, 160, 162, 165, 170, and 171 ddrumheller on DSK120RN23PROD with RULES1 RIN 3038–AF09 Incorporation of Changes in the Commission’s Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text Commodity Futures Trading Commission. ACTION: Final rule. AGENCY: The agency’s Divisions and Offices have been reorganized at the Chairman’s direction, and with prior SUMMARY: VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 notification to relevant congressional committees. To ensure the CFR reflects these changes, the Commodity Futures Trading Commission (Commission or CFTC) is voting to make technical changes to various provisions within its regulations in order to align with its change in administrative structure, remove superfluous verbiage, and correct inaccurate text. In addition to the administrative changes required due to the realignment, the Commission is adopting technical changes to ensure consistency in reference to Commission addresses, deleting references to positions that have changed and updating the positions to align with the current Commission structure, correct typographical errors, and other technical changes. DATES: These amendments are effective on September 4, 2024. FOR FURTHER INFORMATION CONTACT: Joan Fina, Senior Assistant General Counsel, Telephone: (202) 418–7621, Email: jfina@cftc.gov, Office of the General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581, or John Einstman, Deputy General Counsel (General Law), Telephone: (202) 418–5337, Email: jeinstman@cftc.gov. SUPPLEMENTARY INFORMATION: I. Background An agency reorganization in November 2020 realigned key functions within the agency, including: (1) creating a new Division of Data (DOD); (2) reassigning the Executive Secretariat Branch from the Office of the Executive Director (OED) to the Office of the General Counsel (OGC); and (3) renaming and realigning the Division of Swap Dealer and Intermediary Oversight (DSIO) to the Market Participants Division (MPD) and (4) moving the Office of Customer Education and Outreach (OCEO) to the Office of Public Affairs. Technology has dramatically altered capital and commodity markets over the past few decades, and technologically induced innovations such as electronic exchanges, high-frequency trading, and exchange-traded funds have made trading faster, cheaper, more integrated, and increasingly complex. As a financial regulator in an everincreasingly sophisticated market environment, it is becoming more and PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 more crucial that the CFTC continue to focus on data and data reporting and invest in technologies necessary to keep pace with market innovation. Our oversight responsibilities are becoming highly data acquisitive and rely on the effective use of information, including through the use of algorithms and analytics to more effectively manage data to meet our regulatory objectives. The DoD was created to address the Commission’s growing data needs and to position the agency to continue to achieve its mission in accord with new technologies. There has been an unprecedented rise in retail futures, options and digital asset trading. As the agency evolves to address changing markets and market demographics, both the FinTech and customer protection efforts the Office of Customer Education and Outreach (OCEO) were realigned within the Office of Public Affairs. DSIO is responsible primarily for overseeing derivatives market participants and market intermediaries, including commodity pool operators, commodity trading advisors, futures commission merchants, introducing brokers, retail foreign exchange dealers, swap dealers, and major swap participants, as well as designated selfregulatory organizations. By restyling DSIO as MPD, the Division’s name will more succinctly reflect the scope of its responsibility regarding the Commission registrants enumerated above. The Commission’s legal compliance groups that are responsible for records, Freedom of Information Act, Sunshine Act, privacy, and transparency were divided between the Office of the General Counsel and the Executive Secretariat Branch in the Office of the Executive Director. Moving the Executive Secretariat Branch into the Office of the General Counsel ensures consistency through streamlining all legal compliance programs into one division. In addition to the changes required due to the realignment, the Commission proposes technical changes to ensure consistency in reference to addresses, deletes references to positions that have changed and updates the positions to align with the current Commission structure, correct typographical errors, and other technical changes. Section 2(a)(12) of the Commodity Exchange Act authorizes the E:\FR\FM\04SER1.SGM 04SER1 71804 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Commission to promulgate such rules and regulations as it deems necessary to govern the operating procedures and conduct of business of the Commission. The Commission is promulgating this rule to reflect changes in its administrative structure and to make conforming technical changes to its regulations. II. Related Matters ddrumheller on DSK120RN23PROD with RULES1 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 to the restructuring of responsibilities within the Commission, including amendments changing the names of divisions and offices that are affected by the realignment and re-delegating authority to newly formed divisions. The amendments to the Commission’s regulations relate solely to agency management, organization, procedure, and practice and provide technical corrections of a minor and administrative nature, such as technical changes to ensure consistency in reference to Commission addresses, to delete references to positions that have changed and to update the positions to align with the current Commission structure, correct typographical errors, and other similar technical corrections. Therefore, this rulemaking is excepted from the public rulemaking provisions of the Administrative Procedure Act.1 Additionally, an agency may issue a new rule in some circumstances without publication in the Federal Register of a notice of proposed rulemaking with an opportunity for comment if the agency for ‘‘good cause’’ finds (and incorporates the finding and a brief statement of the reasons therefor in the rules issued) that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.2 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.3 1 5 U.S.C. 553(a) and (b). Rulemaking procedures apply, except to the extent that there is involved (1) a military or foreign affairs function of the United States; or (2) a matter relating to agency management or personnel or to public property, loans, grants, benefits, or contracts. 2 5 U.S.C 553(b). Further, Section 553(d) of the Administrative Procedure Act, 5 U.S.C. 553(d) provides, in part, for publication of a rule not less than 30 days before its effective date except as otherwise provided by the agency for good cause found and published with the rule. 3 Good cause exists as the final rule implements changes that affect internal agency management, VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 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.4 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 or any other law.5 This rulemaking is excepted from the public rulemaking provisions of the Administrative Procedure Act.6 Accordingly, the Commission is not required to conduct a regulatory flexibility analysis for this rulemaking. E. Congressional Review Act 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 of 1995 (Paperwork Reduction Act).7 This final rule does not contain a ‘‘collection of information’’ as defined in the Paperwork Reduction Act 8 and, therefore, is not subject to the requirements of the Paperwork Reduction Act. Commodity futures, Consumer protection, Foreign currencies, Reporting and recordkeeping requirements, Securities, Trade practices. D. Cost-Benefit Considerations Section 15(a) of the Commodity Exchange Act provides that, before promulgating a regulation under this Act or issuing an order, the Commission shall consider the costs and benefits of the action of the Commission.9 These rules govern internal agency organization, procedure, and practice, and therefore the Commission finds that none of the considerations enumerated in Section 15(a)(2) of the Commodity Exchange Act are applicable to these rules.10 Administrative practice and procedure, Investigations. This final rule is not a rule as defined in the Congressional Review Act.11 List of Subjects 17 CFR Part 1 Banks, banking, Brokers, Commodity futures, Consumer protection. Reporting and recordkeeping requirements, Savings associations, Swaps. 17 CFR Part 3 Administrative practice and procedure, Commodity futures, Reporting and recordkeeping requirements. 17 CFR Part 5 17 CFR Part 9 Administrative practice and procedure, Reporting and recordkeeping requirements. 17 CFR Part 10 Administrative practice and procedure, Authority delegations (Government agencies), Swaps. 17 CFR Part 11 17 CFR Part 12 Administrative practice and procedure, Consumer protection. 17 CFR Part 13 Administrative practice and procedure. 17 CFR Part 14 Administrative practice and procedure, Lawyers. 17 CFR Part 15 organization and procedure that do not require a delayed effective date. 4 See 5 U.S.C. 601 et seq. 5 5 U.S.C. 601(2). 6 See supra notes 1 and 2. 7 See 44 U.S.C. 3501 et seq. 8 ‘‘Collection of information’’ is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes Agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. 9 7 U.S.C. 19(a). 10 Section 15(a)(2) of the Commodity Exchange Act, 7 U.S.C. 19(a)(2), specifies that such costs and benefits shall be evaluated in light of five broad areas of market and public concern: Protection of market participants and the public; efficiency, competitiveness, and financial integrity of futures markets; price discovery; sound risk management practices; and other public interest considerations. PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 Brokers, Reporting and recordkeeping requirements. 17 CFR Part 16 Reporting and recordkeeping requirements. 17 CFR Part 17 Brokers, Reporting and recordkeeping requirements. 17 CFR Part 18 Reporting and recordkeeping requirements. 11 See E:\FR\FM\04SER1.SGM 5 U.S.C. 801–808. 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations 17 CFR Part 20 17 CFR Part 140 Administrative practice and procedure, Reporting and recordkeeping requirements. Authority delegations (Government agencies), Organization and functions (Government agencies). 17 CFR Part 23 17 CFR Part 142 Authority delegations (Government agencies), Banks, banking, Foreign banking, Foreign currencies, Freedom of information, Investments, Reporting and recordkeeping requirements, Securities, Swaps, Trade practices. 17 CFR Part 30 Consumer protection, Fraud. 17 CFR Part 31 Administrative practice and procedure, Government employees, Investigations, Whistleblowing. 17 CFR Part 145 17 CFR Part 170 Conflicts of interest, Freedom of information. Authority delegations (Government agencies), Commodity futures, Reporting and recordkeeping requirements. 17 CFR Part 171 Administrative practice and procedure. Sunshine Act. 17 CFR Part 148 17 CFR Part 41 Brokers, Reporting and recordkeeping requirements, Securities. Claims, Equal access to justice, Lawyers. PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT 17 CFR Part 149 ■ Consumer protection, Reporting and recordkeeping requirements, Swaps. Administrative practice and procedure, Civil rights, Equal employment opportunity, Federal buildings and facilities, Individuals with disabilities. 17 CFR Part 45 17 CFR Part 150 17 CFR Part 43 Swaps. 17 CFR Part 155 Swaps. Administrative practice and procedure, Reporting and recordkeeping requirements. 17 CFR Part 160 Administrative practice and procedure, Brokers, Consumer Section Remove 1.12(g)(3) ............................. Director of the Division of Swap Dealer and Intermediary Oversight. Director of the Division of Swap Dealer and Intermediary Oversight. Director of the Division and Clearing and Intermediary Oversight. Director of the Division of Swap Dealer and Intermediary Oversight. Director of the Division of Swap Dealer and Intermediary Oversight. The written acknowledgement must be in the form as set out in Appendix A to this part. director of the Division of Swap Dealer and Intermediary Oversight. director’s designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ 1.17(c)(6)(ii)(A) ..................... 1.17(c)(6)(ii)(C) ..................... 1.17(c)(6)(ii)(D) ..................... 1.17(c)(6)(iii)(B) .................... 1.20(d)(2) ............................. 1.20(d)(3)(i) .......................... 1.20(d)(3)(i) .......................... 1.20(d)(3)(ii) ......................... 1.20(d)(5) ............................. 1.20(d)(5) ............................. 1.20(d)(5) ............................. 1.20(d)(6) ............................. 1.20(d)(6) ............................. 1.20(d)(6) ............................. VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 PO 00000 Frm 00003 Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 6s, 7, 7a–1, 7a–2, 7b, 7b–3, 8, 9, 10a, 12, 12a, 12c, 13a, 13a–1, 16, 16a, 19, 21, 23, and 24 (2012). 2. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ Brokers, Reporting and recordkeeping requirements. 17 CFR Part 49 1. The authority citation for part 1 continues to read as follows: §§ 1.12, 1.17, 1.20, 1.26, 1.35, 1.52, 1.65, 1.66, 1.70, and Appendix B [Amended] Cotton, Grains. 17 CFR Part 46 Administrative practice and procedure, Brokers, Privacy, Reporting and recordkeeping requirements. Administrative practice and procedure, Courts, Government employees. 17 CFR Part 147 Commodity futures, Reporting and recordkeeping requirements, Swaps. 17 CFR Part 162 17 CFR Part 165 Privacy. 17 CFR Part 37 protection, Privacy, Reporting and recordkeeping requirements. 17 CFR Part 144 17 CFR Part 146 Consumer protection, Currency, Fraud, Gold, Reporting and recordkeeping requirements, Silver. ddrumheller on DSK120RN23PROD with RULES1 Claims, Government employees. 71805 Add Fmt 4700 Sfmt 4700 Director of the Market Participants Division Director of the Market Participants Division Director of the Market Participants Division Director of the Market Participants Division Director of the Market Participants Division The written acknowledgement must be in the form as set out in Appendix A to § 1.20. Director of the Market Participants Division Director’s designees Director of the Market Participants Division Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees E:\FR\FM\04SER1.SGM 04SER1 71806 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove Add 1.20(g)(4)(ii) ......................... The written acknowledgement must be in the form as set out in appendix B to this part. director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ Director of the Division of Swap Dealer and Intermediary Oversight. Director may designate from time to time ...................... 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’s ................... 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 ..... may designate from time to time, ................................... Division of Swap Dealer and Intermediary Oversight ..... Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. The written acknowledgement must be in the form as set out in Appendix B to § 1.20. Director of the Market Participants Division 1.20(g)(4)(iv) ........................ 1.20(g)(4)(iv) ........................ 1.20(g)(4)(iv) ........................ 1.20, Appendix A ................. 1.20, Appendix A ................. 1.20, Appendix A ................. 1.20, Appendix B ................. 1.20, Appendix B ................. 1.20, Appendix B ................. 1.26, Appendix A ................. 1.26, Appendix A ................. 1.26, Appendix A ................. 1.26, Appendix B ................. 1.26, Appendix B ................. 1.26, Appendix B ................. 1.35(a)(9)(iii) ......................... 1.35(a)(9)(iii) ......................... 1.52(c)(2)(iii)(B) .................... 1.52(c)(2)(iii)(C) .................... 1.52(d)(2)(ii)(G)(2) ................ 1.52(d)(2)(ii)(G)(3) ................ 1.52(d)(2)(ii)(G)(3) ................ 1.52(d)(2)(iii)(D) .................... 1.52(f)(2) .............................. 1.65(d) .................................. 1.65(e) .................................. 1.65(e) .................................. 1.66(b)(5)(ii) ......................... 1.70(a)(2) ............................. 1.70(b)(3) ............................. 1.70(d) .................................. ddrumheller on DSK120RN23PROD with RULES1 Appendix B to Part 1(c) ....... Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director may designate Market Participants Division Market Participants Division Market Participants Division Market Participants Division Market Participants Division’s Market Participants Division Market Participants Division Market Participants Division Market Participants Division may designate, Market Participants Division at the Commission’s Washington, DC headquarters at the Commission’s Washington, DC headquarters at the Commission’s Washington, DC headquarters at the Commission’s Washington, DC headquarters PART 3—REGISTRATION 6m, 6n, 6o, 6p, 6s, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23. ■ 3. The authority citation for part 3 continues to read as follows: §§ 3.3, 3.22, 3.33, 3.50, 3.55, 3.56, 3.63, 3.70, 3.75, and Appendix A [Amended] Authority: 5 U.S.C. 552, 552b; 7 U.S.C. 1a, 2, 6a, 6b, 6b–1, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, ■ 4. For each section and paragraph indicated in the left column of the Section Remove 3.3(h) .................................... 3.3(h) .................................... 3.22 ...................................... 3.33(e) .................................. 3.33(e) .................................. Division of Swap Dealer and Intermediary Oversight ..... Director may designate from time to time ...................... Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Division of Swap Dealer and Intermediary Oversight ..... at the Commission’s Washington, DC office, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... 3.50(c) .................................. 3.50(c) .................................. 3.50(d) .................................. 3.55(e)(2) ............................. VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 PO 00000 Frm 00004 following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Add Fmt 4700 Sfmt 4700 Market Participants Division Director may designate Market Participants Division Market Participants Division at the Commission’s Washington, DC headquarters Market Participants Division at the Commission’s Washington, DC headquarters Market Participants Division Market Participants Division E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove Add 3.56(e)(2) ............................. 3.63 ...................................... 3.70(a) .................................. 3.70(a) .................................. 3.70(a) .................................. Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... Washington, DC office .................................................... (Attn: Deputy Director, Registration and Compliance Branch, Division of Swap Dealer and Intermediary Oversight Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581). Division of Swap Dealer and Intermediary Oversight ..... has been delegated to him ............................................. from the Contract Markets Section of the Commission’s Division of Swap Dealer and Intermediary Oversight. Market Participants Division Market Participants Division Market Participants Division Washington, DC headquarters (Attn: Deputy Director, Registration and Compliance Branch, Market Participants Division). 3.75(a) .................................. 3.75(a) .................................. Appendix A to Part 3, Footnote 2. Market Participants Division has been delegated to them Commission staff PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23. 5. The authority citation for part 5 continues to read as follows: §§ 5.6, 5.20, and 5.23 ■ [Amended] 6. For each section and paragraph indicated in the left column of the ■ Section Remove 5.6(f)(3) ................................ 5.6(h) .................................... 5.6(h) .................................... 5.20(d) (heading) ................. 5.20(d) .................................. 5.23(f) ................................... 5.23(f) ................................... 5.23(f) ................................... Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... at the Commission’s principal office in Washington, DC Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... Deputy Director, Registration and Compliance Section Division of Swap Dealer and Intermediary Oversight ..... Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Add Market Participants Division Market Participants Division at the Commission’s Washington, DC headquarters Market Participants Division Market Participants Division Deputy Director, Registration and Compliance Branch Market Participants Division at the Commission’s Washington, DC headquarters PART 9—RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Authority: 7 U.S.C. 1a, 2, 6b–1, 6c, 7, 7a– 2, 7b–3, 8, 9, 9a, 12, 12a, 12c, 13b, 16a, 18, 19, and 21. 7. The authority citation for part 9 continues to read as follows: ■ §§ 9.2, 9.4, 9.26, and 9.31 [Amended] 8. For each section and paragraph indicated in the left column of the ■ following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Section Remove Add 9.2(h) .................................... Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk. or by mail to: Proceedings Clerk, Office of Proceedings, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581. Division of Market Oversight and/or the Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk. Division of Swap Dealer and Intermediary Oversight ..... Market Participants Division and/or the Division of Clearing and Risk or by mail to the Proceedings Clerk, Office of Proceedings at the Commission’s Washington, DC headquarters 9.4(a) .................................... 9.26 ...................................... 9.31(a) .................................. PART 10—RULES OF PRACTICE §§ 10.2, 10.4, 10.10, 10.12, and 10.106 [Amended] 9. The authority citation in part 10 continues to read as follows: ■ ■ ddrumheller on DSK120RN23PROD with RULES1 71807 Authority: Pub. L. 93–463, sec. 101(a)(11), 88 Stat. 1391; 7 U.S.C. 2(a)(12). Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk Market Participants Division 10. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Section Remove Add 10.2(i) ................................... that member of the Commission’s staff designated as such in the Commission’s Office of Proceedings. any member of the Commission’s staff designated as such by the Director of the Office of Proceedings VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\04SER1.SGM 04SER1 71808 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove 10.4 ...................................... Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Deputy General Counsel for Opinions and Review ........ 10.10(a)(1)(iii) ....................... 10.10(a)(1)(iii) ....................... 10.12(d)(1) ........................... 10.106(b)(3) ......................... Office of General Counsel .............................................. to Proceedings Clerk, Office of Proceedings, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Nothwithstanding ............................................................. the Commission’s Washington, DC headquarters Deputy General Counsel for Litigation, Enforcement, and Adjudication Office of the General Counsel to the Proceedings Clerk, Office of Proceedings at the Commission’s Washington, DC headquarters Notwithstanding Authority: 7 U.S.C. 4a(j), 9, 12, 12a(5) and 15. PART 11—RULES RELATED TO INVESTIGATIONS §§ 11.2 and 11.7 and Appendix A [Amended] 11. The authority citation for part 11 continues to read as follows: ■ 12. For each section and paragraph indicated in the left column of the ■ following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: 11.2(b) Program Coordinator Principal Deputy Director 11.2(b) .................................. 11.7(a) .................................. 11.7(a) .................................. Regional Counsel ............................................................ Program Coordinator ....................................................... Regional Counsel of the Division of Enforcement, or a Regional Director of the Commission. Program Coordinator ....................................................... Regional Counsel of the Division, or a Regional Director of the Commission. Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Deputy Regional Counsel Principal Deputy Director Deputy Regional Counsel of the Division of Enforcement Principal Deputy Director Deputy Regional Counsel of the Division of Enforcement at the Commission’s Washington, DC headquarters Appendix A ........................... Appendix A ........................... Appendix A ........................... Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18. PART 12—RULES RELATING TO REPARATIONS §§ 12.2, 12.11, 12.13, 12.18, and 12.407 [Amended] 13. The authority citation for part 12 continues to read as follows: ■ 14. For each section and paragraph indicated in the left column of the ■ Section Remove 12.3 ...................................... Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Statisfaction ..................................................................... 12.11(f) ................................. 12.407(c)(1) .......................... 15. Section 12.2 is amended by revising the definition of ‘‘Proceedings Clerk.’’ The addition and revision read as follows: ■ § 12.2 Definitions. * ddrumheller on DSK120RN23PROD with RULES1 Add * * * * Proceedings Clerk means any member of the Commission’s staff designated as such by the Director of the Office of Proceedings; * * * * * ■ 16. In § 12.13, paragraph (b)(3) is revised to read as follows: § 12.13 Complaint; election of procedure. * * * * * (b) * * * (3) Time and place of filing of complaint. A complaint shall be filed by VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 Add the Commission’s Washington, DC headquarters. at the Commission’s Washington, DC headquarters Satisfaction delivering a copy thereof, in proper form to the Office of Proceedings at the Commission’s Washington, DC headquarters. The complaint may be filed in person, during normal business hours, or by certified mail, or registered mail with return receipt requested. The complaint shall not be served on any person or party named therein. Upon the filing of the complaint and the appropriate filing fee, the Proceedings Clerk shall assign a docket number to the matter and shall maintain the official docket. * * * * * 17. In § 12.18, paragraph (e) is revised to read as follows: ■ PO 00000 following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: § 12.18 Answer; election of procedure. * * * * * (e) Time and place of filing an answer. An answer shall be filed by delivering a copy thereof, in proper form to the Office of Proceedings at the Commission’s Washington, DC headquarters. The answer may be filed in person, during normal business hours, or by certified mail, or registered mail with return receipt requested. PART 13—PROCEDURES FOR PETITIONS OF RULEMAKING 18. The authority citation for part 13 continues to read as follows: ■ Authority: 7 U.S.C. 2(a)(12). Frm 00006 Fmt 4700 Sfmt 4700 E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations § 13.1 [Amended] 19. In § 13.1, remove ‘‘Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581’’ and add ‘‘at the Commission’s Washington, DC headquarters’’ in its place. ■ PART 14—RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE Authority: Pub. L. 93–463, sec. 101(a)(11), 88 Stat. 1391, 7 U.S.C. 4a(j). § 14.9 [Amended] 21. In § 14.9, remove ‘‘at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581’’ and add ‘‘at the Commission’s Washington, DC headquarters’’ in its place. ■ PART 15—REPORTS—GENERAL PROVISIONS 22. The authority citation for part 15 continues to read as follows: 20. The authority citation for part 14 continues to read as follows: ■ ■ Section Remove 15.05(d) ................................ at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Director of the Division of Market Oversight, to be exercised by such Director or by such other employee or employees of such Director as designated from time to time by the Director. 15.05(g) ................................ 15.05(i)(2) ............................. 15.06(a) ................................ §§ 15.05 and 15.06 23. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ at the Commission’s Washington, DC headquarters at the Commission’s Washington, DC headquarters Director of the Division of Data, to be exercised by such Director or by such other employee or employees of such Director as designated, and in consultation with the Director of the Division of Market Oversight 24. The authority citation for part 16 continues to read as follows: ■ [Amended] 25. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Section Remove Add 16.07 (section heading) ....... 16.07(a) ................................ 16.07(a) ................................ 16.07(a) ................................ 16.07(a) ................................ Office of Data and Technology ....................................... Office of Data and Technology ....................................... designate from time to time ............................................ designated from time to time .......................................... paragraph (d) of this section to the Director of the Division of Market Oversight, to, with the concurrence of the Director of the Division of Market Oversight or the Director’s delegate, determine. to, with the concurrence of the Director of the Division of Market Oversight or the Director’s delegate, approve. Division of Data Division of Data designate designated paragraph (d) of this section to the Director of the Division of Data, to determine 16.07(b) ................................ 16.07(c) ................................ PART 17—REPORTS BY REPORTING MARKETS, FUTURES COMMISSION MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS to approve Authority: 7 U.S.C. 2, 6a, 6c, 6d, 6f, 6g, 6i, 6t, 7, 7a, and 12a. § 17.03 [Amended] from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: 27. For each paragraph indicated in the left column of the following table, remove the text in the middle column ■ 26. The authority citation for part 17 continues to read as follows: ■ ddrumheller on DSK120RN23PROD with RULES1 [Amended] at the Commission’s Washington, DC headquarters Authority: 7 U.S.C. 2, 6a, 6c, 6g, 6i, 7, and 7b–3. ■ Authority: 7 U.S.C. 2, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 7, 7a, 9, 12a, 19, and 21, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111–203, 124 Stat. 1376 (2010). Add PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES § 16.07 71809 Section Remove 17.03 (section heading) ....... 17.03 introductory text ......... 17.03 introductory text ......... 17.03(a) ................................ 17.03(b) ................................ 17.03(c) ................................ 17.03(d) ................................ 17.03(e) ................................ Office of Data and Technology ....................................... Office of Data and Technology ....................................... designated from time to time .......................................... Office of Data and Technology ....................................... Office of Data and Technology ....................................... Office of Data and Technology ....................................... Office of Data and Technology ....................................... Office of Data and Technology ....................................... VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 PO 00000 Frm 00007 Add Fmt 4700 Sfmt 4700 Division of Data Division of Data designated Division of Data Division of Data Division of Data Division of Data Division of Data E:\FR\FM\04SER1.SGM 04SER1 71810 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove 17.03(e) ................................ 17.03(f) ................................. 17.03(f) ................................. 17.03(g) ................................ 17.03(h) ................................ 17.03(i) ................................. designate from time to time, ........................................... Office of Data and Technology ....................................... designate from time to time, ........................................... Division of Market Oversight ........................................... Division of Market Oversight ........................................... Director of the Office of Data and Technology ............... designate, Division of designate, Division of Division of Director of PART 18—REPORTS BY TRADERS Authority: 7 U.S.C. 2, 4, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 6t, 12a, and 19. 28. The authority citation for part 18 continues to read as follows: § 18.03 ■ 18.03(a) 18.03(b) 18.03(b) 18.03(c) ................................ ................................ ................................ ................................ [Amended] 29. For each paragraph indicated in the left column of the following table, ■ Section Data Data Data the Division of Data remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Remove Add designate from time to time. ........................................... designate from time to time. ........................................... Office of Data and Technology ....................................... Office of Data and Technology ....................................... designate. designate. Division of Data Division of Data PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, 19. 30. The authority citation for part 20 continues to read as follows: ■ § 20.8 [Amended] 31. For each paragraph indicated in the left column of the following table, ■ remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Section Remove Add 20.8(a) .................................. 20.8(b) .................................. designate from time to time, ........................................... Director of the Division of Market Oversight ................... 20.8(b) 20.8(c) 20.8(c) 20.8(d) designate from time to time, ........................................... designate from time to time, ........................................... Office of Data and Technology ....................................... Office of Data and Technology, with the concurrence of the Director of the Division of Market Oversight, or such other employee or employees as the Directors each may designate from time to time. Office of Data and Technology ....................................... designate, Director of the Division of Data, in consultation with the Director of the Division of Market Oversight designate, designate, Division of Data Division of Data, or such other employee or employees as the Director may designate .................................. .................................. .................................. .................................. 20.8(e) .................................. 32. The authority citation for part 23 continues to read as follows: ■ §§ 23.23, 23.102, 23.160 and 23.206 [Amended] Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6b–1, 6c, 6p, 6r, 6s, 6t, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21. VerDate Sep<11>2014 17:03 Sep 03, 2024 following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: 33. For each section and paragraph indicated in the left column of the ■ Section 23.23(g)(8) ........................... 23.23(g)(8) ........................... 23.102(e)(3) ......................... 23.160(c)(7) .......................... 23.160(c)(7) .......................... 23.206 (section heading) ..... 23.206(a) .............................. 23.206(a) .............................. 23.206(b) .............................. Division of Data Section 23.160 also issued under 7 U.S.C. 2(i); Sec. 721(b), Pub. L. 111–203, 124 Stat. 1641 (2010). PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS ddrumheller on DSK120RN23PROD with RULES1 Add Remove Division of Swap Dealer and designate from time to time, Division of Swap Dealer and Division of Swap Dealer and designate from time to time, Division of Swap Dealer and Division of Swap Dealer and designate from time to time, Division of Swap Dealer and Jkt 262001 PO 00000 Add Intermediary Oversight ..... ........................................... Intermediary Oversight ..... Intermediary Oversight ..... ........................................... Intermediary Oversight ..... Intermediary Oversight ..... ........................................... Intermediary Oversight ..... Frm 00008 Fmt 4700 Sfmt 4700 Market Participants designate, Market Participants Market Participants designate, Market Participants Market Participants designate, Market Participants E:\FR\FM\04SER1.SGM Division Division Division Division Division Division 04SER1 71811 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS 34. The authority citation for part 30 continues to read as follows: ■ Authority: 7 U.S.C. 1a, 2, 6, 6c, and 12a, unless otherwise noted. §§ 30.7 and 30.13 and Appendix E and F [Amended] 35. For each section and paragraph indicated in the left column of the ■ Section Remove 30.7(d)(3)(i) .......................... director of the Division of Swap Dealer and Intermediary Oversight. director’s designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director’s designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ Office of General Counsel .............................................. Office of General Counsel .............................................. Director of Market Oversight or his designee, ................ 30.7(d)(3)(i) .......................... 30.7(d)(3)(ii) ......................... 30.7(d)(3)(ii) ......................... 30.7(d)(5) ............................. 30.7(d)(5) ............................. 30.7(d)(5) ............................. 30.7(d)(6) ............................. 30.7(d)(6) ............................. 30.7(d)(6) ............................. 30.13(f)(1) ............................ 30.13(n) ................................ 30.13(o) ................................ 30.13(o) ................................ Appendix E ........................... Appendix E ........................... Appendix E ........................... Appendix F ........................... Appendix F ........................... Appendix F ........................... Add the General Counsel or his designee ............................. director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ director of the Division of Swap Dealer and Intermediary Oversight. director of the Division of Clearing and Risk .................. directors’ designees ........................................................ Director of the Market Participants Division Director’s designees Director of the Market Participants Division Director’s designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Office of the General Counsel Office of the General Counsel Director of the Division of Market Oversight or their designee, the General Counsel or their designee Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees Director of the Market Participants Division Director of the Division of Clearing and Risk Directors’ designees § 31.13 Financial reports of leverage transaction merchants. PART 31—LEVERAGE TRANSACTIONS * 36. The authority citation for part 31 continues to read as follows: ■ Authority: 7 U.S.C. 12a and 23, unless otherwise noted. 37. In § 31.13, revise paragraph (n) and the undesignated text following paragraph (n)(1) to read as follows: ■ * * * * (n) * * * (1) Until such time as the Commission orders, otherwise, the Commission hereby delegates to the Director of the Market Participants Division or their designee the authority to perform all functions reserved to the Commission in this section. (2) The Director of the Market Participants Division may submit to the Commission for its consideration any matter which has been delegated to them pursuant to paragraph (n)(1) of this section. §§ 31.14, 31.28 and Appendix A [Amended] 38. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ Section Remove Add 31.14(a) ................................ 31.28(j) ................................. Division of Swap Dealer and Intermediary Oversight ..... give telegraphic notice of that event to the principal office of the Commission in Washington, DC. attention of the Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Market Participants Division give electronic notice of that event to MPDAlerts@ cftc.gov Commission at its Washington, DC headquarters, Attn: Financial Management Branch Appendix A ........................... ddrumheller on DSK120RN23PROD with RULES1 following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: PART 37—SWAP EXECUTION FACILITIES 39. The authority citation for part 37 continues to read as follows: ■ Authority: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a– 2, 7b–3, and 12a, as amended by Titles VII and VIII of the Dodd-Frank Wall Street VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 Reform and Consumer Protection Act, Pub. L. 111–203, 124 Stat. 1376. § 37.3 [Amended] Frm 00009 Fmt 4700 41. The authority citation for part 41 continues to read as follows: ■ 40. In § 37.3(h), remove ‘‘General Counsel’s delegate’’ and add ‘‘General Counsel’s designee’’ in its place. ■ PO 00000 PART 41—SECURITY FUTURES PROJECTS Sfmt 4700 Authority: Sections 206, 251 and 252, Pub. L. 106–554, 114 Stat. 2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a–2, 12a; 15 U.S.C. 78g(c)(2). E:\FR\FM\04SER1.SGM 04SER1 71812 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations § 43.3 Method and timing for real-time public reporting. 42. Amend § 41.3 by revising paragraph (d) to read as follows: ■ § 41.3 Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act. * * * * * (d) An application for an order must be submitted to the Director of the Market Participants Division, at the Commission’s Washington, DC headquarters if in paper form, or to MPDletters@cftc.gov if submitted via electronic mail. * * * * * PART 43—REAL-TIME PUBLIC REPORTING 43. The authority citation for part 43 continues to read as follows: ■ Authority: 7 U.S.C. 2(a), 12a(5) and 24a, as amended by Pub. L. 111–203, 124 Stat. 1376 (2010). 44. In § 43.3, revise paragraph (e)(1)(ii) to read as follows: ■ * * * * (e) * * * (1) * * * (ii) Notification of failure to timely correct. If the swap execution facility, designated contract market, or reporting counterparty will, for any reason, fail to timely correct an error, the swap execution facility, designated contract market, or reporting counterparty shall notify the Director of the Division of Data, or such other employee or employees of the Commission as the Director may designate. The notification shall be in the form and manner, and according to the instructions, specified by the Director of the Division of Data in concurrence with the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the respective Director may designate. Unless otherwise instructed by the Director of the Section Remove 43.7(a) .................................. 43.7(a) .................................. 43.7(b) .................................. the Director of the Division of Market Oversight ............ designate from time to time ............................................ The Director of the Division of Market Oversight may ... PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS 46. The authority citation for part 45 continues to read as follows: ■ Authority: 7 U.S.C. 6r, 7, 7a–1, 7b–3, 12a, and 24a, as amended by Title VII of the Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111–203, 124 Stat. 1376 (2010), unless otherwise noted. 47. In § 43.14, revise paragraph (a)(1)(ii) to read as follows: ■ §§ 45.14 Correcting errors in swap data and verification of swap data accuracy. ddrumheller on DSK120RN23PROD with RULES1 * (a) * * * (1) * * * (ii) Notification of failure to timely correct. If the swap execution facility, designated contract market, or reporting counterparty will, for any reason, fail to timely correct an error, the swap execution facility, designated contract market, or reporting counterparty shall notify the Director of the Division of Data, or such other employee or employees of the Commission as the Director may designate. The notification shall be in the form and manner, and according to the instructions, specified by the Director of the Division of Data in concurrence with the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the respective Director VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 Delegation of authority. Frm 00010 [Amended] 45. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ the Director of the Division of Data designate The Director of the Division of Data may (a) Delegation of authority to the Director of the Division of Data. The Commission hereby delegates to its Director of the Division of Data, until the Commission orders otherwise, the authority set forth in paragraph (a) of this section, to be exercised by the Director of the Division of Data or by such other employee or employees of the Commission as may be designated by the Director of the Division of Data. The Director of the Division of Data may submit to the Commission for its consideration any matter which has been delegated in this paragraph. PO 00000 § 43.7 Add may designate. Unless otherwise instructed by the Director of the Division of, the notification shall include an initial assessment of the scope of the error or errors that were discovered, and shall include any initial remediation plan for correcting the error or errors, if an initial remediation plan exists. This notification shall be made within 12 hours of the swap execution facility’s, designated contract market’s, or reporting counterparty’s determination that it will fail to timely correct the error. * * * * * ■ 48. In § 43.15, revise paragraphs (a) introductory text, (a)(4), (b) introductory text, and (b)(4) to read as follows: § 45.15 Division of Data, or such other employee or employees of the Commission as the Director may designate from time to time, the notification shall include an initial assessment of the scope of the error or errors that were discovered, and shall include any initial remediation plan for correcting the error or errors, if an initial remediation plan exists. This notification shall be made within 12 hours of the swap execution facility’s, designated contract market’s, or reporting counterparty’s determination that it will fail to timely correct the error. * * * * * Fmt 4700 Sfmt 4700 Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated to the Director of the Division of Data by this paragraph (a) shall include: * * * * * (4) The Director of the Division of Data shall publish in the Federal Register and on the website of the Commission the format, data schema, electronic data transmission methods and procedures, and dates and times for reporting acceptable to the Commission with respect to swap data reporting pursuant to § 45.11. (b) Delegation of authority to the Director of the Division of Data. The Commission hereby delegates to the Director of the Division of Data, until the Commission orders otherwise, the authority set forth in § 45.13(a)(1), to be exercised by the Director of the Division of Data or by such other employee or employees of the Commission as may be designated by the Director of the Division of Data. The Director of the Division of Data may submit to the Commission for its consideration any matter which has been delegated pursuant to this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations to the Director of the Division of Data by this paragraph (b) shall include: * * * * * (4) The Director of the Division of Data shall publish from time to time in the Federal Register and on the website of the Commission the technical specifications for swap data reporting pursuant to § 45.13(a)(1). exercising the authority delegated in this paragraph. The authority delegated to the Director of the Division of Data by paragraph (c) of this section shall include: * * * * * PART 46—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-ENACTMENT AND TRANSITION SWAPS ■ 51. The authority citation for part 49 continues to read as follows: Authority: 7 U.S.C. 1a, 2(a), 6r, 12a, and 24a, as amended by Title VII of the Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111–203, 124 Stat. 1376 (Jul. 21, 2010), unless otherwise noted. 49. The authority citation for part 46 continues to read as follows: ■ Authority: Title VII, sections 723 and 729, Pub. L. 111–203, 124 Stat. 1738. 50. Amend § 46.8 by: a. Revising paragraph (c) introductory text; and ■ b. In paragraph (d), removing the term ‘‘Chief Information Officer’’ and adding, in its place, the term, ‘‘Director of the Division of Data’’. The revision reads as follows: ■ ■ § 46.8 Data reporting for swaps in a swap asset class not accepted by any swap data repository. * * * * * (c) Delegation of authority to the Director of the Division of Data: The Commission hereby delegates to its Director of the Division of Data, until the Commission orders otherwise, the authority set forth in this paragraph (c), to be exercised by the Director of the Division of Data or by such other employee or employees of the Commission as may be designated by the Director of the Division of Data. The Director of the Division of Data may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from 52. § 49.31 is revised to read as follows: ■ § 49.31 Delegation of authority to the Directors of the Division of Market Oversight and Division of Data relating to certain part 49 matters. (a) The Commission hereby delegates, until such time as the Commission orders otherwise, the following functions to the Director of the Division of Market Oversight and to such members of the Commission staff acting under their direction as they may designate: (1) All functions reserved to the Commission in § 49.5. (2) All functions reserved to the Commission in § 49.12. (3) All functions reserved to the Commission in § 49.13. (4) All functions reserved to the Commission in § 49.16. (5) All functions reserved to the Commission in § 49.17. (6) All functions reserved to the Commission in § 49.18. (7) All functions reserved to the Commission in § 49.22. (8) All functions reserved to the Commission in § 49.23. (9) All functions reserved to the Commission in § 49.24 (10) All functions reserved to the Commission in § 49.25. (11) All functions reserved to the Commission in § 49.29. (12) All functions reserved to the Commission in § 49.30. (b) The Commission hereby delegates, until such time as the Commission orders otherwise, the following functions to the Director of the Division of Data and to such members of the Commission staff acting under their direction as they may designate: (1) All functions reserved to the Commission in § 49.9. (2) All functions reserved to the Commission in § 49.10. (c) The Director of the Division of Market Oversight, and, separately, the Director of the Division of Data may submit to the Commission for its consideration any matter that has been delegated under this section. (d) Nothing in this section may prohibit the Commission, at its election, from exercising the authority delegated in this section. PART 140—ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION 53. The authority citation for part 140 continues to read as follows: ■ Authority: 7 U.S.C. 2(a)(12), 12a, 13(c), 13(d), 13(e), and 16(b). §§ 140.2, 140.11, 140.13, 140.24, 140.72, 140.73, 140.75, 140.76, 140.91, 140.92, 140.93, 140.94, 140.95, 140.96, and 140.99 [Amended] 54. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ Section Remove Add 140.2 section heading ....................................... 140.2(a) ............................................................. regional coordinator .......................................... 140 Broadway, New York, New York, 10005 .. 140.2(b) ............................................................. 525 West Monroe Street, Suite 1100, Chicago, Illinois 60661. Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, Missouri 64112. Regional Coordinator ....................................... principal offices of the commission .................. the Chairman, the Vice-Chairman, and ........... the Commission’s offices in Washington, DC .. Regional Administrator 290 Broadway, 6th Floor, New York, NY 10007 77 W. Jackson Blvd., Suite 800, Chicago, IL 60604 2600 Grand Blvd, Suite 210, Kansas City, MO 64108 Regional Administrator Commission headquarters the Chairman and the Commission’s Washington, DC headquarters General Counsel or their deputy Senior Commissioner or at their direction until such time as their appointment as Chairman Executive Director or their designee 140.2(c) .............................................................. ddrumheller on DSK120RN23PROD with RULES1 PART 49—SWAP DATA REPOSITORIES 71813 140.2 .................................................................. 140.11(a) ........................................................... 140.11(a) ........................................................... 140.11(b)(1) ....................................................... 140.11(b)(1) ....................................................... 140.11(c) ............................................................ 140.13 ................................................................ 140.24(a)(4) ....................................................... VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 General Counsel or his deputy ........................ Senior Commissioner or at his direction .......... until such time as his appointment as Chairman. Executive Director or his delegee .................... PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\04SER1.SGM 04SER1 71814 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove Add 140.24(a)(6) ....................................................... Executive Director or his delegee .................... 140.72(a) ........................................................... Division of Swap Dealer and Intermediary Oversight. the Director of the Division of Market Oversight, the Director of the Division of Enforcement, may designate from time to time ..................... Regional Coordinator ....................................... Division of Swap Dealer and Intermediary Oversight. may designate from time to time ..................... the Director of the Division of Enforcement, the Director of the Division of Market Oversight, his or her .......................................................... Director of Market Oversight or in his or her absence each Deputy Director of the Division or for the Director of the Market Surveillance Section to release. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. acting under his or her direction as the Director may designate from time to time. Director of Trading and Markets or any Commission employee designated by the Director. Executive Director or their designee in consultation with the General Counsel or their designee Market Participants Division 140.72(a) ........................................................... 140.72(a) ........................................................... 140.72(b) ........................................................... 140.73(a) ........................................................... 140.73(a) ........................................................... 140.73(a) ........................................................... 140.73(b) ........................................................... 140.73(b) ........................................................... 140.75 (section heading) ................................... 140.75 ................................................................ 140.75 ................................................................ 140.75 ................................................................ 140.75 ................................................................ 140.76(a) ........................................................... 140.76(b) ........................................................... 140.91 (section heading) ................................... 140.91(a) ........................................................... 140.91(a)(13) ..................................................... 140.91(b) ........................................................... ddrumheller on DSK120RN23PROD with RULES1 140.92(a) ........................................................... 140.92(b) ........................................................... 140.92(c) ............................................................ VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight, the General Counsel or any. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. Division of Swap Dealer and Intermediary Oversight. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission’s staff acting under his direction as he may designate from time to time: Any action taken pursuant to the delegation of authority under this paragraph (a)(12) shall be made with the concurrence of the General Counsel or, in his or her absence, a Deputy General Counsel. The Director of the Division of Clearing and Risk and the Director of the Division Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him or her. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission’s staff acting under his direction as he may designate. The Director of the Division of Clearing and Risk and Division Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 the Director of the Division of Market Oversight, the Director of the Division of Data, the Director of the Division of Enforcement, may designate Regional Administrator Market Participants Division may designate the Director of the Division of Enforcement, the Director of the Division of Data, the Director of the Division of Market Oversight, their Director of Market Oversight or in their absence each Deputy Director of the Division to release Director of the Division of Clearing and Risk and to the Director of the Market Participants Division Director of the Division of Clearing and Risk and to the Director of the Market Participants Division acting under their direction as either Director may designate Director of the Division of Clearing and Risk, the Director of the Market Participants Division, or any Commission employee designated by either Director Director of the Division of Clearing and Risk or the Director of the Market Participants Division Director of the Division of Clearing and Risk, the Director of the Market Participants Division, the General Counsel, or any Commission employee under their direction as they may designate Director of the Division of Clearing and Risk, the Director of the Market Participants Division Market Participants Division Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission’s staff acting under their direction as they may designate: Any action taken pursuant to the delegation of authority under this paragraph (a)(13) shall be made with the concurrence of the General Counsel or, in their absence, a Deputy General Counsel. The Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission’s staff acting under their direction as they may designate The Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them Director of the Division of Clearing and Risk and to the Director of the Market Participants Division E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove 140.93 section heading ..................................... Division of Swap Dealer and Intermediary Oversight. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission’s staff acting under his direction as he may designate from time to time. The Director of the Division of Clearing and Risk and Division Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. Director of the Division of Swap Dealer and Intermediary Oversight and the Director of the Division of Clearing and Risk. 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. Division of Swap Dealer and Intermediary Oversight. under his or her direction as he or she may designate from time to time:. delegated to him or her .................................... Division of Swap Dealer and Intermediary Oversight. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission’s staff acting under his direction as he may designate. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him. Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight. Director of the Division of Market Oversight or the Director’s designee, 140.93(a) ........................................................... 140.93(b) ........................................................... 140.93(c) ............................................................ 140.94 (section heading) ................................... 140.94(a) ........................................................... 140.94(b) ........................................................... 140.94(c) ............................................................ 140.94(d) ........................................................... 140.94(e) ........................................................... 140.95(a) ........................................................... 140.95(b) ........................................................... 140.95(c) ............................................................ 140.96(a) ........................................................... 140.96(b) ........................................................... 140.96(c) ............................................................ ddrumheller on DSK120RN23PROD with RULES1 140.96(d) ........................................................... 140.99(a)(5) ....................................................... VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 71815 Add Market Participants Division Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission’s staff acting under their direction as they may designate The Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them Director of the Division of Clearing and Risk and the Director of the Market Participants Division Director of the Market Participants Division and to the Director of the Division of Clearing and Risk Director of the Market Participants Division and to such members of the Commission’s staff acting under their direction as they may designate Market Participants Division under their direction as they may designate: delegated to them Market Participants Division Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission’s staff acting under their direction as they may designate Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them Director of the Division of Clearing and Risk and to the Director of the Market Participants Division Director of the Division of Market Oversight or the Director’s designee, or the Director of the Division of Data or the Director’s designee, the Director of Swap Dealer and Intermediary the Director of the Market Participants Division Oversight or the Director’s designee, and to or the Director’s designee, and to the Directhe Director of the Division of Clearing and tor of the Division of Clearing and Risk or Risk or the Director’s designee or the Directhe Director’s designee, with the concurtor’s designee, with the concurrence of the rence of the General Counsel or the GenGeneral Counsel or the General Counsel’s eral Counsel’s designee, the authority to dedesignee, the authority to determine to pubtermine to publish, and to publish, in the lish, and to publish, in the FEDERAL REGFEDERAL REGISTER, requests for public comISTER, requests for public comment on proment on proposed rule amendments by a posed exchange and self-regulatory organiderivatives clearing organization, designated zation rule amendments. contract market, swap data repository, swap execution facility, or registered futures association. Director of the Division of Swap Dealer and Director of the Market Participants Division or Intermediary Oversight or the Director of the the Director of the Division of Clearing and Division of Clearing and Risk. Risk or the Director of the Division of Data Director of the Division of Market Oversight Director of the Division of Market Oversight or and to the Director of the Division of Swap to the Director of the Market Participants DiDealer and Intermediary Oversight or the vision or to the Director of the Division of Director of the Division of Clearing and Risk. Clearing and Risk or to the Director of the Division of Data Division of Swap Dealer and Intermediary Market Participants Division, the Division of Oversight, the Division of Clearing and Risk Clearing and Risk, the Division of Market or the Division of Market Oversight. Oversight, the Division of Data, or the Office of the General Counsel, or any successor divisions or organizational units, as the context requires PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\04SER1.SGM 04SER1 71816 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section Remove 140.99(d)(2)(ii) ................................................... Director of the Division of Swap Dealer and Intermediary Oversight. Director, Division of Clearing and Risk, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. 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. Director of the Market Participants Division Commodity Futures Trading Commission, at the Commission’s Washington, DC headquarters. (B) A request for a letter regarding the form and manner of data reporting, data standards for reporting, or the content of any trade report or form to be submitted to the Commission, under Parts 15–20, 43, 45, 46, or 49, shall be filed with the Director, Division of Data at the Commission’s Washington, DC headquarters. * * * * * PART 144—PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN RESPONSE TO SUBPOENAS OR OTHER DEMANDS OF A COURT 140.99(d)(2)(ii) ................................................... 140.99(d)(2)(iii) .................................................. 140.99(d)(2)(iv) .................................................. 55. Section 140.99 is further amended by revising paragraph (d)(2)(i) to read as follows: ■ § 140.99 Requests for exemptive, noaction and interpretative letters * * * * * (d) * * * (2)(i)(A) A request for a letter relating to the provisions of the Act or the Commission’s rules, regulations, or orders issued thereunder governing designated contract markets, registered swap execution facilities, registered swap data repositories, registered foreign 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, the trading of block trades, or position aggregation treatment shall be filed with the Director, Division of Market Oversight, PART 142—INDEMNIFICATION OF CFTC EMPLOYEES 56. The authority citation for part 142 continues to read as follows: ■ Authority: 7 U.S.C. 4a(j). § 142.2 [Amended] 57. In § 142.2(d), remove ‘‘Office of General Counsel’’ and add ‘‘Office of the General Counsel’’ in its place. ■ Section Remove 144.1(b) ................................ Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. National Futures Association, 200 West Madison Street, Suite 1600, Chicago, Illinois 60606. Commission’s office in Washington, DC ......................... 144.1(e) ................................ 144.5(a) ................................ ddrumheller on DSK120RN23PROD with RULES1 Add Section 145.5 is also issued under 5 U.S.C. 552, 5 U.S.C. 552b, and secs. 2(a)(11), 4b, 4f, 4g, 5a, 8a, and 17 of the Commodity Exchange Act, 7 U.S.C. 2, 4a(j), 6b, 6f, 6g, 7a, 17:03 Sep 03, 2024 Jkt 262001 PO 00000 Frm 00014 58. The authority citation for part 144 continues to read as follows: ■ Authority: 5 U.S.C. 301; 7 U.S.C. 4a(j) and 12a(5); 31 U.S.C. 9701, unless otherwise noted. §§ 144.1 and 144.5 [Amended] 59. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606 Commission’s Washington, DC headquarters Authority: Pub. L. 99–570, 100 Stat. 3207; Pub. L. 89–554, 80 Stat. 383; Pub. L. 90–23, 81 Stat. 54; Pub. L. 98–502, 88 Stat. 1561– VerDate Sep<11>2014 or dodletters@cftc.gov (for a request filed with the Division of Data), or mpdletters@ cftc.gov (for a request filed with the Market Participants Division), as appropriate, and a properly signed paper copy of the request must be provided to the Division of Market Oversight, the Division of Data, the Division of Clearing and Risk, or the Market Participants Division, as appropriate, pursuant to paragraphs (d)(2)(i) through (iii) of this section, as applicable, within ten days for purposes of verification of the electronic submission. at the Commission’s Washington, DC headquarters. ■ 60. The authority citation for part 145 continues to read as follows: Director of the Market Participants Division at the Commission’s Washington, DC headquarters. Add 1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93– 463, 88 Stat. 1389 (5 U.S.C. 4a(j)); Pub. L. 114–185, 130 Stat. 538; unless otherwise noted. PART 145—COMMISSION RECORDS AND INFORMATION Director of the Division of Clearing and Risk at the Commission’s Washington, DC headquarters. Fmt 4700 Sfmt 4700 12a, and 21, as amended, 92 Stat. 865 et seq.; secs. 2(a)(1), 4c(a)–(d), 4d, 4f, 4g, 4k, 4m, 4n, 8a, 15 and 17, Commodity Exchange Act (7 U.S.C. 2, 4, 6c(a)–(d), 6f, 6g, 6k, 6m, 6n, 12a, 19 and 21; 5 U.S.C. 552 and 552b); secs. 2(a)(11) and 8 of the Commodity Exchange Act, 7 U.S.C. 4(j) and 12 (1983); secs. 8a(5) and 19 of the Commodity Exchange Act, as E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations amended, 7 U.S.C. 12a(5) and 23 (1982); 5 U.S.C. 552 and 552b. Section 145.6 is also issued under 7 U.S.C. 2, 4, 6, and 12; secs. 2(a)(1), 4c, 4d, 4e, 4f, 4k, 4m, 4n, 4p, 8, 8a and 19 of the Commodity Exchange Act (7 U.S.C. 2 and 4, 6c, 6d, 6e, 6f, 6k, 6m, 6n, 6p, 12, 12a and 23 (1982)); 5 U.S.C. 552 and 552b. Section 145.8 is also issued under 7 U.S.C. 4a(j) and 16a as amended by Pub. L. 97–444, 96 Stat. 2294 (1983), and 5 U.S.C. 552, 552a and 552b. 61. In § 145.0, revise paragraph (a) to read as follows: §§ 145.2, 145.6, 145.7, 145.8, and 145.9 and Appendix A [Amended] § 145.0 ■ ■ Definitions. * * * * * (a) FOIA Compliance Staff—refers to the Freedom of Information Act compliance staff assigned to respond to requests for information under the Freedom of Information Act. * * * * * 62. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Section Remove Add 145.2 .................................... 145.6(b)(1) ........................... principal office of the Commission in Washington, DC .. National Futures Association, 200 West Madison Street, Suite 1600, Chicago, Illinois 60606. Office of General Counsel .............................................. Office of General Counsel .............................................. Office of General Counsel .............................................. Office of General Counsel .............................................. Compliance Staff ............................................................. Compliance Staff ............................................................. Office of General Counsel .............................................. Compliance Staff ............................................................. Office of General Counsel .............................................. Compliance Staff ............................................................. Office of General Counsel .............................................. Compliance Staff ............................................................. Compliance Staff ............................................................. Office of General Counsel .............................................. Office of General Counsel .............................................. Compliance Staff ............................................................. Compliance Staff ............................................................. Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance. Commission’s Washington, DC headquarters National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606 Office of the General Counsel Office of the General Counsel Office of the General Counsel Office of the General Counsel FOIA compliance staff FOIA compliance staff Office of the General Counsel FOIA compliance staff Office of the General Counsel FOIA compliance staff Office of the General Counsel FOIA compliance staff FOIA compliance staff Office of the General Counsel Office of the General Counsel FOIA compliance staff FOIA compliance staff Office of the General Counsel at the Commission’s Washington, DC headquarters, Attn: FOIA compliance staff FOIA compliance staff 145.7(b) ................................ 145.7(c) ................................ 145.7(f) ................................. 145.7(g) ................................ 145.7(h)(1) ........................... 145.7(h)(2) ........................... 145.7(h)(3) ........................... 145.7(h)(3) ........................... 145.7(i)(2) ............................. 145.7(i)(2) ............................. 145.7(i)(5) ............................. 145.7(i)(6) ............................. 145.7(i)(6)(iii) ........................ 145.7(i)(7) ............................. 145.7(j) ................................. 145.7(j) ................................. 145.8 .................................... 145.9(d)(2) ........................... 145.9(d)(3) ........................... 145.9(d)(7) ........................... 145.9(d)(9) ........................... 145.9(d)(9) ........................... 145.9(e)(1) ........................... 145.9(e)(1) ........................... 145.9(f)(1) ............................ 145.9(f)(2) ............................ 145.9(f)(3) ............................ 145.9(g)(3) ........................... 145.9(g)(3) ........................... 145.9(g)(5) ........................... 145.9(g)(7) ........................... 145.9(g)(8) ........................... 145.9(g)(10) ......................... 145.9(h) ................................ Appendix A introductory text ddrumheller on DSK120RN23PROD with RULES1 71817 Appendix Appendix Appendix Appendix A (a) (heading) ..... A, (d) (heading) .... A, (g) (heading) .... A, (g) .................... VerDate Sep<11>2014 17:03 Sep 03, 2024 Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance. Assistant Secretary ......................................................... Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance or his or her designee. Assistant Secretary or his or her designee .................... Assistant Secretary or his or her designee .................... Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance. Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance or his or her designee. Assistant Secretary or his or her designee .................... Assistant Secretary or his or her designee .................... Office of General Counsel .............................................. Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance. Office of General Counsel .............................................. Office of General Counsel .............................................. Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance. The General Counsel or his or here designee ............... Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance. Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Office of External Affairs ................................................. Executive Director, Administrative Services Section ...... Division of Swap Dealer and Intermediary Oversight ..... National Futures Association, 200 West Madison Street, Suite 1600, Chicago, Illinois 60606. Jkt 262001 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 FOIA compliance staff FOIA compliance staff FOIA compliance staff FOIA compliance staff FOIA compliance staff FOIA compliance staff FOIA compliance staff FOIA compliance staff Office of the General Counsel FOIA compliance staff Office of the General Counsel Office of the General Counsel FOIA compliance staff The General Counsel or their designee FOIA compliance staff the Commission’s Washington, DC headquarters Office of Public Affairs Chief Administrative Officer, Division of Administration Market Participants Division National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606 E:\FR\FM\04SER1.SGM 04SER1 71818 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations 63. Section 145.6 is further amended by revising paragraph (a) to read as follows: ■ § 145.6 Commission offices to contact for assistance; registration records available. (a) All requests for non-public records shall be made in writing and shall be addressed or otherwise directed to the Office of the General Counsel at the Commission’s Washington, DC headquarters, Attn: FOIA Request, or electronically via foiasubmissions@ cftc.gov. Requests for public records directed to a regional office of the Commission pursuant to § 145.2 should be sent to the Eastern Regional Office, PART 146—RECORDS MAINTAINED ON INDIVIDUALS 64. The authority citation for part 146 continues to read as follows: ■ Authority: 88 Stat. 1896 (5 U.S.C. 552a), as amended; 88 Stat. 1389 (7 U.S.C. 4a(j)). 65. In § 146.2, revise paragraph (c) to read as follows: ■ § 146.2 * * Definitions. * * * (c) The term FOIA compliance staff refers to the Freedom of Information Act compliance staff assigned to respond to requests for information under the Freedom of Information Act; * * * * * §§ 146.3, 146.4, 146.5, 146.6, 146.8, 146.9, and 146.11 and Appendix A [Amended] 66. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ Section Remove Add 146.3(a) ................................ 146.3(a) ................................ pertaining to him ............................................................. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Executive Director ........................................................... his identity ....................................................................... he is familiar with and understands ................................ FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581, pertaining to him ............................................................. under his name ............................................................... if he believes ................................................................... the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Executive Director ........................................................... Executive Director ........................................................... Executive Director ........................................................... Executive Director ........................................................... FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. FOI, Privacy and Sunshine Acts compliance staff, Office of Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. pertaining to them FOIA compliance staff in the Office of the General Counsel at the Commission’s Washington, DC headquarters and clearly marked ‘‘Privacy Act request.’’ 146.4(b) 146.4(b) 146.4(b) 146.4(b) ................................ ................................ ................................ ................................ 146.5(e) ................................ 146.5(f) ................................. 146.6(d) ................................ 146.8(a) 146.8(a) 146.8(a) 146.8(a) ................................ ................................ ................................ ................................ 146.8(d) ................................ 146.8(e) ................................ 146.8(f) ................................. 146.8(g) ................................ 146.8(h) ................................ 146.9(c) ................................ 146.9(d) ................................ 146.9(e)(3) ........................... ddrumheller on DSK120RN23PROD with RULES1 Central Regional Office, or Southwestern Regional Office, as applicable. * * * * * 146.11(b) .............................. Appendix A, (5)b. ................. VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 General Counsel their identity they are familiar with and understand FOIA compliance staff in the Office of the General Counsel at the Commission’s Washington, DC headquarters and clearly marked ‘‘Privacy Act request.’’ FOIA compliance staff FOIA compliance staff in the Office of the General Counsel at the Commission’s Washington, DC headquarters and clearly marked ‘‘Privacy Act request.’’ FOIA compliance staff in the Office of the General Counsel at the Commission’s Washington, DC headquarters, pertaining to them under their name if they believe the FOIA compliance staff at the Commission’s Washington, DC headquarters. Chief Privacy Officer at the Commission’s Washington, DC headquarters. General Counsel General Counsel General Counsel General Counsel General Counsel, Office of the General Counsel at the Commission’s Washington, DC headquarters. General Counsel Chief Privacy Officer Chief Privacy Officer at the Commission’s Washington, DC headquarters. FOIA compliance staff at the Commission’s Washington, DC headquarters. E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations §§ 147.4, 147.5, 147.6, 147.8, and 147.9 [Amended] § 147.2 ■ * * * * (g) The term FOIA Compliance staff refers to the Freedom of Information Act Compliance Staff assigned to respond to requests for information under the Freedom of Information Act. 69. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Section Remove Add 147.4(d)(1) ......................................................... , Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance after due consultation with the Office of the Commission’s General Counsel and the Director of any affected staff division. FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. at the Commission’s Washington, DC headquarters PART 149—ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES TRADING COMMISSION Commission’s Washington, DC headquarters’’ in its place. 67. The authority citation for part 147 continues to read as follows: ■ Authority: Sec. 3(a), Pub. L. 94–409, 90 Stat. 1241 (5 U.S.C. 552b); sec. 101(a)(11), Pub. L. 93–463, 88 Stat. 1391 (7 U.S.C. 4a(j) (Supp. V, 1975)), unless otherwise noted. 147.5(h) ............................................................. 147.5(i) ............................................................... 147.6(c) .............................................................. 147.8(a) ............................................................. 147.8(b)(1) ......................................................... 147.9(b) ............................................................. PART 148—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION 70. The authority citation for part 148 continues to read as follows: ■ Definitions. * 72. The authority citation for part 149 continues to read as follows: ■ Authority: Equal Access to Justice Act, 5 U.S.C. 504(c)(1) and secs. 2(a)(11) and 8a(5) of the Commodity Exchange Act, 7 U.S.C. 4a(j) and 12a(5), unless otherwise noted. Authority: 29 U.S.C 794, unless otherwise noted. § 148.30 § 149.170 [Amended] 71. In § 148.30, remove ‘‘Executive Director of the Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581,’’ and add ‘‘Executive Director at the Commission’s Washington, DC headquarters,’’ in its place. ■ ddrumheller on DSK120RN23PROD with RULES1 68. In § 147.2, revise paragraph (g) to read as follows: ■ PART 147—OPEN COMMISSION MEETINGS 71819 VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 [Amended] 73. In § 149.170(c), remove ‘‘Equal Employment Opportunity Officer, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581’’ and add ‘‘Equal Employment Opportunity Officer at the ■ PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 Office of the Secretariat at the Commission’s Washington, DC headquarters. Office of the Secretariat at the Commission’s Washington, DC headquarters. Office of the Secretariat at the Commission’s Washington, DC headquarters. Office of the Secretariat at the Commission’s Washington, DC headquarters. Office of the General Counsel in consultation with the Director of any affected staff division Office of the Secretariat at the Commission’s Washington, DC headquarters. PART 150—LIMITS ON POSITIONS 74. The authority citation for part 150 continues to read as follows: ■ Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, and 19, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111–203, 124 Stat. 1376 (2010). § 150.4 [Amended] 75. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ E:\FR\FM\04SER1.SGM 04SER1 71820 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations Section 150.4(e)(1) 150.4(e)(2) 150.4(e)(2) 150.4(e)(3) ........................... ........................... ........................... ........................... Remove Add may designate from time to time .................................... may designate from time to time .................................... Office of Data and Technology ....................................... Office of Data and Technology ....................................... may designate may designate Division of Data Division of Data PART 155—TRADING STANDARDS Authority: 7 U.S.C. 6b, 6c, 6g, 6j and 12a, unless otherwise noted. 76. The authority citation for part 155 continues to read as follows: §§ 155.3 and 155.4 ■ [Amended] 77. For each paragraph indicated in the left column of the following table, ■ Section Remove 155.2(i)(2) ............................. 155.2(i)(2) ............................. 155.3(a)(1) ........................... 155.4(a)(1) ........................... insured ............................................................................. insure ............................................................................... Insure .............................................................................. Insure .............................................................................. PART 160—PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACHBLILEY ACT 78. The authority citation for part 160 continues to read as follows: ■ Authority: 7 U.S.C. 7b–2 and 12a(5); 15 U.S.C 6801, et seq., and sec. 1093, Pub. L. 111–203, 124 Stat. 1376. § 160.30 Add ensured ensure Ensure Ensure PART 162—PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT 82. The authority citation for part 165 continues to read as follows: ■ 80. The authority citation for part 162 continues to read as follows: Authority: 7 U.S.C. 2, 5, 9, 12a(5), 13a, 13a–1, 13b, and 26. Authority: Sec. 1088, Pub. L. 111–203; 124 Stat. 1376 (2010). §§ 165.3, 165.7, 165.12, 165.15, and Appendix B [Amended] 83. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ■ [Amended] 81. In § 162.21(a)(1), remove ‘‘Insure’’ and add ‘‘Ensure’’ in its place. ■ 79. In § 160.30(a), remove ‘‘Insure’’ and add ‘‘Ensure’’ in its place. ■ Section Remove Add 165.3(a)(2) ........................... Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. to the Commission by mail or fax to Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581, Office of Customer Education and Outreach .................. Office of General Counsel .............................................. Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Whistleblower Office at the Commission’s Washington, DC headquarters. by mail or fax to the Whistleblower Office at the Commission’s Washington, DC headquarters, 165.7(b)(1) ........................... 165.12(c) .............................. 165.15(a)(2) ......................... Appendix B under Submission Procedures heading. Appendix B, under Submission Procedures heading. §§ 170.11 and 170.12 84. The authority citation for part 170 continues to read as follows: ■ 85. For each paragraph indicated in the left column of the following table, ■ Remove 170.11(a)(5) ......................... Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Division of Swap Dealer and Intermediary Oversight ..... Division of Swap Dealer and Intermediary Oversight ..... VerDate Sep<11>2014 17:03 Sep 03, 2024 Jkt 262001 at the Commission’s Washington, DC headquarters [Amended] Section 170.12 (section heading) ..... 170.12 .................................. Office of Public Affairs. Office of the General Counsel at the Commission’s Washington, DC headquarters Authority: 7 U.S.C. 6d, 6m, 6p, 6s, 12a, and 21. PART 170—REGISTERED FUTURES ASSOCIATIONS ddrumheller on DSK120RN23PROD with RULES1 PART 165— ■ § 162.21 [Amended] remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: PO 00000 Frm 00018 remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: Add Fmt 4700 Sfmt 4700 the Commission’s DC headquarters Market Participants Division Market Participants Division E:\FR\FM\04SER1.SGM 04SER1 Federal Register / Vol. 89, No. 171 / Wednesday, September 4, 2024 / Rules and Regulations PART 171—RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS 86. The authority citation for part 171 continues to read as follows: ■ §§ 171.2, 171.3, 171.8, 171.28, and 171.31 [Amended] appears in the section or paragraph, and add in its place the text indicated in the right column: 87. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it ■ Section Remove Add 171.2(c) ................................ Commission’s Opinions Section ..................................... 171.3 .................................... 171.8(a) ................................ principal office ................................................................. Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. the Division of Swap Dealer and Intermediary Oversight and the Division of Clearing and Risk or the Division of Market Oversight. the Division of Swap Dealer and Intermediary Oversight, and the Division of Clearing and Risk or the Division of Market Oversight. Office of the General Counsel’s Litigation, Enforcement, and Adjudication Section headquarters at the Commission’s Washington, DC headquarters 171.8(b) ................................ 171.28 .................................. 171.31(a) .............................. Issued in Washington, DC, on August 13, 2024, by the Commission. Robert Sidman Deputy Secretary of the Commission. Note: The following appendix will not appear in the Code of Federal Regulations. Appendix to Incorporation of Changes in the Commission’s Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text—Voting Summary Appendix 1—Voting Summary On this matter, Chairman Behnam and Commissioners Johnson, and Goldsmith Romero, Mersinger, and Pham voted in the affirmative. No Commissioner voted in the negative. the Market Participants Division, the Division of Clearing and Risk, the Division of Market Oversight, or the Division of Data the Market Participants Division, the Division of Clearing and Risk, the Division of Market Oversight, or the Division of Data vessels, and the marine environment from potential hazards created by a boat parade that is scheduled for the afternoon of September 14, 2024. Parade participants operating within the regulated area must comply with all instructions given by the on-scene Patrol Commander (PATCOM). Vessels or persons entering the regulated area during the enforcement period are subject to the direction and control of the on-scene PATCOM as designated and specifically authorized by the Captain of the Port, Sector Virginia. DATES: This rule is effective on September 14, 2024, from noon to 4 p.m. To view documents mentioned in this preamble as being available in the docket, go to https:// www.regulations.gov, type USCG–2024– 0751 in the search box and click ‘‘Search.’’ Next, in the Document Type column, select ‘‘Supporting & Related Material.’’ BILLING CODE 6351–01–P DEPARTMENT OF HOMELAND SECURITY If you have questions about this rule, call or email LCDR Justin Strassfield, Sector Virginia Waterways Management Division, U.S. Coast Guard; telephone 757–668–5581, email Justin.Z.Strassfield@uscg.mil. SUPPLEMENTARY INFORMATION: Coast Guard FOR FURTHER INFORMATION CONTACT: 33 CFR Part 100 [Docket Number USCG–2024–0751] RIN 1625–AA08 Special Local Regulation; Elizabeth River, Norfolk Harbor, Norfolk, VA I. Table of Abbreviations Coast Guard, DHS. ACTION: Temporary final rule. AGENCY: The Coast Guard is establishing a temporary regulation for waters of the Elizabeth River, in Norfolk, Virginia to protect personnel, SUMMARY: VerDate Sep<11>2014 at the Commission’s Washington, DC headquarters ADDRESSES: [FR Doc. 2024–18445 Filed 9–3–24; 8:45 am] ddrumheller on DSK120RN23PROD with RULES1 Authority: 7 U.S.C. 4a, 12a and 21, unless otherwise noted. 71821 17:03 Sep 03, 2024 Jkt 262001 CFR Code of Federal Regulations COTP Captain of the Port DHS Department of Homeland Security FR Federal Register NPRM Notice of proposed rulemaking PATCOM Patrol Commander § Section PO 00000 Frm 00019 Fmt 4700 Sfmt 4700 SLR Special Local Regulation U.S.C. United States Code II. Background Information and Regulatory History The Coast Guard is issuing this temporary rule under authority in 5 U.S.C. 553(b)(B). This statutory provision authorizes an agency to issue a rule without prior notice and opportunity to comment when the agency for good cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary to the public interest.’’ The Coast Guard finds that good cause exists for not publishing a notice of proposed rulemaking (NPRM) because it would be impracticable to publish an NPRM, consider comments, and publish a final rule before this rule needs to be in place to serve its purpose. This rule is necessary to accommodate the number of vessels expected to participate in the boat parade. The marine event sponsor of a boat parade is expecting to draw a high concentration of vessels to the Hampton Roads Harbor area along the proposed parade route. Traditionally, the Hampton Roads Harbor area serves as a major thoroughfare for commercial traffic, naval operations, ferry routes, and several other recreational uses through the connecting waters of the James River, Elizabeth River, and Lower Chesapeake Bay. The Coast Guard is establishing a Special Local Regulation (SLR) to monitor the parade before, during, and after the event to minimize impacts on this congested waterway. We must promulgate this rule by September 14, 2024, to ensure the safety of E:\FR\FM\04SER1.SGM 04SER1

Agencies

Commodity Futures Trading Commission

[Federal Register Volume 89, Number 171 (Wednesday, September 4, 2024)]
[Rules and Regulations]
[Pages 71803-71821]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-18445]


=======================================================================
-----------------------------------------------------------------------

COMMODITY FUTURES TRADING COMMISSION

17 CFR Parts 1, 3, 5, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 20, 
23, 30, 31, 37, 41, 43, 45, 46, 49, 140, 142, 144, 145, 146, 147, 
148, 149, 150, 155, 160, 162, 165, 170, and 171

RIN 3038-AF09


Incorporation of Changes in the Commission's Administrative 
Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text

AGENCY: Commodity Futures Trading Commission.

ACTION: Final rule.

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

SUMMARY: The agency's Divisions and Offices have been reorganized at 
the Chairman's direction, and with prior notification to relevant 
congressional committees. To ensure the CFR reflects these changes, the 
Commodity Futures Trading Commission (Commission or CFTC) is voting to 
make technical changes to various provisions within its regulations in 
order to align with its change in administrative structure, remove 
superfluous verbiage, and correct inaccurate text. In addition to the 
administrative changes required due to the realignment, the Commission 
is adopting technical changes to ensure consistency in reference to 
Commission addresses, deleting references to positions that have 
changed and updating the positions to align with the current Commission 
structure, correct typographical errors, and other technical changes.

DATES: These amendments are effective on September 4, 2024.

FOR FURTHER INFORMATION CONTACT: Joan Fina, Senior Assistant General 
Counsel, Telephone: (202) 418-7621, Email: [email protected], Office of 
the General Counsel, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581, or John 
Einstman, Deputy General Counsel (General Law), Telephone: (202) 418-
5337, Email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    An agency reorganization in November 2020 realigned key functions 
within the agency, including: (1) creating a new Division of Data 
(DOD); (2) reassigning the Executive Secretariat Branch from the Office 
of the Executive Director (OED) to the Office of the General Counsel 
(OGC); and (3) renaming and realigning the Division of Swap Dealer and 
Intermediary Oversight (DSIO) to the Market Participants Division (MPD) 
and (4) moving the Office of Customer Education and Outreach (OCEO) to 
the Office of Public Affairs.
    Technology has dramatically altered capital and commodity markets 
over the past few decades, and technologically induced innovations such 
as electronic exchanges, high-frequency trading, and exchange-traded 
funds have made trading faster, cheaper, more integrated, and 
increasingly complex. As a financial regulator in an ever-increasingly 
sophisticated market environment, it is becoming more and more crucial 
that the CFTC continue to focus on data and data reporting and invest 
in technologies necessary to keep pace with market innovation. Our 
oversight responsibilities are becoming highly data acquisitive and 
rely on the effective use of information, including through the use of 
algorithms and analytics to more effectively manage data to meet our 
regulatory objectives. The DoD was created to address the Commission's 
growing data needs and to position the agency to continue to achieve 
its mission in accord with new technologies.
    There has been an unprecedented rise in retail futures, options and 
digital asset trading. As the agency evolves to address changing 
markets and market demographics, both the FinTech and customer 
protection efforts the Office of Customer Education and Outreach (OCEO) 
were realigned within the Office of Public Affairs.
    DSIO is responsible primarily for overseeing derivatives market 
participants and market intermediaries, including commodity pool 
operators, commodity trading advisors, futures commission merchants, 
introducing brokers, retail foreign exchange dealers, swap dealers, and 
major swap participants, as well as designated self-regulatory 
organizations. By restyling DSIO as MPD, the Division's name will more 
succinctly reflect the scope of its responsibility regarding the 
Commission registrants enumerated above.
    The Commission's legal compliance groups that are responsible for 
records, Freedom of Information Act, Sunshine Act, privacy, and 
transparency were divided between the Office of the General Counsel and 
the Executive Secretariat Branch in the Office of the Executive 
Director. Moving the Executive Secretariat Branch into the Office of 
the General Counsel ensures consistency through streamlining all legal 
compliance programs into one division.
    In addition to the changes required due to the realignment, the 
Commission proposes technical changes to ensure consistency in 
reference to addresses, deletes references to positions that have 
changed and updates the positions to align with the current Commission 
structure, correct typographical errors, and other technical changes.
    Section 2(a)(12) of the Commodity Exchange Act authorizes the

[[Page 71804]]

Commission to promulgate such rules and regulations as it deems 
necessary to govern the operating procedures and conduct of business of 
the Commission. The Commission is promulgating this rule to reflect 
changes in its administrative structure and to make conforming 
technical changes to its regulations.

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 to the restructuring of responsibilities within the Commission, 
including amendments changing the names of divisions and offices that 
are affected by the realignment and re-delegating authority to newly 
formed divisions. The amendments to the Commission's regulations relate 
solely to agency management, organization, procedure, and practice and 
provide technical corrections of a minor and administrative nature, 
such as technical changes to ensure consistency in reference to 
Commission addresses, to delete references to positions that have 
changed and to update the positions to align with the current 
Commission structure, correct typographical errors, and other similar 
technical corrections. Therefore, this rulemaking is excepted from the 
public rulemaking provisions of the Administrative Procedure Act.\1\ 
Additionally, an agency may issue a new rule in some circumstances 
without publication in the Federal Register of a notice of proposed 
rulemaking with an opportunity for comment if the agency for ``good 
cause'' finds (and incorporates the finding and a brief statement of 
the reasons therefor in the rules issued) that notice and public 
procedure thereon are impracticable, unnecessary, or contrary to the 
public interest.\2\ 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.\3\
---------------------------------------------------------------------------

    \1\ 5 U.S.C. 553(a) and (b). Rulemaking procedures apply, except 
to the extent that there is involved (1) a military or foreign 
affairs function of the United States; or (2) a matter relating to 
agency management or personnel or to public property, loans, grants, 
benefits, or contracts.
    \2\ 5 U.S.C 553(b). Further, Section 553(d) of the 
Administrative Procedure Act, 5 U.S.C. 553(d) provides, in part, for 
publication of a rule not less than 30 days before its effective 
date except as otherwise provided by the agency for good cause found 
and published with the rule.
    \3\ Good cause exists as the final rule implements changes that 
affect internal agency management, organization and procedure that 
do not require a delayed effective date.
---------------------------------------------------------------------------

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.\4\ 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 or any 
other law.\5\ This rulemaking is excepted from the public rulemaking 
provisions of the Administrative Procedure Act.\6\ Accordingly, the 
Commission is not required to conduct a regulatory flexibility analysis 
for this rulemaking.
---------------------------------------------------------------------------

    \4\ See 5 U.S.C. 601 et seq.
    \5\ 5 U.S.C. 601(2).
    \6\ See supra notes 1 and 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 of 1995 (Paperwork Reduction 
Act).\7\ This final rule does not contain a ``collection of 
information'' as defined in the Paperwork Reduction Act \8\ and, 
therefore, is not subject to the requirements of the Paperwork 
Reduction Act.
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    \7\ See 44 U.S.C. 3501 et seq.
    \8\ ``Collection of information'' is defined in 44 U.S.C. 
3502(3) and 5 CFR 1320.3(c) and includes Agency requests or 
requirements that members of the public submit reports, keep 
records, or provide information to a third party.
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D. Cost-Benefit Considerations

    Section 15(a) of the Commodity Exchange Act provides that, before 
promulgating a regulation under this Act or issuing an order, the 
Commission shall consider the costs and benefits of the action of the 
Commission.\9\ These rules govern internal agency organization, 
procedure, and practice, and therefore the Commission finds that none 
of the considerations enumerated in Section 15(a)(2) of the Commodity 
Exchange Act are applicable to these rules.\10\
---------------------------------------------------------------------------

    \9\ 7 U.S.C. 19(a).
    \10\ Section 15(a)(2) of the Commodity Exchange Act, 7 U.S.C. 
19(a)(2), specifies that such costs and benefits shall be evaluated 
in light of five broad areas of market and public concern: 
Protection of market participants and the public; efficiency, 
competitiveness, and financial integrity of futures markets; price 
discovery; sound risk management practices; and other public 
interest considerations.
---------------------------------------------------------------------------

E. Congressional Review Act

    This final rule is not a rule as defined in the Congressional 
Review Act.\11\
---------------------------------------------------------------------------

    \11\ See 5 U.S.C. 801-808.
---------------------------------------------------------------------------

List of Subjects

17 CFR Part 1

    Banks, banking, Brokers, Commodity futures, Consumer protection. 
Reporting and recordkeeping requirements, Savings associations, Swaps.

17 CFR Part 3

    Administrative practice and procedure, Commodity futures, Reporting 
and recordkeeping requirements.

17 CFR Part 5

    Commodity futures, Consumer protection, Foreign currencies, 
Reporting and recordkeeping requirements, Securities, Trade practices.

17 CFR Part 9

    Administrative practice and procedure, Reporting and recordkeeping 
requirements.

17 CFR Part 10

    Administrative practice and procedure, Authority delegations 
(Government agencies), Swaps.

17 CFR Part 11

    Administrative practice and procedure, Investigations.

17 CFR Part 12

    Administrative practice and procedure, Consumer protection.

17 CFR Part 13

    Administrative practice and procedure.

17 CFR Part 14

    Administrative practice and procedure, Lawyers.

17 CFR Part 15

    Brokers, Reporting and recordkeeping requirements.

17 CFR Part 16

    Reporting and recordkeeping requirements.

17 CFR Part 17

    Brokers, Reporting and recordkeeping requirements.

17 CFR Part 18

    Reporting and recordkeeping requirements.

[[Page 71805]]

17 CFR Part 20

    Administrative practice and procedure, Reporting and recordkeeping 
requirements.

17 CFR Part 23

    Authority delegations (Government agencies), Banks, banking, 
Foreign banking, Foreign currencies, Freedom of information, 
Investments, Reporting and recordkeeping requirements, Securities, 
Swaps, Trade practices.

17 CFR Part 30

    Consumer protection, Fraud.

17 CFR Part 31

    Consumer protection, Currency, Fraud, Gold, Reporting and 
recordkeeping requirements, Silver.

17 CFR Part 37

    Commodity futures, Reporting and recordkeeping requirements, Swaps.

17 CFR Part 41

    Brokers, Reporting and recordkeeping requirements, Securities.

17 CFR Part 43

    Consumer protection, Reporting and recordkeeping requirements, 
Swaps.

17 CFR Part 45

    Swaps.

17 CFR Part 46

    Swaps.

17 CFR Part 49

    Administrative practice and procedure, Reporting and recordkeeping 
requirements.

17 CFR Part 140

    Authority delegations (Government agencies), Organization and 
functions (Government agencies).

17 CFR Part 142

    Claims, Government employees.

17 CFR Part 144

    Administrative practice and procedure, Courts, Government 
employees.

17 CFR Part 145

    Conflicts of interest, Freedom of information.

17 CFR Part 146

    Privacy.

17 CFR Part 147

    Sunshine Act.

17 CFR Part 148

    Claims, Equal access to justice, Lawyers.

17 CFR Part 149

    Administrative practice and procedure, Civil rights, Equal 
employment opportunity, Federal buildings and facilities, Individuals 
with disabilities.

17 CFR Part 150

    Cotton, Grains.

17 CFR Part 155

    Brokers, Reporting and recordkeeping requirements.

17 CFR Part 160

    Administrative practice and procedure, Brokers, Consumer 
protection, Privacy, Reporting and recordkeeping requirements.

17 CFR Part 162

    Administrative practice and procedure, Brokers, Privacy, Reporting 
and recordkeeping requirements.

17 CFR Part 165

    Administrative practice and procedure, Government employees, 
Investigations, Whistleblowing.

17 CFR Part 170

    Authority delegations (Government agencies), Commodity futures, 
Reporting and recordkeeping requirements.

17 CFR Part 171

    Administrative practice and procedure.

PART 1--GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

0
1. The authority citation for part 1 continues to read as follows:

    Authority:  7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 
6h, 6i, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 6s, 7, 7a-1, 7a-2, 7b, 7b-3, 8, 
9, 10a, 12, 12a, 12c, 13a, 13a-1, 16, 16a, 19, 21, 23, and 24 
(2012).


Sec. Sec.  1.12, 1.17, 1.20, 1.26, 1.35, 1.52, 1.65, 1.66, 1.70, and 
Appendix B  [Amended]

0
2. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
1.12(g)(3)..................  Director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.17(c)(6)(ii)(A)...........  Director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.17(c)(6)(ii)(C)...........  Director of the       Director of the
                               Division and          Market Participants
                               Clearing and          Division
                               Intermediary
                               Oversight.
1.17(c)(6)(ii)(D)...........  Director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.17(c)(6)(iii)(B)..........  Director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20(d)(2)..................  The written           The written
                               acknowledgement       acknowledgement
                               must be in the form   must be in the form
                               as set out in         as set out in
                               Appendix A to this    Appendix A to Sec.
                               part.                  1.20.
1.20(d)(3)(i)...............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20(d)(3)(i)...............  director's designees  Director's designees
1.20(d)(3)(ii)..............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20(d)(5)..................  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20(d)(5)..................  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.20(d)(5)..................  directors' designees  Directors' designees
1.20(d)(6)..................  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20(d)(6)..................  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.20(d)(6)..................  directors' designees  Directors' designees

[[Page 71806]]

 
1.20(g)(4)(ii)..............  The written           The written
                               acknowledgement       acknowledgement
                               must be in the form   must be in the form
                               as set out in         as set out in
                               appendix B to this    Appendix B to Sec.
                               part.                  1.20.
1.20(g)(4)(iv)..............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20(g)(4)(iv)..............  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.20(g)(4)(iv)..............  directors' designees  Directors' designees
1.20, Appendix A............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20, Appendix A............  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.20, Appendix A............  directors' designees  Directors' designees
1.20, Appendix B............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.20, Appendix B............  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.20, Appendix B............  directors' designees  Directors' designees
1.26, Appendix A............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.26, Appendix A............  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.26, Appendix A............  directors' designees  Directors' designees
1.26, Appendix B............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.26, Appendix B............  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
1.26, Appendix B............  directors' designees  Directors' designees
1.35(a)(9)(iii).............  Director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.35(a)(9)(iii).............  Director may          Director may
                               designate from time   designate
                               to time.
1.52(c)(2)(iii)(B)..........  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.52(c)(2)(iii)(C)..........  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.52(d)(2)(ii)(G)(2)........  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.52(d)(2)(ii)(G)(3)........  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.52(d)(2)(ii)(G)(3)........  Division of Swap      Market Participants
                               Dealer and            Division's
                               Intermediary's.
1.52(d)(2)(iii)(D)..........  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.52(f)(2)..................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.65(d).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.65(e).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.65(e).....................  may designate from    may designate,
                               time to time,.
1.66(b)(5)(ii)..............  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
1.70(a)(2)..................  Commodity Futures     at the Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW.,
                               Washington, DC
                               20581.
1.70(b)(3)..................  Commodity Futures     at the Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW.,
                               Washington, DC
                               20581.
1.70(d).....................  Commodity Futures     at the Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW.,
                               Washington, DC
                               20581.
Appendix B to Part 1(c).....  Commodity Futures     at the Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW.,
                               Washington, DC
                               20581.
------------------------------------------------------------------------

PART 3--REGISTRATION

0
3. The authority citation for part 3 continues to read as follows:

    Authority:  5 U.S.C. 552, 552b; 7 U.S.C. 1a, 2, 6a, 6b, 6b-1, 
6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 6s, 8, 9, 9a, 12, 
12a, 13b, 13c, 16a, 18, 19, 21, and 23.


Sec. Sec.  3.3, 3.22, 3.33, 3.50, 3.55, 3.56, 3.63, 3.70, 3.75, and 
Appendix A  [Amended]

0
4. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
3.3(h)......................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.3(h)......................  Director may          Director may
                               designate from time   designate
                               to time.
3.22........................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.33(e).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.33(e).....................  Three Lafayette       at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street, NW.,          headquarters
                               Washington, DC
                               20581.
3.50(c).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.50(c).....................  at the Commission's   at the Commission's
                               Washington, DC        Washington, DC
                               office, Three         headquarters
                               Lafayette Centre,
                               1155 21st Street,
                               NW., Washington, DC
                               20581.
3.50(d).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.55(e)(2)..................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.

[[Page 71807]]

 
3.56(e)(2)..................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.63........................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.70(a).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.70(a).....................  Washington, DC        Washington, DC
                               office.               headquarters
3.70(a).....................  (Attn: Deputy         (Attn: Deputy
                               Director,             Director,
                               Registration and      Registration and
                               Compliance Branch,    Compliance Branch,
                               Division of Swap      Market Participants
                               Dealer and            Division).
                               Intermediary
                               Oversight Three
                               Lafayette Centre,
                               1155 21st Street,
                               NW., Washington, DC
                               20581).
3.75(a).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
3.75(a).....................  has been delegated    has been delegated
                               to him.               to them
Appendix A to Part 3,         from the Contract     Commission staff
 Footnote 2.                   Markets Section of
                               the Commission's
                               Division of Swap
                               Dealer and
                               Intermediary
                               Oversight.
------------------------------------------------------------------------

PART 5--OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS

0
5. The authority citation for part 5 continues to read as follows:

    Authority:  7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 
6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, 
and 23.


Sec. Sec.  5.6, 5.20, and 5.23  [Amended]

0
6. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
5.6(f)(3)...................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
5.6(h)......................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
5.6(h)......................  at the Commission's   at the Commission's
                               principal office in   Washington, DC
                               Washington, DC.       headquarters
5.20(d) (heading)...........  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
5.20(d).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
5.23(f).....................  Deputy Director,      Deputy Director,
                               Registration and      Registration and
                               Compliance Section.   Compliance Branch
5.23(f).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
5.23(f).....................  Commodity Futures     at the Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW.,
                               Washington, DC
                               20581.
------------------------------------------------------------------------

PART 9--RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS 
DENIAL OR OTHER ADVERSE ACTIONS

0
7. The authority citation for part 9 continues to read as follows:

    Authority:  7 U.S.C. 1a, 2, 6b-1, 6c, 7, 7a-2, 7b-3, 8, 9, 9a, 
12, 12a, 12c, 13b, 16a, 18, 19, and 21.


Sec. Sec.  9.2, 9.4, 9.26, and 9.31  [Amended]

0
8. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
9.2(h)......................  Division of Swap      Market Participants
                               Dealer and            Division and/or the
                               Intermediary          Division of
                               Oversight and         Clearing and Risk
                               Division of
                               Clearing and Risk.
9.4(a)......................  or by mail to:        or by mail to the
                               Proceedings Clerk,    Proceedings Clerk,
                               Office of             Office of
                               Proceedings,          Proceedings at the
                               Commodity Futures     Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW,
                               Washington, DC
                               20581.
9.26........................  Division of Market    Division of Market
                               Oversight and/or      Oversight, Market
                               the Division of       Participants
                               Swap Dealer and       Division, and the
                               Intermediary          Division of
                               Oversight and         Clearing and Risk
                               Division of
                               Clearing and Risk.
9.31(a).....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
------------------------------------------------------------------------

PART 10--RULES OF PRACTICE

0
9. The authority citation in part 10 continues to read as follows:

    Authority:  Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391; 7 
U.S.C. 2(a)(12).


Sec. Sec.  10.2, 10.4, 10.10, 10.12, and 10.106  [Amended]

0
10. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
10.2(i).....................  that member of the    any member of the
                               Commission's staff    Commission's staff
                               designated as such    designated as such
                               in the Commission's   by the Director of
                               Office of             the Office of
                               Proceedings.          Proceedings

[[Page 71808]]

 
10.4........................  Three Lafayette       the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street, NW.,          headquarters
                               Washington, DC
                               20581.
10.10(a)(1)(iii)............  Deputy General        Deputy General
                               Counsel for           Counsel for
                               Opinions and Review.  Litigation,
                                                     Enforcement, and
                                                     Adjudication
10.10(a)(1)(iii)............  Office of General     Office of the
                               Counsel.              General Counsel
10.12(d)(1).................  to Proceedings        to the Proceedings
                               Clerk, Office of      Clerk, Office of
                               Proceedings, Three    Proceedings at the
                               Lafayette Centre,     Commission's
                               1155 21st Street,     Washington, DC
                               NW., Washington, DC   headquarters
                               20581.
10.106(b)(3)................  Nothwithstanding....  Notwithstanding
------------------------------------------------------------------------

PART 11--RULES RELATED TO INVESTIGATIONS

0
11. The authority citation for part 11 continues to read as follows:

    Authority:  7 U.S.C. 4a(j), 9, 12, 12a(5) and 15.


Sec. Sec.  11.2 and 11.7 and Appendix A  [Amended]

0
12. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
                                                      Principal Deputy
           11.2(b)             Program Coordinator        Director
------------------------------------------------------------------------
11.2(b).....................  Regional Counsel....  Deputy Regional
                                                     Counsel
11.7(a).....................  Program Coordinator.  Principal Deputy
                                                     Director
11.7(a).....................  Regional Counsel of   Deputy Regional
                               the Division of       Counsel of the
                               Enforcement, or a     Division of
                               Regional Director     Enforcement
                               of the Commission.
Appendix A..................  Program Coordinator.  Principal Deputy
                                                     Director
Appendix A..................  Regional Counsel of   Deputy Regional
                               the Division, or a    Counsel of the
                               Regional Director     Division of
                               of the Commission.    Enforcement
Appendix A..................  Commodity Futures     at the Commission's
                               Trading Commission,   Washington, DC
                               Three Lafayette       headquarters
                               Centre, 1155 21st
                               Street, NW.,
                               Washington, DC
                               20581.
------------------------------------------------------------------------

PART 12--RULES RELATING TO REPARATIONS

0
13. The authority citation for part 12 continues to read as follows:

    Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18.


Sec. Sec.  12.2, 12.11, 12.13, 12.18, and 12.407  [Amended]

0
14. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
12.3........................  Three Lafayette       the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters.
                               Washington, DC
                               20581.
12.11(f)....................  Three Lafayette       at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
12.407(c)(1)................  Statisfaction.......  Satisfaction
------------------------------------------------------------------------


0
15. Section 12.2 is amended by revising the definition of ``Proceedings 
Clerk.'' The addition and revision read as follows:


Sec.  12.2  Definitions.

* * * * *
    Proceedings Clerk means any member of the Commission's staff 
designated as such by the Director of the Office of Proceedings;
* * * * *

0
16. In Sec.  12.13, paragraph (b)(3) is revised to read as follows:


Sec.  12.13  Complaint; election of procedure.

* * * * *
    (b) * * *
    (3) Time and place of filing of complaint. A complaint shall be 
filed by delivering a copy thereof, in proper form to the Office of 
Proceedings at the Commission's Washington, DC headquarters. The 
complaint may be filed in person, during normal business hours, or by 
certified mail, or registered mail with return receipt requested. The 
complaint shall not be served on any person or party named therein. 
Upon the filing of the complaint and the appropriate filing fee, the 
Proceedings Clerk shall assign a docket number to the matter and shall 
maintain the official docket.
* * * * *

0
17. In Sec.  12.18, paragraph (e) is revised to read as follows:


Sec.  12.18  Answer; election of procedure.

* * * * *
    (e) Time and place of filing an answer. An answer shall be filed by 
delivering a copy thereof, in proper form to the Office of Proceedings 
at the Commission's Washington, DC headquarters. The answer may be 
filed in person, during normal business hours, or by certified mail, or 
registered mail with return receipt requested.

PART 13--PROCEDURES FOR PETITIONS OF RULEMAKING

0
18. The authority citation for part 13 continues to read as follows:

    Authority: 7 U.S.C. 2(a)(12).

[[Page 71809]]

Sec.  13.1  [Amended]

0
19. In Sec.  13.1, remove ``Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581'' and add 
``at the Commission's Washington, DC headquarters'' in its place.

PART 14--RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE 
AND PRACTICE

0
20. The authority citation for part 14 continues to read as follows:

    Authority: Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391, 7 
U.S.C. 4a(j).


Sec.  14.9  [Amended]

0
21. In Sec.  14.9, remove ``at Three Lafayette Centre, 1155 21st Street 
NW, Washington, DC 20581'' and add ``at the Commission's Washington, DC 
headquarters'' in its place.

PART 15--REPORTS--GENERAL PROVISIONS

0
22. The authority citation for part 15 continues to read as follows:

    Authority: 7 U.S.C. 2, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 7, 7a, 
9, 12a, 19, and 21, as amended by Title VII of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 
Stat. 1376 (2010).


Sec. Sec.  15.05 and 15.06  [Amended]

0
23. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
15.05(d)....................  at Three Lafayette    at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
15.05(g)....................  at Three Lafayette    at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
15.05(i)(2).................  at Three Lafayette    at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
15.06(a)....................  Director of the       Director of the
                               Division of Market    Division of Data,
                               Oversight, to be      to be exercised by
                               exercised by such     such Director or by
                               Director or by such   such other employee
                               other employee or     or employees of
                               employees of such     such Director as
                               Director as           designated, and in
                               designated from       consultation with
                               time to time by the   the Director of the
                               Director.             Division of Market
                                                     Oversight
------------------------------------------------------------------------

PART 16--REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES

0
24. The authority citation for part 16 continues to read as follows:

    Authority: 7 U.S.C. 2, 6a, 6c, 6g, 6i, 7, and 7b-3.


Sec.  16.07  [Amended]

0
25. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
16.07 (section heading).....  Office of Data and    Division of Data
                               Technology.
16.07(a)....................  Office of Data and    Division of Data
                               Technology.
16.07(a)....................  designate from time   designate
                               to time.
16.07(a)....................  designated from time  designated
                               to time.
16.07(a)....................  paragraph (d) of      paragraph (d) of
                               this section to the   this section to the
                               Director of the       Director of the
                               Division of Market    Division of Data,
                               Oversight,
16.07(b)....................  to, with the          to determine
                               concurrence of the
                               Director of the
                               Division of Market
                               Oversight or the
                               Director's
                               delegate, determine.
16.07(c)....................  to, with the          to approve
                               concurrence of the
                               Director of the
                               Division of Market
                               Oversight or the
                               Director's
                               delegate, approve.
------------------------------------------------------------------------

PART 17--REPORTS BY REPORTING MARKETS, FUTURES COMMISSION 
MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS

0
26. The authority citation for part 17 continues to read as follows:

    Authority: 7 U.S.C. 2, 6a, 6c, 6d, 6f, 6g, 6i, 6t, 7, 7a, and 
12a.


Sec.  17.03  [Amended]

0
27. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
17.03 (section heading).....  Office of Data and    Division of Data
                               Technology.
17.03 introductory text.....  Office of Data and    Division of Data
                               Technology.
17.03 introductory text.....  designated from time  designated
                               to time.
17.03(a)....................  Office of Data and    Division of Data
                               Technology.
17.03(b)....................  Office of Data and    Division of Data
                               Technology.
17.03(c)....................  Office of Data and    Division of Data
                               Technology.
17.03(d)....................  Office of Data and    Division of Data
                               Technology.
17.03(e)....................  Office of Data and    Division of Data
                               Technology.

[[Page 71810]]

 
17.03(e)....................  designate from time   designate,
                               to time,.
17.03(f)....................  Office of Data and    Division of Data
                               Technology.
17.03(f)....................  designate from time   designate,
                               to time,.
17.03(g)....................  Division of Market    Division of Data
                               Oversight.
17.03(h)....................  Division of Market    Division of Data
                               Oversight.
17.03(i)....................  Director of the       Director of the
                               Office of Data and    Division of Data
                               Technology.
------------------------------------------------------------------------

PART 18--REPORTS BY TRADERS

0
28. The authority citation for part 18 continues to read as follows:

    Authority: 7 U.S.C. 2, 4, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 6t, 
12a, and 19.


Sec.  18.03  [Amended]

0
29. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
18.03(a)....................  designate from time   designate.
                               to time..
18.03(b)....................  designate from time   designate.
                               to time..
18.03(b)....................  Office of Data and    Division of Data
                               Technology.
18.03(c)....................  Office of Data and    Division of Data
                               Technology.
------------------------------------------------------------------------

PART 20--LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS

0
30. The authority citation for part 20 continues to read as follows:

    Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, 19.


Sec.  20.8  [Amended]

0
31. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
20.8(a).....................  designate from time   designate,
                               to time,.
20.8(b).....................  Director of the       Director of the
                               Division of Market    Division of Data,
                               Oversight.            in consultation
                                                     with the Director
                                                     of the Division of
                                                     Market Oversight
20.8(b).....................  designate from time   designate,
                               to time,.
20.8(c).....................  designate from time   designate,
                               to time,.
20.8(c).....................  Office of Data and    Division of Data
                               Technology.
20.8(d).....................  Office of Data and    Division of Data, or
                               Technology, with      such other employee
                               the concurrence of    or employees as the
                               the Director of the   Director may
                               Division of Market    designate
                               Oversight, or such
                               other employee or
                               employees as the
                               Directors each may
                               designate from time
                               to time.
20.8(e).....................  Office of Data and    Division of Data
                               Technology.
------------------------------------------------------------------------

PART 23--SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

0
32. The authority citation for part 23 continues to read as follows:

    Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6b-1, 6c, 6p, 6r, 6s, 6t, 
9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21.

    Section 23.160 also issued under 7 U.S.C. 2(i); Sec. 721(b), 
Pub. L. 111-203, 124 Stat. 1641 (2010).


Sec. Sec.  23.23, 23.102, 23.160 and 23.206  [Amended]

0
33. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
23.23(g)(8).................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
23.23(g)(8).................  designate from time   designate,
                               to time,.
23.102(e)(3)................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
23.160(c)(7)................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
23.160(c)(7)................  designate from time   designate,
                               to time,.
23.206 (section heading)....  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
23.206(a)...................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
23.206(a)...................  designate from time   designate,
                               to time,.
23.206(b)...................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
------------------------------------------------------------------------


[[Page 71811]]

PART 30--FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS

0
34. The authority citation for part 30 continues to read as follows:

    Authority: 7 U.S.C. 1a, 2, 6, 6c, and 12a, unless otherwise 
noted.


Sec. Sec.  30.7 and 30.13 and Appendix E and F  [Amended]

0
35. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
30.7(d)(3)(i)...............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
30.7(d)(3)(i)...............  director's designees  Director's designees
30.7(d)(3)(ii)..............  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
30.7(d)(3)(ii)..............  director's designees  Director's designees
30.7(d)(5)..................  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
30.7(d)(5)..................  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
30.7(d)(5)..................  directors' designees  Directors' designees
30.7(d)(6)..................  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
30.7(d)(6)..................  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
30.7(d)(6)..................  directors' designees  Directors' designees
30.13(f)(1).................  Office of General     Office of the
                               Counsel.              General Counsel
30.13(n)....................  Office of General     Office of the
                               Counsel.              General Counsel
30.13(o)....................  Director of Market    Director of the
                               Oversight or his      Division of Market
                               designee,.            Oversight or their
                                                     designee,
30.13(o)....................  the General Counsel   the General Counsel
                               or his designee.      or their designee
Appendix E..................  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
Appendix E..................  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
Appendix E..................  directors' designees  Directors' designees
Appendix F..................  director of the       Director of the
                               Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
Appendix F..................  director of the       Director of the
                               Division of           Division of
                               Clearing and Risk.    Clearing and Risk
Appendix F..................  directors' designees  Directors' designees
------------------------------------------------------------------------

PART 31--LEVERAGE TRANSACTIONS

0
36. The authority citation for part 31 continues to read as follows:

    Authority: 7 U.S.C. 12a and 23, unless otherwise noted.


0
37. In Sec.  31.13, revise paragraph (n) and the undesignated text 
following paragraph (n)(1) to read as follows:


Sec.  31.13  Financial reports of leverage transaction merchants.

* * * * *
    (n) * * *
    (1) Until such time as the Commission orders, otherwise, the 
Commission hereby delegates to the Director of the Market Participants 
Division or their designee the authority to perform all functions 
reserved to the Commission in this section.
    (2) The Director of the Market Participants Division may submit to 
the Commission for its consideration any matter which has been 
delegated to them pursuant to paragraph (n)(1) of this section.


Sec. Sec.  31.14, 31.28 and Appendix A  [Amended]

0
38. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
31.14(a)....................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
31.28(j)....................  give telegraphic      give electronic
                               notice of that        notice of that
                               event to the          event to
                               principal office of   [email protected]
                               the Commission in
                               Washington, DC.
Appendix A..................  attention of the      Commission at its
                               Office of the         Washington, DC
                               Secretariat,          headquarters, Attn:
                               Commodity Futures     Financial
                               Trading Commission,   Management Branch
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581.
------------------------------------------------------------------------

PART 37--SWAP EXECUTION FACILITIES

0
39. The authority citation for part 37 continues to read as follows:

    Authority: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as 
amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform 
and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.


Sec.  37.3  [Amended]

0
40. In Sec.  37.3(h), remove ``General Counsel's delegate'' and add 
``General Counsel's designee'' in its place.

PART 41--SECURITY FUTURES PROJECTS

0
41. The authority citation for part 41 continues to read as follows:

    Authority: Sections 206, 251 and 252, Pub. L. 106-554, 114 Stat. 
2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a-2, 12a; 15 U.S.C. 78g(c)(2).


[[Page 71812]]



0
42. Amend Sec.  41.3 by revising paragraph (d) to read as follows:


Sec.  41.3  Application for an exemptive order pursuant to section 
4f(a)(4)(B) of the Act.

* * * * *
    (d) An application for an order must be submitted to the Director 
of the Market Participants Division, at the Commission's Washington, DC 
headquarters if in paper form, or to [email protected] if submitted 
via electronic mail.
* * * * *

PART 43--REAL-TIME PUBLIC REPORTING

0
43. The authority citation for part 43 continues to read as follows:

    Authority: 7 U.S.C. 2(a), 12a(5) and 24a, as amended by Pub. L. 
111-203, 124 Stat. 1376 (2010).


0
44. In Sec.  43.3, revise paragraph (e)(1)(ii) to read as follows:


Sec.  43.3  Method and timing for real-time public reporting.

* * * * *
    (e) * * *
    (1) * * *
    (ii) Notification of failure to timely correct. If the swap 
execution facility, designated contract market, or reporting 
counterparty will, for any reason, fail to timely correct an error, the 
swap execution facility, designated contract market, or reporting 
counterparty shall notify the Director of the Division of Data, or such 
other employee or employees of the Commission as the Director may 
designate. The notification shall be in the form and manner, and 
according to the instructions, specified by the Director of the 
Division of Data in concurrence with the Director of the Division of 
Market Oversight, or such other employee or employees of the Commission 
as the respective Director may designate. Unless otherwise instructed 
by the Director of the Division of Data, or such other employee or 
employees of the Commission as the Director may designate from time to 
time, the notification shall include an initial assessment of the scope 
of the error or errors that were discovered, and shall include any 
initial remediation plan for correcting the error or errors, if an 
initial remediation plan exists. This notification shall be made within 
12 hours of the swap execution facility's, designated contract 
market's, or reporting counterparty's determination that it will fail 
to timely correct the error.
* * * * *


Sec.  43.7  [Amended]

0
45. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
43.7(a).....................  the Director of the   the Director of the
                               Division of Market    Division of Data
                               Oversight.
43.7(a).....................  designate from time   designate
                               to time.
43.7(b).....................  The Director of the   The Director of the
                               Division of Market    Division of Data
                               Oversight may.        may
------------------------------------------------------------------------

PART 45--SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS

0
46. The authority citation for part 45 continues to read as follows:

    Authority:  7 U.S.C. 6r, 7, 7a-1, 7b-3, 12a, and 24a, as amended 
by Title VII of the Wall Street Reform and Consumer Protection Act 
of 2010, Pub. L. 111-203, 124 Stat. 1376 (2010), unless otherwise 
noted.

0
47. In Sec.  43.14, revise paragraph (a)(1)(ii) to read as follows:


Sec. Sec.  45.14  Correcting errors in swap data and verification of 
swap data accuracy.

    (a) * * *
    (1) * * *
    (ii) Notification of failure to timely correct. If the swap 
execution facility, designated contract market, or reporting 
counterparty will, for any reason, fail to timely correct an error, the 
swap execution facility, designated contract market, or reporting 
counterparty shall notify the Director of the Division of Data, or such 
other employee or employees of the Commission as the Director may 
designate. The notification shall be in the form and manner, and 
according to the instructions, specified by the Director of the 
Division of Data in concurrence with the Director of the Division of 
Market Oversight, or such other employee or employees of the Commission 
as the respective Director may designate. Unless otherwise instructed 
by the Director of the Division of, the notification shall include an 
initial assessment of the scope of the error or errors that were 
discovered, and shall include any initial remediation plan for 
correcting the error or errors, if an initial remediation plan exists. 
This notification shall be made within 12 hours of the swap execution 
facility's, designated contract market's, or reporting counterparty's 
determination that it will fail to timely correct the error.
* * * * *

0
48. In Sec.  43.15, revise paragraphs (a) introductory text, (a)(4), 
(b) introductory text, and (b)(4) to read as follows:


Sec.  45.15  Delegation of authority.

    (a) Delegation of authority to the Director of the Division of 
Data. The Commission hereby delegates to its Director of the Division 
of Data, until the Commission orders otherwise, the authority set forth 
in paragraph (a) of this section, to be exercised by the Director of 
the Division of Data or by such other employee or employees of the 
Commission as may be designated by the Director of the Division of 
Data. The Director of the Division of Data may submit to the Commission 
for its consideration any matter which has been delegated in this 
paragraph. Nothing in this paragraph prohibits the Commission, at its 
election, from exercising the authority delegated in this paragraph. 
The authority delegated to the Director of the Division of Data by this 
paragraph (a) shall include:
* * * * *
    (4) The Director of the Division of Data shall publish in the 
Federal Register and on the website of the Commission the format, data 
schema, electronic data transmission methods and procedures, and dates 
and times for reporting acceptable to the Commission with respect to 
swap data reporting pursuant to Sec.  45.11.
    (b) Delegation of authority to the Director of the Division of 
Data. The Commission hereby delegates to the Director of the Division 
of Data, until the Commission orders otherwise, the authority set forth 
in Sec.  45.13(a)(1), to be exercised by the Director of the Division 
of Data or by such other employee or employees of the Commission as may 
be designated by the Director of the Division of Data. The Director of 
the Division of Data may submit to the Commission for its consideration 
any matter which has been delegated pursuant to this paragraph. Nothing 
in this paragraph prohibits the Commission, at its election, from 
exercising the authority delegated in this paragraph. The authority 
delegated

[[Page 71813]]

to the Director of the Division of Data by this paragraph (b) shall 
include:
* * * * *
    (4) The Director of the Division of Data shall publish from time to 
time in the Federal Register and on the website of the Commission the 
technical specifications for swap data reporting pursuant to Sec.  
45.13(a)(1).

PART 46--SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-
ENACTMENT AND TRANSITION SWAPS

0
49. The authority citation for part 46 continues to read as follows:

    Authority: Title VII, sections 723 and 729, Pub. L. 111-203, 124 
Stat. 1738.

0
50. Amend Sec.  46.8 by:

0
a. Revising paragraph (c) introductory text; and
0
b. In paragraph (d), removing the term ``Chief Information Officer'' 
and adding, in its place, the term, ``Director of the Division of 
Data''.
    The revision reads as follows:


Sec.  46.8  Data reporting for swaps in a swap asset class not accepted 
by any swap data repository.

* * * * *
    (c) Delegation of authority to the Director of the Division of 
Data: The Commission hereby delegates to its Director of the Division 
of Data, until the Commission orders otherwise, the authority set forth 
in this paragraph (c), to be exercised by the Director of the Division 
of Data or by such other employee or employees of the Commission as may 
be designated by the Director of the Division of Data. The Director of 
the Division of Data may submit to the Commission for its consideration 
any matter which has been delegated in this paragraph. Nothing in this 
paragraph prohibits the Commission, at its election, from exercising 
the authority delegated in this paragraph. The authority delegated to 
the Director of the Division of Data by paragraph (c) of this section 
shall include:
* * * * *

PART 49--SWAP DATA REPOSITORIES

0
51. The authority citation for part 49 continues to read as follows:

    Authority:  7 U.S.C. 1a, 2(a), 6r, 12a, and 24a, as amended by 
Title VII of the Wall Street Reform and Consumer Protection Act of 
2010, Pub. L. 111-203, 124 Stat. 1376 (Jul. 21, 2010), unless 
otherwise noted.


0
52. Sec.  49.31 is revised to read as follows:


Sec.  49.31  Delegation of authority to the Directors of the Division 
of Market Oversight and Division of Data relating to certain part 49 
matters.

    (a) The Commission hereby delegates, until such time as the 
Commission orders otherwise, the following functions to the Director of 
the Division of Market Oversight and to such members of the Commission 
staff acting under their direction as they may designate:
    (1) All functions reserved to the Commission in Sec.  49.5.
    (2) All functions reserved to the Commission in Sec.  49.12.
    (3) All functions reserved to the Commission in Sec.  49.13.
    (4) All functions reserved to the Commission in Sec.  49.16.
    (5) All functions reserved to the Commission in Sec.  49.17.
    (6) All functions reserved to the Commission in Sec.  49.18.
    (7) All functions reserved to the Commission in Sec.  49.22.
    (8) All functions reserved to the Commission in Sec.  49.23.
    (9) All functions reserved to the Commission in Sec.  49.24
    (10) All functions reserved to the Commission in Sec.  49.25.
    (11) All functions reserved to the Commission in Sec.  49.29.
    (12) All functions reserved to the Commission in Sec.  49.30.
    (b) The Commission hereby delegates, until such time as the 
Commission orders otherwise, the following functions to the Director of 
the Division of Data and to such members of the Commission staff acting 
under their direction as they may designate:
    (1) All functions reserved to the Commission in Sec.  49.9.
    (2) All functions reserved to the Commission in Sec.  49.10.
    (c) The Director of the Division of Market Oversight, and, 
separately, the Director of the Division of Data may submit to the 
Commission for its consideration any matter that has been delegated 
under this section.
    (d) Nothing in this section may prohibit the Commission, at its 
election, from exercising the authority delegated in this section.

PART 140--ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION

0
53. The authority citation for part 140 continues to read as follows:

    Authority: 7 U.S.C. 2(a)(12), 12a, 13(c), 13(d), 13(e), and 
16(b).


Sec. Sec.  140.2, 140.11, 140.13, 140.24, 140.72, 140.73, 140.75, 
140.76, 140.91, 140.92, 140.93, 140.94, 140.95, 140.96, and 
140.99  [Amended]

0
54. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
             Section                    Remove                Add
------------------------------------------------------------------------
140.2 section heading...........  regional            Regional
                                   coordinator.        Administrator
140.2(a)........................  140 Broadway, New   290 Broadway, 6th
                                   York, New York,     Floor, New York,
                                   10005.              NY 10007
140.2(b)........................  525 West Monroe     77 W. Jackson
                                   Street, Suite       Blvd., Suite 800,
                                   1100, Chicago,      Chicago, IL 60604
                                   Illinois 60661.
140.2(c)........................  Two Emanuel         2600 Grand Blvd,
                                   Cleaver II Blvd.,   Suite 210, Kansas
                                   Suite 300, Kansas   City, MO 64108
                                   City, Missouri
                                   64112.
140.2...........................  Regional            Regional
                                   Coordinator.        Administrator
140.11(a).......................  principal offices   Commission
                                   of the commission.  headquarters
140.11(a).......................  the Chairman, the   the Chairman and
                                   Vice-Chairman,
                                   and.
140.11(b)(1)....................  the Commission's    the Commission's
                                   offices in          Washington, DC
                                   Washington, DC.     headquarters
140.11(b)(1)....................  General Counsel or  General Counsel or
                                   his deputy.         their deputy
140.11(c).......................  Senior              Senior
                                   Commissioner or     Commissioner or
                                   at his direction.   at their
                                                       direction
140.13..........................  until such time as  until such time as
                                   his appointment     their appointment
                                   as Chairman.        as Chairman
140.24(a)(4)....................  Executive Director  Executive Director
                                   or his delegee.     or their designee

[[Page 71814]]

 
140.24(a)(6)....................  Executive Director  Executive Director
                                   or his delegee.     or their designee
                                                       in consultation
                                                       with the General
                                                       Counsel or their
                                                       designee
140.72(a).......................  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.72(a).......................  the Director of     the Director of
                                   the Division of     the Division of
                                   Market Oversight,   Market Oversight,
                                   the Director of     the Director of
                                   the Division of     the Division of
                                   Enforcement,        Data, the
                                                       Director of the
                                                       Division of
                                                       Enforcement,
140.72(a).......................  may designate from  may designate
                                   time to time.
140.72(b).......................  Regional            Regional
                                   Coordinator.        Administrator
140.73(a).......................  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.73(a).......................  may designate from  may designate
                                   time to time.
140.73(a).......................  the Director of     the Director of
                                   the Division of     the Division of
                                   Enforcement, the    Enforcement, the
                                   Director of the     Director of the
                                   Division of         Division of Data,
                                   Market Oversight,   the Director of
                                                       the Division of
                                                       Market Oversight,
140.73(b).......................  his or her........  their
140.73(b).......................  Director of Market  Director of Market
                                   Oversight or in     Oversight or in
                                   his or her          their absence
                                   absence each        each Deputy
                                   Deputy Director     Director of the
                                   of the Division     Division to
                                   or for the          release
                                   Director of the
                                   Market
                                   Surveillance
                                   Section to
                                   release.
140.75 (section heading)........  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight.          Participants
                                                       Division
140.75..........................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight.          Participants
                                                       Division
140.75..........................  acting under his    acting under their
                                   or her direction    direction as
                                   as the Director     either Director
                                   may designate       may designate
                                   from time to time.
140.75..........................  Director of         Director of the
                                   Trading and         Division of
                                   Markets or any      Clearing and
                                   Commission          Risk, the
                                   employee            Director of the
                                   designated by the   Market
                                   Director.           Participants
                                                       Division, or any
                                                       Commission
                                                       employee
                                                       designated by
                                                       either Director
140.75..........................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     or the Director
                                   Swap Dealer and     of the Market
                                   Intermediary        Participants
                                   Oversight.          Division
140.76(a).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and
                                   and Division of     Risk, the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight, the      Participants
                                   General Counsel     Division, the
                                   or any.             General Counsel,
                                                       or any Commission
                                                       employee under
                                                       their direction
                                                       as they may
                                                       designate
140.76(b).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and
                                   and Division of     Risk, the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight.          Participants
                                                       Division
140.91 (section heading)........  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.91(a).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight and to    Participants
                                   such members of     Division and to
                                   the Commission's    such members of
                                   staff acting        the Commission's
                                   under his           staff acting
                                   direction as he     under their
                                   may designate       direction as they
                                   from time to        may designate:
                                   time:
140.91(a)(13)...................  Any action taken    Any action taken
                                   pursuant to the     pursuant to the
                                   delegation of       delegation of
                                   authority under     authority under
                                   this paragraph      this paragraph
                                   (a)(12) shall be    (a)(13) shall be
                                   made with the       made with the
                                   concurrence of      concurrence of
                                   the General         the General
                                   Counsel or, in      Counsel or, in
                                   his or her          their absence, a
                                   absence, a Deputy   Deputy General
                                   General Counsel.    Counsel.
140.91(b).......................  The Director of     The Director of
                                   the Division of     the Division of
                                   Clearing and Risk   Clearing and Risk
                                   and the Director    and the Director
                                   of the Division     of the Market
                                   Swap Dealer and     Participants
                                   Intermediary        Division may
                                   Oversight may       submit any matter
                                   submit any matter   which has been
                                   which has been      delegated to them
                                   delegated to him
                                   or her.
140.92(a).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight and to    Participants
                                   such members of     Division and to
                                   the Commission's    such members of
                                   staff acting        the Commission's
                                   under his           staff acting
                                   direction as he     under their
                                   may designate.      direction as they
                                                       may designate
140.92(b).......................  The Director of     The Director of
                                   the Division of     the Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division Swap   and the Director
                                   Dealer and          of the Market
                                   Intermediary        Participants
                                   Oversight may       Division may
                                   submit any matter   submit any matter
                                   which has been      which has been
                                   delegated to him.   delegated to them
140.92(c).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight.          Participants
                                                       Division

[[Page 71815]]

 
140.93 section heading..........  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.93(a).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight and to    Participants
                                   such members of     Division and to
                                   the Commission's    such members of
                                   staff acting        the Commission's
                                   under his           staff acting
                                   direction as he     under their
                                   may designate       direction as they
                                   from time to time.  may designate
140.93(b).......................  The Director of     The Director of
                                   the Division of     the Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division Swap   and the Director
                                   Dealer and          of the Market
                                   Intermediary        Participants
                                   Oversight may       Division may
                                   submit any matter   submit any matter
                                   which has been      which has been
                                   delegated to him.   delegated to them
140.93(c).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and the Director
                                   Swap Dealer and     of the Market
                                   Intermediary        Participants
                                   Oversight.          Division
140.94 (section heading)........  Director of the     Director of the
                                   Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division and to
                                   Oversight and the   the Director of
                                   Director of the     the Division of
                                   Division of         Clearing and Risk
                                   Clearing and Risk.
140.94(a).......................  Director of the     Director of the
                                   Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division and to
                                   Oversight and to    such members of
                                   such members of     the Commission's
                                   the Commission's    staff acting
                                   staff acting        under their
                                   under his or her    direction as they
                                   direction as he     may designate
                                   or she may
                                   designate from
                                   time to time.
140.94(b).......................  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.94(c).......................  under his or her    under their
                                   direction as he     direction as they
                                   or she may          may designate:
                                   designate from
                                   time to time:.
140.94(d).......................  delegated to him    delegated to them
                                   or her.
140.94(e).......................  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.95(a).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight and to    Participants
                                   such members of     Division and to
                                   the Commission's    such members of
                                   staff acting        the Commission's
                                   under his           staff acting
                                   direction as he     under their
                                   may designate.      direction as they
                                                       may designate
140.95(b).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and the Director
                                   Swap Dealer and     of the Market
                                   Intermediary        Participants
                                   Oversight may       Division may
                                   submit any matter   submit any matter
                                   which has been      which has been
                                   delegated to him.   delegated to them
140.95(c).......................  Director of the     Director of the
                                   Division of         Division of
                                   Clearing and Risk   Clearing and Risk
                                   and Division of     and to the
                                   Swap Dealer and     Director of the
                                   Intermediary        Market
                                   Oversight.          Participants
                                                       Division
140.96(a).......................  Director of the     Director of the
                                   Division of         Division of
                                   Market Oversight    Market Oversight
                                   or the Director's   or the Director's
                                   designee,           designee, or the
                                                       Director of the
                                                       Division of Data
                                                       or the Director's
                                                       designee,
140.96(b).......................  the Director of     the Director of
                                   Swap Dealer and     the Market
                                   Intermediary        Participants
                                   Oversight or the    Division or the
                                   Director's          Director's
                                   designee, and to    designee, and to
                                   the Director of     the Director of
                                   the Division of     the Division of
                                   Clearing and Risk   Clearing and Risk
                                   or the Director's   or the Director's
                                   designee or the     designee, with
                                   Director's          the concurrence
                                   designee, with      of the General
                                   the concurrence     Counsel or the
                                   of the General      General Counsel's
                                   Counsel or the      designee, the
                                   General Counsel's   authority to
                                   designee, the       determine to
                                   authority to        publish, and to
                                   determine to        publish, in the
                                   publish, and to     Federal Register,
                                   publish, in the     requests for
                                   Federal Register,   public comment on
                                   requests for        proposed rule
                                   public comment on   amendments by a
                                   proposed exchange   derivatives
                                   and self-           clearing
                                   regulatory          organization,
                                   organization rule   designated
                                   amendments.         contract market,
                                                       swap data
                                                       repository, swap
                                                       execution
                                                       facility, or
                                                       registered
                                                       futures
                                                       association.
140.96(c).......................  Director of the     Director of the
                                   Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division or the
                                   Oversight or the    Director of the
                                   Director of the     Division of
                                   Division of         Clearing and Risk
                                   Clearing and Risk.  or the Director
                                                       of the Division
                                                       of Data
140.96(d).......................  Director of the     Director of the
                                   Division of         Division of
                                   Market Oversight    Market Oversight
                                   and to the          or to the
                                   Director of the     Director of the
                                   Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division or to
                                   Oversight or the    the Director of
                                   Director of the     the Division of
                                   Division of         Clearing and Risk
                                   Clearing and Risk.  or to the
                                                       Director of the
                                                       Division of Data
140.99(a)(5)....................  Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division, the
                                   Oversight, the      Division of
                                   Division of         Clearing and
                                   Clearing and Risk   Risk, the
                                   or the Division     Division of
                                   of Market           Market Oversight,
                                   Oversight.          the Division of
                                                       Data, or the
                                                       Office of the
                                                       General Counsel,
                                                       or any successor
                                                       divisions or
                                                       organizational
                                                       units, as the
                                                       context requires

[[Page 71816]]

 
140.99(d)(2)(ii)................  Director of the     Director of the
                                   Division of Swap    Market
                                   Dealer and          Participants
                                   Intermediary        Division
                                   Oversight.
140.99(d)(2)(ii)................  Director, Division  Director of the
                                   of Clearing and     Division of
                                   Risk, Commodity     Clearing and Risk
                                   Futures Trading     at the
                                   Commission, Three   Commission's
                                   Lafayette Centre,   Washington, DC
                                   1155 21st Street    headquarters.
                                   NW, Washington,
                                   DC 20581.
140.99(d)(2)(iii)...............  Director, Division  Director of the
                                   of Swap Dealer      Market
                                   and Intermediary    Participants
                                   Oversight,          Division at the
                                   Commodity Futures   Commission's
                                   Trading             Washington, DC
                                   Commission, Three   headquarters.
                                   Lafayette Centre,
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
140.99(d)(2)(iv)................  or                  or
                                   dsioletters@cftc.   [email protected]
                                   gov (for a          ov (for a request
                                   request filed       filed with the
                                   with the Division   Division of
                                   of Swap Dealer      Data), or
                                   and Intermediary    [email protected]
                                   Oversight), as      ov (for a request
                                   appropriate, and    filed with the
                                   a properly signed   Market
                                   paper copy of the   Participants
                                   request must be     Division), as
                                   provided to the     appropriate, and
                                   Division of         a properly signed
                                   Market Oversight,   paper copy of the
                                   the Division of     request must be
                                   Clearing and        provided to the
                                   Risk, or the        Division of
                                   Division of Swap    Market Oversight,
                                   Dealer and          the Division of
                                   Intermediary        Data, the
                                   Oversight, as       Division of
                                   appropriate,        Clearing and
                                   within ten days     Risk, or the
                                   for purposes of     Market
                                   verification of     Participants
                                   the electronic      Division, as
                                   submission.         appropriate,
                                                       pursuant to
                                                       paragraphs
                                                       (d)(2)(i) through
                                                       (iii) of this
                                                       section, as
                                                       applicable,
                                                       within ten days
                                                       for purposes of
                                                       verification of
                                                       the electronic
                                                       submission.
------------------------------------------------------------------------


0
55. Section 140.99 is further amended by revising paragraph (d)(2)(i) 
to read as follows:


Sec.  140.99  Requests for exemptive, no-action and interpretative 
letters

* * * * *
    (d) * * *
    (2)(i)(A) A request for a letter relating to the provisions of the 
Act or the Commission's rules, regulations, or orders issued thereunder 
governing designated contract markets, registered swap execution 
facilities, registered swap data repositories, registered foreign 
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, the trading of block trades, or position 
aggregation treatment shall be filed with the Director, Division of 
Market Oversight, Commodity Futures Trading Commission, at the 
Commission's Washington, DC headquarters.
    (B) A request for a letter regarding the form and manner of data 
reporting, data standards for reporting, or the content of any trade 
report or form to be submitted to the Commission, under Parts 15-20, 
43, 45, 46, or 49, shall be filed with the Director, Division of Data 
at the Commission's Washington, DC headquarters.
* * * * *

PART 142--INDEMNIFICATION OF CFTC EMPLOYEES

0
56. The authority citation for part 142 continues to read as follows:

    Authority: 7 U.S.C. 4a(j).


Sec.  142.2  [Amended]

0
57. In Sec.  142.2(d), remove ``Office of General Counsel'' and add 
``Office of the General Counsel'' in its place.

PART 144--PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND 
THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN 
RESPONSE TO SUBPOENAS OR OTHER DEMANDS OF A COURT

0
58. The authority citation for part 144 continues to read as follows:

    Authority: 5 U.S.C. 301; 7 U.S.C. 4a(j) and 12a(5); 31 U.S.C. 
9701, unless otherwise noted.


Sec. Sec.  144.1 and 144.5  [Amended]

0
59. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
144.1(b)....................  Three Lafayette       at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters.
                               Washington, DC
                               20581.
144.1(e)....................  National Futures      National Futures
                               Association, 200      Association, 300 S
                               West Madison          Riverside Plaza,
                               Street, Suite 1600,   Suite 1800,
                               Chicago, Illinois     Chicago, IL 60606
                               60606.
144.5(a)....................  Commission's office   Commission's
                               in Washington, DC.    Washington, DC
                                                     headquarters
------------------------------------------------------------------------

PART 145--COMMISSION RECORDS AND INFORMATION

0
60. The authority citation for part 145 continues to read as follows:

    Authority: Pub. L. 99-570, 100 Stat. 3207; Pub. L. 89-554, 80 
Stat. 383; Pub. L. 90-23, 81 Stat. 54; Pub. L. 98-502, 88 Stat. 
1561-1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93-463, 88 Stat. 1389 
(5 U.S.C. 4a(j)); Pub. L. 114-185, 130 Stat. 538; unless otherwise 
noted.

    Section 145.5 is also issued under 5 U.S.C. 552, 5 U.S.C. 552b, 
and secs. 2(a)(11), 4b, 4f, 4g, 5a, 8a, and 17 of the Commodity 
Exchange Act, 7 U.S.C. 2, 4a(j), 6b, 6f, 6g, 7a, 12a, and 21, as 
amended, 92 Stat. 865 et seq.; secs. 2(a)(1), 4c(a)-(d), 4d, 4f, 4g, 
4k, 4m, 4n, 8a, 15 and 17, Commodity Exchange Act (7 U.S.C. 2, 4, 
6c(a)-(d), 6f, 6g, 6k, 6m, 6n, 12a, 19 and 21; 5 U.S.C. 552 and 
552b); secs. 2(a)(11) and 8 of the Commodity Exchange Act, 7 U.S.C. 
4(j) and 12 (1983); secs. 8a(5) and 19 of the Commodity Exchange 
Act, as

[[Page 71817]]

amended, 7 U.S.C. 12a(5) and 23 (1982); 5 U.S.C. 552 and 552b.
    Section 145.6 is also issued under 7 U.S.C. 2, 4, 6, and 12; 
secs. 2(a)(1), 4c, 4d, 4e, 4f, 4k, 4m, 4n, 4p, 8, 8a and 19 of the 
Commodity Exchange Act (7 U.S.C. 2 and 4, 6c, 6d, 6e, 6f, 6k, 6m, 
6n, 6p, 12, 12a and 23 (1982)); 5 U.S.C. 552 and 552b.
    Section 145.8 is also issued under 7 U.S.C. 4a(j) and 16a as 
amended by Pub. L. 97-444, 96 Stat. 2294 (1983), and 5 U.S.C. 552, 
552a and 552b.


0
61. In Sec.  145.0, revise paragraph (a) to read as follows:


Sec.  145.0  Definitions.

* * * * *
    (a) FOIA Compliance Staff--refers to the Freedom of Information Act 
compliance staff assigned to respond to requests for information under 
the Freedom of Information Act.
* * * * *


Sec. Sec.  145.2, 145.6, 145.7, 145.8, and 145.9 and Appendix 
A  [Amended]

0
62. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
145.2.......................  principal office of   Commission's
                               the Commission in     Washington, DC
                               Washington, DC.       headquarters
145.6(b)(1).................  National Futures      National Futures
                               Association, 200      Association, 300 S
                               West Madison          Riverside Plaza,
                               Street, Suite 1600,   Suite 1800,
                               Chicago, Illinois     Chicago, IL 60606
                               60606.
145.7(b)....................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(c)....................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(f)....................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(g)....................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(h)(1).................  Compliance Staff....  FOIA compliance
                                                     staff
145.7(h)(2).................  Compliance Staff....  FOIA compliance
                                                     staff
145.7(h)(3).................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(h)(3).................  Compliance Staff....  FOIA compliance
                                                     staff
145.7(i)(2).................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(i)(2).................  Compliance Staff....  FOIA compliance
                                                     staff
145.7(i)(5).................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(i)(6).................  Compliance Staff....  FOIA compliance
                                                     staff
145.7(i)(6)(iii)............  Compliance Staff....  FOIA compliance
                                                     staff
145.7(i)(7).................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(j)....................  Office of General     Office of the
                               Counsel.              General Counsel
145.7(j)....................  Compliance Staff....  FOIA compliance
                                                     staff
145.8.......................  Compliance Staff....  FOIA compliance
                                                     staff
145.9(d)(2).................  Assistant Secretary   Office of the
                               of the Commission     General Counsel at
                               for FOI, Privacy      the Commission's
                               and Sunshine Acts     Washington, DC
                               Compliance.           headquarters, Attn:
                                                     FOIA compliance
                                                     staff
145.9(d)(3).................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               Compliance.
145.9(d)(7).................  Assistant Secretary.  FOIA compliance
                                                     staff
145.9(d)(9).................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               Compliance or his
                               or her designee.
145.9(d)(9).................  Assistant Secretary   FOIA compliance
                               or his or her         staff
                               designee.
145.9(e)(1).................  Assistant Secretary   FOIA compliance
                               or his or her         staff
                               designee.
145.9(e)(1).................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               Compliance.
145.9(f)(1).................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               compliance or his
                               or her designee.
145.9(f)(2).................  Assistant Secretary   FOIA compliance
                               or his or her         staff
                               designee.
145.9(f)(3).................  Assistant Secretary   FOIA compliance
                               or his or her         staff
                               designee.
145.9(g)(3).................  Office of General     Office of the
                               Counsel.              General Counsel
145.9(g)(3).................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               compliance.
145.9(g)(5).................  Office of General     Office of the
                               Counsel.              General Counsel
145.9(g)(7).................  Office of General     Office of the
                               Counsel.              General Counsel
145.9(g)(8).................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               Compliance.
145.9(g)(10)................  The General Counsel   The General Counsel
                               or his or here        or their designee
                               designee.
145.9(h)....................  Assistant Secretary   FOIA compliance
                               of the Commission     staff
                               for FOI, Privacy
                               and Sunshine Acts
                               Compliance.
Appendix A introductory text  Three Lafayette       the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
Appendix A (a) (heading)....  Office of External    Office of Public
                               Affairs.              Affairs
Appendix A, (d) (heading)...  Executive Director,   Chief Administrative
                               Administrative        Officer, Division
                               Services Section.     of Administration
Appendix A, (g) (heading)...  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
Appendix A, (g).............  National Futures      National Futures
                               Association, 200      Association, 300 S
                               West Madison          Riverside Plaza,
                               Street, Suite 1600,   Suite 1800,
                               Chicago, Illinois     Chicago, IL 60606
                               60606.
------------------------------------------------------------------------


[[Page 71818]]


0
63. Section 145.6 is further amended by revising paragraph (a) to read 
as follows:


Sec.  145.6  Commission offices to contact for assistance; registration 
records available.

    (a) All requests for non-public records shall be made in writing 
and shall be addressed or otherwise directed to the Office of the 
General Counsel at the Commission's Washington, DC headquarters, Attn: 
FOIA Request, or electronically via [email protected]. Requests 
for public records directed to a regional office of the Commission 
pursuant to Sec.  145.2 should be sent to the Eastern Regional Office, 
Central Regional Office, or Southwestern Regional Office, as 
applicable.
* * * * *

PART 146--RECORDS MAINTAINED ON INDIVIDUALS

0
64. The authority citation for part 146 continues to read as follows:

    Authority: 88 Stat. 1896 (5 U.S.C. 552a), as amended; 88 Stat. 
1389 (7 U.S.C. 4a(j)).

0
65. In Sec.  146.2, revise paragraph (c) to read as follows:


Sec.  146.2  Definitions.

* * * * *
    (c) The term FOIA compliance staff refers to the Freedom of 
Information Act compliance staff assigned to respond to requests for 
information under the Freedom of Information Act;
* * * * *


Sec. Sec.  146.3, 146.4, 146.5, 146.6, 146.8, 146.9, and 146.11 and 
Appendix A  [Amended]

0
66. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
146.3(a)....................  pertaining to him...  pertaining to them
146.3(a)....................  FOI, Privacy and      FOIA compliance
                               Sunshine Acts         staff in the Office
                               compliance staff,     of the General
                               Office of the         Counsel at the
                               Secretariat,          Commission's
                               Commodity Futures     Washington, DC
                               Trading Commission,   headquarters and
                               Three Lafayette       clearly marked
                               Centre, 1155 21st     ``Privacy Act
                               Street NW,            request.''
                               Washington, DC
                               20581.
146.4(b)....................  Executive Director..  General Counsel
146.4(b)....................  his identity........  their identity
146.4(b)....................  he is familiar with   they are familiar
                               and understands.      with and understand
146.4(b)....................  FOI, Privacy and      FOIA compliance
                               Sunshine Acts         staff in the Office
                               compliance staff,     of the General
                               Office of the         Counsel at the
                               Secretariat,          Commission's
                               Commodity Futures     Washington, DC
                               Trading Commission,   headquarters and
                               Three Lafayette       clearly marked
                               Centre, 1155 21st     ``Privacy Act
                               Street NW,            request.''
                               Washington, DC
                               20581.
146.5(e)....................  FOI, Privacy and      FOIA compliance
                               Sunshine Acts         staff
                               compliance staff,
                               Office of the
                               Secretariat.
146.5(f)....................  FOI, Privacy and      FOIA compliance
                               Sunshine Acts         staff in the Office
                               compliance staff,     of the General
                               Office of the         Counsel at the
                               Secretariat,          Commission's
                               Commodity Futures     Washington, DC
                               Trading Commission,   headquarters and
                               Three Lafayette       clearly marked
                               Centre, 1155 21st     ``Privacy Act
                               Street NW,            request.''
                               Washington, DC
                               20581.
146.6(d)....................  FOI, Privacy and      FOIA compliance
                               Sunshine Acts         staff in the Office
                               compliance staff,     of the General
                               Office of the         Counsel at the
                               Secretariat,          Commission's
                               Commodity Futures     Washington, DC
                               Trading Commission,   headquarters,
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581,
146.8(a)....................  pertaining to him...  pertaining to them
146.8(a)....................  under his name......  under their name
146.8(a)....................  if he believes......  if they believe
146.8(a)....................  the FOI, Privacy and  the FOIA compliance
                               Sunshine Acts         staff at the
                               compliance staff,     Commission's
                               Office of the         Washington, DC
                               Secretariat,          headquarters.
                               Commodity Futures
                               Trading Commission,
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581.
146.8(d)....................  FOI, Privacy and      Chief Privacy
                               Sunshine Acts         Officer at the
                               compliance staff,     Commission's
                               Office of the         Washington, DC
                               Secretariat,          headquarters.
                               Commodity Futures
                               Trading Commission,
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581.
146.8(e)....................  Executive Director..  General Counsel
146.8(f)....................  Executive Director..  General Counsel
146.8(g)....................  Executive Director..  General Counsel
146.8(h)....................  Executive Director..  General Counsel
146.9(c)....................  FOI, Privacy and      General Counsel,
                               Sunshine Acts         Office of the
                               compliance staff,     General Counsel at
                               Office of the         the Commission's
                               Secretariat,          Washington, DC
                               Commodity Futures     headquarters.
                               Trading Commission,
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581.
146.9(d)....................  FOI, Privacy and      General Counsel
                               Sunshine Acts
                               compliance staff,
                               Office of the
                               Secretariat.
146.9(e)(3).................  FOI, Privacy and      Chief Privacy
                               Sunshine Acts         Officer
                               compliance staff,
                               Office of the
                               Secretariat.
146.11(b)...................  FOI, Privacy and      Chief Privacy
                               Sunshine Acts         Officer at the
                               compliance staff,     Commission's
                               Office of the         Washington, DC
                               Secretariat,          headquarters.
                               Commodity Futures
                               Trading Commission,
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581.
Appendix A, (5)b............  FOI, Privacy and      FOIA compliance
                               Sunshine Acts         staff at the
                               compliance staff,     Commission's
                               Office of             Washington, DC
                               Secretariat,          headquarters.
                               Commodity Futures
                               Trading Commission,
                               Three Lafayette
                               Centre, 1155 21st
                               Street NW,
                               Washington, DC
                               20581.
------------------------------------------------------------------------


[[Page 71819]]

PART 147--OPEN COMMISSION MEETINGS

0
67. The authority citation for part 147 continues to read as follows:

    Authority: Sec. 3(a), Pub. L. 94-409, 90 Stat. 1241 (5 U.S.C. 
552b); sec. 101(a)(11), Pub. L. 93-463, 88 Stat. 1391 (7 U.S.C. 
4a(j) (Supp. V, 1975)), unless otherwise noted.


0
68. In Sec.  147.2, revise paragraph (g) to read as follows:


Sec.  147.2  Definitions.

* * * * *
    (g) The term FOIA Compliance staff refers to the Freedom of 
Information Act Compliance Staff assigned to respond to requests for 
information under the Freedom of Information Act.


Sec. Sec.  147.4, 147.5, 147.6, 147.8, and 147.9  [Amended]

0
69. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
             Section                    Remove                Add
------------------------------------------------------------------------
147.4(d)(1).....................  , Commodity         at the
                                   Futures Trading     Commission's
                                   Commission, Three   Washington, DC
                                   Lafayette Centre,   headquarters
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
147.5(h)........................  offices of the      Office of the
                                   FOI, Privacy and    Secretariat at
                                   Sunshine Acts       the Commission's
                                   compliance staff,   Washington, DC
                                   Office of the       headquarters.
                                   Secretariat,
                                   Commodity Futures
                                   Trading
                                   Commission, Three
                                   Lafayette Centre,
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
147.5(i)........................  offices of the      Office of the
                                   FOI, Privacy and    Secretariat at
                                   Sunshine Acts       the Commission's
                                   compliance staff,   Washington, DC
                                   Office of the       headquarters.
                                   Secretariat,
                                   Commodity Futures
                                   Trading
                                   Commission, Three
                                   Lafayette Centre,
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
147.6(c)........................  offices of the      Office of the
                                   FOI, Privacy and    Secretariat at
                                   Sunshine Acts       the Commission's
                                   compliance staff,   Washington, DC
                                   Office of the       headquarters.
                                   Secretariat,
                                   Commodity Futures
                                   Trading
                                   Commission, Three
                                   Lafayette Centre,
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
147.8(a)........................  offices of the      Office of the
                                   FOI, Privacy and    Secretariat at
                                   Sunshine Acts       the Commission's
                                   compliance staff,   Washington, DC
                                   Office of the       headquarters.
                                   Secretariat,
                                   Commodity Futures
                                   Trading
                                   Commission, Three
                                   Lafayette Centre,
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
147.8(b)(1).....................  Assistant           Office of the
                                   Secretary of the    General Counsel
                                   Commission for      in consultation
                                   FOI, Privacy and    with the Director
                                   Sunshine Acts       of any affected
                                   compliance after    staff division
                                   due consultation
                                   with the Office
                                   of the
                                   Commission's
                                   General Counsel
                                   and the Director
                                   of any affected
                                   staff division.
147.9(b)........................  FOI, Privacy and    Office of the
                                   Sunshine Acts       Secretariat at
                                   compliance staff,   the Commission's
                                   Office of the       Washington, DC
                                   Secretariat,        headquarters.
                                   Commodity Futures
                                   Trading
                                   Commission, Three
                                   Lafayette Centre,
                                   1155 21st Street
                                   NW, Washington,
                                   DC 20581.
------------------------------------------------------------------------

PART 148--IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN 
COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION

0
70. The authority citation for part 148 continues to read as follows:

    Authority:  Equal Access to Justice Act, 5 U.S.C. 504(c)(1) and 
secs. 2(a)(11) and 8a(5) of the Commodity Exchange Act, 7 U.S.C. 
4a(j) and 12a(5), unless otherwise noted.


Sec.  148.30  [Amended]

0
71. In Sec.  148.30, remove ``Executive Director of the Commission, 
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581,'' 
and add ``Executive Director at the Commission's Washington, DC 
headquarters,'' in its place.

PART 149--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP 
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES 
TRADING COMMISSION

0
72. The authority citation for part 149 continues to read as follows:

    Authority: 29 U.S.C 794, unless otherwise noted.


Sec.  149.170  [Amended]

0
73. In Sec.  149.170(c), remove ``Equal Employment Opportunity Officer, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW, Washington, DC 20581'' and add ``Equal Employment 
Opportunity Officer at the Commission's Washington, DC headquarters'' 
in its place.

PART 150--LIMITS ON POSITIONS

0
74. The authority citation for part 150 continues to read as follows:

    Authority:  7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, and 
19, as amended by Title VII of the Dodd-Frank Wall Street Reform and 
Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376 (2010).


Sec.  150.4  [Amended]

0
75. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

[[Page 71820]]



------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
150.4(e)(1).................  may designate from    may designate
                               time to time.
150.4(e)(2).................  may designate from    may designate
                               time to time.
150.4(e)(2).................  Office of Data and    Division of Data
                               Technology.
150.4(e)(3).................  Office of Data and    Division of Data
                               Technology.
------------------------------------------------------------------------

PART 155--TRADING STANDARDS

0
76. The authority citation for part 155 continues to read as follows:

    Authority: 7 U.S.C. 6b, 6c, 6g, 6j and 12a, unless otherwise 
noted.


Sec. Sec.  155.3 and 155.4  [Amended]

0
77. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
155.2(i)(2).................  insured.............  ensured
155.2(i)(2).................  insure..............  ensure
155.3(a)(1).................  Insure..............  Ensure
155.4(a)(1).................  Insure..............  Ensure
------------------------------------------------------------------------

PART 160--PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V 
OF THE GRAMM-LEACH-BLILEY ACT

0
78. The authority citation for part 160 continues to read as follows:

    Authority: 7 U.S.C. 7b-2 and 12a(5); 15 U.S.C 6801, et seq., and 
sec. 1093, Pub. L. 111-203, 124 Stat. 1376.


Sec.  160.30  [Amended]

0
79. In Sec.  160.30(a), remove ``Insure'' and add ``Ensure'' in its 
place.

PART 162--PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT 
REPORTING ACT

0
80. The authority citation for part 162 continues to read as follows:

    Authority:  Sec. 1088, Pub. L. 111-203; 124 Stat. 1376 (2010).


Sec.  162.21  [Amended]

0
81. In Sec.  162.21(a)(1), remove ``Insure'' and add ``Ensure'' in its 
place.

PART 165--

0
82. The authority citation for part 165 continues to read as follows:

    Authority: 7 U.S.C. 2, 5, 9, 12a(5), 13a, 13a-1, 13b, and 26.


Sec. Sec.  165.3, 165.7, 165.12, 165.15, and Appendix B  [Amended]

0
83. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
165.3(a)(2).................  Commission, Three     Whistleblower Office
                               Lafayette Centre,     at the Commission's
                               1155 21st Street      Washington, DC
                               NW, Washington, DC    headquarters.
                               20581.
165.7(b)(1).................  to the Commission by  by mail or fax to
                               mail or fax to        the Whistleblower
                               Commodity Futures     Office at the
                               Trading Commission,   Commission's
                               Three Lafayette       Washington, DC
                               Centre, 1155 21st     headquarters,
                               Street NW,
                               Washington, DC
                               20581,
165.12(c)...................  Office of Customer    Office of Public
                               Education and         Affairs.
                               Outreach.
165.15(a)(2)................  Office of General     Office of the
                               Counsel.              General Counsel
Appendix B under Submission   Three Lafayette       at the Commission's
 Procedures heading.           Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
Appendix B, under Submission  Three Lafayette       at the Commission's
 Procedures heading.           Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
------------------------------------------------------------------------

PART 170--REGISTERED FUTURES ASSOCIATIONS

0
84. The authority citation for part 170 continues to read as follows:

    Authority: 7 U.S.C. 6d, 6m, 6p, 6s, 12a, and 21.


Sec. Sec.  170.11 and 170.12  [Amended]

0
85. For each paragraph indicated in the left column of the following 
table, remove the text in the middle column from wherever it appears in 
the section or paragraph, and add in its place the text indicated in 
the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
170.11(a)(5)................  Three Lafayette       the Commission's DC
                               Centre, 1155 21st     headquarters
                               Street NW,
                               Washington, DC
                               20581.
170.12 (section heading)....  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
170.12......................  Division of Swap      Market Participants
                               Dealer and            Division
                               Intermediary
                               Oversight.
------------------------------------------------------------------------


[[Page 71821]]

PART 171--RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION 
DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND 
MEMBER RESPONSIBILITY ACTIONS

0
86. The authority citation for part 171 continues to read as follows:

    Authority: 7 U.S.C. 4a, 12a and 21, unless otherwise noted.


Sec. Sec.  171.2, 171.3, 171.8, 171.28, and 171.31  [Amended]

0
87. For each section and paragraph indicated in the left column of the 
following table, remove the text in the middle column from wherever it 
appears in the section or paragraph, and add in its place the text 
indicated in the right column:

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
171.2(c)....................  Commission's          Office of the
                               Opinions Section.     General Counsel's
                                                     Litigation,
                                                     Enforcement, and
                                                     Adjudication
                                                     Section
171.3.......................  principal office....  headquarters
171.8(a)....................  Three Lafayette       at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
171.8(b)....................  Three Lafayette       at the Commission's
                               Centre, 1155 21st     Washington, DC
                               Street NW,            headquarters
                               Washington, DC
                               20581.
171.28......................  the Division of Swap  the Market
                               Dealer and            Participants
                               Intermediary          Division, the
                               Oversight and the     Division of
                               Division of           Clearing and Risk,
                               Clearing and Risk     the Division of
                               or the Division of    Market Oversight,
                               Market Oversight.     or the Division of
                                                     Data
171.31(a)...................  the Division of Swap  the Market
                               Dealer and            Participants
                               Intermediary          Division, the
                               Oversight, and the    Division of
                               Division of           Clearing and Risk,
                               Clearing and Risk     the Division of
                               or the Division of    Market Oversight,
                               Market Oversight.     or the Division of
                                                     Data
------------------------------------------------------------------------


    Issued in Washington, DC, on August 13, 2024, by the Commission.
Robert Sidman
Deputy Secretary of the Commission.

    Note: The following appendix will not appear in the Code of 
Federal Regulations.

Appendix to Incorporation of Changes in the Commission's Administrative 
Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text--
Voting Summary

Appendix 1--Voting Summary

    On this matter, Chairman Behnam and Commissioners Johnson, and 
Goldsmith Romero, Mersinger, and Pham voted in the affirmative. No 
Commissioner voted in the negative.

[FR Doc. 2024-18445 Filed 9-3-24; 8:45 am]
BILLING CODE 6351-01-P

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