Agencies and Commissions September 2007 – Federal Register Recent Federal Regulation Documents

Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
Document Number: E7-19269
Type: Proposed Rule
Date: 2007-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing for comment an interpretive rule that would address the application of the Investment Advisers Act of 1940 to certain activities of broker- dealers. The proposal would reinstate three interpretive provisions of a rule that was vacated by a recent court opinion. The first provision would clarify that a broker-dealer that exercises investment discretion with respect to an account or charges a separate fee, or separately contracts, for advisory services provides investment advice that is not ``solely incidental to'' its business as a broker-dealer. The second provision would clarify that a broker-dealer does not receive special compensation within the meaning of section 202(a)(11)(C) of the Advisers Act solely because it charges a commission for discount brokerage services that is less than it charges for full-service brokerage. The third provision would clarify that a registered broker- dealer is an investment adviser solely with respect to those accounts for which it provides services or receives compensation that subjects it to the Advisers Act.
NRC Size Standards; Revision Confirmation of Effective Date
Document Number: E7-19255
Type: Rule
Date: 2007-09-28
Agency: Nuclear Regulatory Commission, Agencies and Commissions
The Nuclear Regulatory Commission (NRC) is confirming the effective date of October 24, 2007, for a direct final rule that was published in the Federal Register on August 10, 2007 (72 FR 44951). This direct final rule amended the NRC's regulations concerning the size standard it uses to qualify an NRC licensee as a small entity under the Regulatory Flexibility Act and has made the same change to its annual fee rule.
Procurement List Additions
Document Number: E7-19224
Type: Notice
Date: 2007-09-28
Agency: Committee for Purchase From People Who Are Blind or Severely Disabled, Agencies and Commissions
This action adds to the Procurement List a product and services to be furnished by nonprofit agencies employing persons who are blind or have other severe disabilities.
Procurement List: Proposed Additions and Deletion
Document Number: E7-19223
Type: Notice
Date: 2007-09-28
Agency: Committee for Purchase From People Who Are Blind or Severely Disabled, Agencies and Commissions
The Committee is proposing to add to the Procurement List a product and services to be furnished by nonprofit agencies employing persons who are blind or have other severe disabilities, and to delete a service previously furnished by such agencies. Comments Must Be Received On or Before: October 28, 2007.
Improving Public Safety Communications in the 800 MHz Band
Document Number: E7-19210
Type: Notice
Date: 2007-09-28
Agency: Federal Communications Commission, Agencies and Commissions
By this Public Notice, the Federal Communications Commission (Commission) announces supplemental procedures and provides guidance for completion of 800 MHz rebanding by National Public Safety Planning Advisory Committee (NPSPAC) licensees. As part of the rebanding process, NPSPAC licensees are being relocated to new frequencies in the 800 MHz band, with all rebanding costs to be paid by Sprint Corporation (Sprint). The Commission's orders provide for the rebanding process to be completed by June 26, 2008.
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Document Number: E7-19191
Type: Rule
Date: 2007-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting a temporary rule under the Investment Advisers Act of 1940 that establishes an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The Commission is adopting the temporary rule on an interim final basis as part of its response to a recent court decision invalidating a rule under the Advisers Act, which provided that fee-based brokerage accounts were not advisory accounts and were thus not subject to the Advisers Act. As a result of the Court's decision, which takes effect on October 1, fee-based brokerage customers must decide whether they will convert their accounts to fee- based accounts that are subject to the Advisers Act or to commission- based brokerage accounts. We are adopting the temporary rule to enable investors to make an informed choice between those accounts and to continue to have access to certain securities held in the principal accounts of certain advisory firms while remaining protected from certain conflicts of interest. The temporary rule will expire and no longer be effective on December 31, 2009.
Government in the Sunshine Act Meeting Notice
Document Number: E7-19186
Type: Notice
Date: 2007-09-28
Agency: International Trade Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E7-19185
Type: Notice
Date: 2007-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Raw Flexible Magnets From China and Taiwan
Document Number: E7-19183
Type: Notice
Date: 2007-09-28
Agency: International Trade Commission, Agencies and Commissions
The Commission hereby gives notice of the institution of investigations and commencement of preliminary phase countervailing duty and antidumping duty investigations Nos. 701-TA-452 and 731-TA- 1129-1130 (Preliminary) under section 703(a) of the Tariff Act of 1930 (19 U.S.C. 1671b(a)) (the Act) and section 733(a) (19 U.S.C. 1673b(a)) to determine whether there is a reasonable indication that an industry in the United States is materially injured or threatened with material injury, or the establishment of an industry in the United States is materially retarded, by reason of imports from China and Taiwan of raw flexible magnets, provided for in subheadings 8505.19.10 and 8505.19.20 of the Harmonized Tariff Schedule of the United States, that are alleged to be subsidized by the Government of China,\1\ and that are alleged to be sold in the United States at less than fair value. Unless the Department of Commerce extends the time for initiation pursuant to section 702(c)(1)(B) of the Act (19 U.S.C. 1671a(c)(1)(B)) or 732(c)(1)(B) of the Act (19 U.S.C. 1673a(c)(1)(B)), the Commission must reach preliminary determinations in countervailing duty and antidumping investigations in 45 days, or in these cases by November 5, 2007. The Commission's views are due at Commerce within five business days thereafter, or by November 13, 2007.
Glycine From India, Japan, and Korea
Document Number: E7-19182
Type: Notice
Date: 2007-09-28
Agency: International Trade Commission, Agencies and Commissions
The Commission hereby gives notice of the scheduling of the final phase of antidumping investigation Nos. 731-TA-1111-1113 (Final) under section 735(b) of the Act (19 U.S.C. 1673d(b)) to determine whether an industry in the United States is materially injured or threatened with material injury, or the establishment of an industry in the United States is materially retarded, by reason of less-than-fair- value imports from India, Japan, and Korea of glycine, provided for in statistical reporting number 2922.49.4020 of the Harmonized Tariff Schedule of the United States.\1\
In the Matter of Certain Sucralose, Sweeteners Containing Sucralose, and Related Intermediate Compounds Thereof; Notice of Commission Determination To Review and Vacate an Initial Determination Denying a Motion To Terminate the Investigation With Regard to Three Patents
Document Number: E7-19168
Type: Notice
Date: 2007-09-28
Agency: International Trade Commission, Agencies and Commissions
Notice is hereby given that the U.S. International Trade Commission has determined to review and vacate an initial determination (``ID'') (Order No. 11) of the presiding administrative law judge (``ALJ'') in the above-captioned investigation denying a motion to terminate the investigation as to United States Patent Nos. 4,980,463, 5,470,969, and 5,034,551.
Milliman, Inc.; Analysis of Proposed Consent Order to Aid Public Comment
Document Number: E7-19159
Type: Notice
Date: 2007-09-28
Agency: Federal Trade Commission, Agencies and Commissions
The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint and the terms of the consent orderembodied in the consent agreementthat would settle these allegations.
Limitations of Duty- and Quota-Free Imports of Apparel Articles Assembled in Beneficiary ATPDEA Countries from Regional Country Fabric
Document Number: E7-19158
Type: Notice
Date: 2007-09-28
Agency: Committee for the Implementation of Textile Agreements, Agencies and Commissions
Ingenix, Inc.; Analysis of Proposed Consent Order to Aid Public Comment
Document Number: E7-19152
Type: Notice
Date: 2007-09-28
Agency: Federal Trade Commission, Agencies and Commissions
The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint and the terms of the consent orderembodied in the consent agreementthat would settle these allegations.
New Move Update Standards for First-Class Mail and Standard Mail
Document Number: E7-19151
Type: Rule
Date: 2007-09-28
Agency: Postal Service, Agencies and Commissions
The Postal ServiceTM is extending its effort to improve the percentage of deliverable mail by revising Move Update standards in the Mailing Standards of the United States Postal Service, Domestic Mail Manual (DMM). The Move Update standards provide ways for mailers to reduce the number of mailpieces that require forwarding or return by the periodic matching of a mailer's address records with customer-filed change-of-address orders. Our final rule includes the following changes related to Move Update processing: increase the minimum frequency of Move Update processing from 185 days to 95 days prior to the date of mailing and extend the revised Move Update requirement to include all Standard Mail.
ProShares Trust, et al.; Notice of Application
Document Number: E7-19149
Type: Notice
Date: 2007-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
WisdomTree Investments, Inc., et al.; Notice of Application
Document Number: E7-19148
Type: Notice
Date: 2007-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Unfair or Deceptive Acts or Practices
Document Number: E7-19137
Type: Rule
Date: 2007-09-28
Agency: Federal Reserve System, Agencies and Commissions
The Board is publishing amendments to Regulation AA (Unfair or Deceptive Acts or Practices) to update the address where consumer complaints regarding a state member bank may be sent.
Equal Credit Opportunity
Document Number: E7-19136
Type: Rule
Date: 2007-09-28
Agency: Federal Reserve System, Agencies and Commissions
The Board is publishing amendments to Regulation B (Equal Credit Opportunity Act) to update the address where questions should be directed concerning creditors for which the Federal Reserve System administers compliance with the regulation.
In the Matter of Certain Voltage Regulators, Components Thereof and Products Containing Same; Notice of Commission Final Determination of Violation of Section 337; Termination of Investigation; Issuance of Limited Exclusion Order
Document Number: E7-19123
Type: Notice
Date: 2007-09-28
Agency: International Trade Commission, Agencies and Commissions
Notice is hereby given that the U.S. International Trade Commission has determined that there is a violation of 19 U.S.C. 1337 by Advanced Analogic Technologies, Inc. (``AATI'') of Sunnyvale, California in the above-captioned investigation, and has issued a limited exclusion order directed against products of respondent AATI. The investigation is terminated.
Solicitation Provisions and Contract Clauses
Document Number: 07-55518
Type: Rule
Date: 2007-09-28
Agency: Department of Defense, General Services Administration, Agencies and Commissions, National Aeronautics and Space Administration
Acquisition Planning and Special Contracting Methods
Document Number: 07-55517
Type: Rule
Date: 2007-09-28
Agency: National Aeronautics and Space Administration, Agencies and Commissions
Commission Organization
Document Number: 07-55514
Type: Rule
Date: 2007-09-28
Agency: Federal Communications Commission, Agencies and Commissions
Sunshine Act Meeting Notice
Document Number: 07-4834
Type: Notice
Date: 2007-09-28
Agency: Election Assistance Commission, Agencies and Commissions
Proposed Guidance on Garnishment of Exempt Federal Benefit Funds
Document Number: 07-4783
Type: Notice
Date: 2007-09-28
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Federal Reserve System, National Credit Union Administration, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Office of Thrift Supervision, Comptroller of the Currency
The Agencies are proposing guidance entitled Garnishment of Exempt Federal Benefit Funds. This proposed guidance has been developed to encourage financial institutions to have policies and procedures in place with respect to handling garnishment orders and sets forth best practices, including procedures designed to expedite notice to the consumer of the garnishment process and release of funds to the consumer as quickly as possible.
Petition of the Chicago Mercantile Exchange, Inc. for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From the Requirement That the China Foreign Exchange Trade System and National Interbank Funding Center or its Members Register as Futures Commission Merchants
Document Number: E7-19222
Type: Notice
Date: 2007-09-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') published on August 23, 2007, a notice of proposed order and request for comment regarding a petition filed with the Commission by the Chicago Mercantile Exchange, Inc. (``CME'') applying for exemptive relief, pursuant to Section 4(c) of the Commodity Exchange Act.\1\ CME's petition applies for exemptive relief from the requirement that the China Foreign Exchange Trade system and National Interbank Funding Center (``CFETS'') or its members register as futures commission merchants (``FCMs''). An interested party has requested that the comment period be extended by two weeks due to the novelty of the issues involved. The Commission is extending the comment period to October 9, 2007.
Sentencing Guidelines for United States Courts
Document Number: E7-19117
Type: Notice
Date: 2007-09-27
Agency: United States Sentencing Commission, Agencies and Commissions
The United States Sentencing Commission submitted a series of amendments to the federal sentencing guidelines to Congress on May 1, 2007. Notice of such amendments was published in the Federal Register on May 21, 2007 (72 FR 28558). On July 31, 2007, the Commission published a notice (72 FR 41794) requesting comment regarding whether either Amendment 9, which pertains to offenses involving cocaine base (``crack''), or Amendment 12, which pertains to certain criminal history rules, should be included in subsection (c) of Sec. 1B1.10 [Reduction in Term of Imprisonment as a Result of Amended Guideline Range (Policy Statement)] as amendments that may be applied retroactively to previously sentenced defendants. The Commission further requested comment regarding whether, if it amends Sec. 1B1.10(c) to include either amendment, it also should amend Sec. 1B1.10 to provide guidance to the courts on the procedure to be used when applying an amendment retroactively under 18 U.S.C. 3582(c)(2). The Commission is issuing this notice to advise the public that the period for public comment regarding retroactivity has been extended to November 1, 2007. The deadline was initially October 1, 2007. The Commission plans to publish on its Web site, http:// www.ussc.gov, data related to possible retroactivity that may assist interested parties in preparing their comment. This comment period is extended to ensure sufficient time for interested parties to consider any such data and to submit comment for Commission review and consideration.
Formations of, Acquisitions by, and Mergers of Bank Holding Companies
Document Number: E7-19095
Type: Notice
Date: 2007-09-27
Agency: Federal Reserve System, Agencies and Commissions
Change in Bank Control Notices; Acquisition of Shares of Bank or Bank Holding Companies
Document Number: E7-19094
Type: Notice
Date: 2007-09-27
Agency: Federal Reserve System, Agencies and Commissions
Meeting of the TVA Regional Resource Stewardship Council
Document Number: E7-19088
Type: Notice
Date: 2007-09-27
Agency: Tennessee Valley Authority, Agencies and Commissions
The TVA Regional Resource Stewardship Council (RRSC) will hold a meeting on October 11 and October 12 to obtain views and advice on the topic of the dry conditions in the Tennessee Valley and TVA's drought management plan. The RRSC was established to advise TVA on its natural resource stewardship activities. Notice of this meeting is given under the Federal Advisory Committee Act, 5 U.S.C. App. 2, (FACA). The TVA Regional Resource Stewardship Council will hear opinions and views of citizens by providing a public comment session. The public comment session will be held at 9:30 a.m. on Friday, October 12. Persons wishing to speak are requested to register at the door by 9 a.m. EDT on October 12 and will be called on during the public comment period. Handout materials should be limited to one printed page. Written comments are also invited and may be mailed to the Regional Resource Stewardship Council, Tennessee Valley Authority, 400 West Summit Hill Drive, WT 11B, Knoxville, Tennessee 37902.
Revised Notice of Intent To Prepare a Generic Environmental Impact Statement for Uranium Milling Facilities
Document Number: E7-19081
Type: Notice
Date: 2007-09-27
Agency: Nuclear Regulatory Commission, Agencies and Commissions
This notice revises a notice published on August 31, 2007 in the Federal Register (72 FR 50414) which announced that an additional scoping meeting for the NRC's Generic Environmental Impact Statement (GEIS) would be held in Gallup, New Mexico on September 27, 2007, and that the GEIS scoping comment period was extended to October 8, 2007. The GEIS will assess the potential environmental impacts associated with uranium recovery at milling facilities employing the in-situ leach (ISL) process. The GEIS may also assess the potential environmental impacts of alternative methods of uranium recovery (including the conventional milling process). The purpose of this revised notice is to: (1) Reiterate that an additional scoping meeting will be held in Gallup, New Mexico on September 27, 2007; (2) extend the scoping comment period to October 31, 2007; and (3) announce that site-specific environmental assessments (EAs) that incorporate conclusions from the GEIS (i.e., tiered off the GEIS) will be issued for public comment.