```

[Federal Register Volume 78, Number 38 (Tuesday, February 26, 2013)]
[Rules and Regulations]
[Pages 12933-12937]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-04252]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

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. 
Prices of new books are listed in the first FEDERAL REGISTER issue of each 
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========================================================================


Federal Register / Vol. 78, No. 38 / Tuesday, February 26, 2013 / 
Rules and Regulations

[[Page 12933]]

COMMODITY FUTURES TRADING COMMISSION

17 CFR Parts 10, 12 and 171

Proceedings Before the Commodity Futures Trading Commission

AGENCY: Commodity Futures Trading Commission.

ACTION: Final rule.

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

SUMMARY: The Commodity Futures Trading Commission (``Commission'') is 
amending its Rules of Practice, Rules Relating to Reparation 
Proceedings, and its Rules Relating to Review of National Futures 
Association (``NFA'') Decisions in Disciplinary, Membership Denial, 
Registration and Membership Responsibility Actions, to simplify and 
clarify service, filing and formatting requirements, particularly those 
requirements applicable to electronic service and filing. The 
Commission is also amending its Rules Relating to Reparations 
Proceedings to clarify the authority of its Judgment Officers.

DATES: Effective February 26, 2013.

FOR FURTHER INFORMATION CONTACT: Jason Gizzarelli, Director, Office of 
Proceedings, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581. Telephone: (202) 
418-5395.

SUPPLEMENTARY INFORMATION: In 2008, the Commission amended its rules to 
allow for service via electronic mail (``email'') for 17 CFR parts 10 
and 12, and via facsimile (``fax'') for Part 12 (service by fax under 
Part 10 had been permitted by the Commission since 1998.) At that time, 
the Commission approved these additional means of service to take 
advantage of technological developments that would be faster and less 
costly than regular mail. Today, the Commission has amended 17 CFR 
Parts 10, 12 and 171 to simplify and refine the rules for service, 
filing and formatting. Additionally, the Commission has amended 17 CFR 
Parts 10 and 12 to clarify the role and authority of its Judgment 
Officers. The Commission believes these rule amendments will increase 
efficiencies and lower costs for parties and for the Commission in 
administrative enforcement proceedings, in reparations proceedings, and 
in the appellate review of NFA decisions. Also, the Commission has 
designed the amendments to the reparations rules to make the 
reparations forum less legalistic and more user-friendly for pro se 
parties.

Confirmation of Service

    To ease the burden on parties in reparations cases, many of whom 
appear pro se, the amended rules drop the requirement of a formal 
affidavit of service and now require parties to submit a signed 
``statement of service'' that: (1) Confirms that service has been made; 
(2) identifies each person served; (3) sets forth the date of service; 
and (4) recites the manner of service. The less formal and less 
burdensome statement of service effectively serves the same purpose as 
an affidavit of service: promoting and assuring the full exchange of 
information among the parties by requiring service of submissions on 
all of the parties in the proceeding. A corresponding change has been 
made to the 17 CFR Part 10 rules regarding confirmation of service.

Electronic Service

    The amendments to the service rules in 17 CFR parts 10 and 12 
reflect the Commission's experience with electronic filing since 2008, 
which generally has been positive. First, the amendments specifically 
provide that a party who consents to service by email must specify the 
email address to be used. Consent is required because it is not yet 
possible to assume universal access to electronic communication. 
Second, under these amendments, actual notice that an email or fax 
transmission was not received will defeat the presumption of receipt 
that service is complete on transmission and will compel the sender to 
take additional steps to affect service. Finally, consistent with 17 
CFR 12.1(a), which provides that the reparations rules ``shall be 
construed liberally so as to secure the just, speedy and inexpensive 
determination of the issues,'' the Commission expects that as 
electronic technology continues to advance, its Proceedings Clerk and 
its presiding officials will provide guidance to parties on standards 
governing such technical specifications as data formatting, speed of 
transmission, means to transmit attachments, and security of 
communication.

Filing and Formatting

    The amended rules simplify and harmonize the filing and formatting 
requirements contained in 17 CFR parts 10 and 12. First, the amended 
rules provide that parties filing by personal delivery, mail or 
commercial delivery service are no longer required to file any copies 
of an original. Second, the amended rules explicitly provide that 
parties filing electronically should not also send paper copies of the 
same documents to the Proceedings Clerk. Third, the amended rules 
reduce the maximum length of briefs in administrative proceedings from 
60 to 50 pages and in reparations proceedings from 35 to 25 pages. 
Fourth, the amended rules simplify the formatting of filed documents, 
such as font size, spacing and related issues. Fifth, the amendments 
clarify that documents that are delivered in person, or delivered by 
first-class mail, by a more expeditious form of United States mail, or 
by overnight or similar commercial delivery service will be considered 
timely filed if they are delivered in person or mailed to the 
Proceedings Clerk within the time prescribed for filing. Finally, the 
Commission is also amending 17 CFR 171.8 to allow filing and service by 
fax and email.

Judgment Officer

    On October 12, 2011, to promote the efficient use of the 
Commission's budget and personnel resources, the Commission amended 17 
CFR part 12 to authorize its Judgment Officers to conduct formal 
decisional proceedings. The new 17 CFR part 12 amendments issued today 
conform the definition of ``Judgment Officer'' to the authority of 
Judgment Officers to conduct formal decisional proceedings. These new 
amendments also provide that Judgment Officers may conduct sua sponte 
discovery in voluntary decisional proceedings, as they can in summary 
and formal decisional proceedings. This

[[Page 12934]]

amendment will help ensure that the evidentiary record is adequately 
developed in voluntary decisional proceedings.
    The amendment to 17 CFR 10.8, which authorizes the Commission to 
appoint a Presiding Officer other than an administrative law judge 
(``ALJ'') to conduct proceedings within the scope of 17 CFR part 10, 
unless some other provision of law requires the use of an ALJ in a 
particular category of proceeding,\1\ clarifies that Presiding Officers 
who are not ALJs can carry out the same functions as ALJs in certain 
proceedings to deny, condition, suspend, revoke or place restrictions 
on registration. Registration-related proceedings are subject to 
procedural rules set forth in the Commission's rules at 17 CFR part 3, 
as well as the 17 CFR part 10 Rules of Practice.\2\ This amendment will 
make clear the Commission's intent that references to ALJs in both 17 
CFR part 10 and part 3 shall apply to non-ALJ Presiding Officers when 
the Commission appoints such Presiding Officers in registration-related 
proceedings.
---------------------------------------------------------------------------

    \1\ 17 CFR 10.2(n) defines a ``Presiding Officer'' as ``a member 
of the Commission, an Administrative Law Judge, or a hearing officer 
designated by the Commission to conduct a hearing on a specific 
matter, or the Commission itself * * *.'' In some types of 
proceedings, statutory provisions constrain the choice of Presiding 
Officer. For example, section 6(c)(4)(C)(iii) of the Commodity 
Exchange Act (``CEA''), 7 U.S.C. 9(4)(C)(iii), requires that 
proceedings pursuant to section 6(c)(4), 7 U.S.C. 9(4), must be 
heard by either the Commission or an ALJ. By contrast, other 
provisions of the CEA leave the choice of Presiding Officer to the 
discretion of the Commission. For example, CEA section 8a(2), 7 
U.S.C. 12a(2), which applies in certain circumstances where a court 
or administrative agency has previously made a determination 
regarding a registrant's conduct, authorizes the Commission to 
revoke registration ``with such a hearing as may be appropriate'' 
and does not specify what type of official must preside.
    \2\ See generally 17 CFR 3.55 through 3.64 and 17 CFR 10.1(a).
---------------------------------------------------------------------------

    Prior to this amendment, the second sentence of 17 CFR 10.8 stated:

    If the Commission determines that a proceeding within the scope 
of this subpart shall be conducted before a Presiding Officer who is 
not an Administrative Law Judge, all provisions of this part that 
refer to and grant authority to or impose obligations upon an 
Administrative Law Judge shall be read as referring to and granting 
authority to and imposing obligations upon the designated Presiding 
Officer.

    This amendment adds the phrase ``or of Part 3 of this title'' 
following the words ``this part'' in this sentence.

Related Matters

A. No Notice Is Required Under 5 U.S.C. 553

    The Commission has determined that these amendments are exempt from 
the provisions of the Administrative Procedure Act, 5 U.S.C. 553, which 
generally require notice of proposed rulemaking and provide other 
opportunities for public participation. According to the exemptive 
language of 5 U.S.C. 553, these amendments pertain to ``rules of agency 
organization, procedure, or practice,'' as to which there exists agency 
discretion not to provide notice. In addition, notice and public 
procedure are unnecessary in this case because the proposed amendments 
are self-explanatory. If made effective immediately, they will promote 
efficiency and facilitate the Commission's core mission without 
imposing a new burden. For the above reasons, the notice requirements 
under 5 U.S.C. 553 are inapplicable.

B. Regulatory Flexibility Act

    The Regulatory Flexibility Act (``RFA''), 5 U.S.C. 601 et seq., 
requires agencies with rulemaking authority to consider the impact 
those rules will have on small businesses. With respect to persons 
seeking Commission review of final exchange and NFA decisions, and 
initial decisions in reparation and administrative enforcement matters, 
the amendments impose no additional burden and in fact ease existing 
burdens by providing more options, greater certainty and increased 
predictability concerning filing and service. Accordingly, the 
Chairman, on behalf of the Commission, hereby certifies, pursuant to 5 
U.S.C. 605(b), that the amendments will not have a significant economic 
impact on a substantial number of small businesses.

C. Paperwork Reduction Act

    The amendments to 17 CFR parts 10, 12 and 171 do not impose a 
burden within the meaning and intent of the Paperwork Reduction Act of 
1980, 44 U.S.C. 3501, et seq.

D. Cost-Benefit Analysis

    Section 15(a) of the CEA, 7 U.S.C. 19(a), requires the Commission 
to consider the costs and benefits of its action before issuing a new 
regulation. CEA section 15(a) further specifies that costs and benefits 
shall be evaluated in light of five broad areas of market and public 
concern: (1) Protection of market participants and the public; (2) 
efficiency, competitiveness, and financial integrity of futures 
markets; (3) price discovery; (4) sound risk management practices; and 
(5) other public interest considerations.
    The amendments to 17 CFR parts 10, 12 and 171 will not create any 
significant change in the Commission's adjudicatory process. In fact, 
the amendments will enhance the protection of market participants and 
the public by making filing and service more certain, faster and 
cheaper. The amendments do not bear directly upon the risk-benefit 
factors, but reduce costs and increase the efficiency of litigation 
that arises pursuant to the operation of futures markets.

List of Subjects

17 CFR Part 10

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

17 CFR Part 12

    Administrative practice and procedure, Commodity futures, Consumer 
protection.

17 CFR Part 171

    Administrative practice and procedure, Commodity futures.

    For the reasons discussed in the preamble, the Commodity Futures 
Trading Commission amends 17 CFR parts 10, 12 and 171 as follows:

PART 10--RULES OF PRACTICE

0
1. The authority citation for 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).
    Section 10.102 also issued under 7 U.S.C. 4a, 12a; 5 U.S.C. 10.

0
2. Revise Sec.  10.4 to read as follows:

Sec.  10.4  Business address; hours.

    The Office of Proceedings is located at Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581. Faxes must be sent to (202) 
418-5532, and emails must be sent to PROC_filings@cftc.gov. The office 
is open from 8:15 a.m. to 4:45 p.m., Eastern Time, Monday through 
Friday, except on federal holidays.

0
3. Amend Sec.  10.8 by revising the introductory text to read as 
follows:

Sec.  10.8  Presiding officers.

    Unless otherwise determined by the Commission, all proceedings 
within the scope of this Part shall be assigned to an Administrative 
Law Judge for hearing. If the Commission determines that a proceeding 
within the scope of this Part shall be conducted before a Presiding 
Officer who is not an Administrative Law Judge, all provisions of this 
part or

[[Page 12935]]

of part 3 of this chapter that refer to and grant authority to or 
impose obligations upon an Administrative Law Judge shall be read as 
referring to and granting authority to and imposing obligations upon 
the designated Presiding Officer.
* * * * *

0
4. Amend Sec.  10.12 by:
0
a. Revising paragraphs (a)(1), (a)(2)(ii) through (iv), and (a)(3);
0
b. Adding paragraphs (a)(4) through (6);
0
c. Revising paragraphs (b) through (f); and
0
d. Removing paragraph (g).
    The revisions and additions read as follows:

Sec.  10.12  Service and filing of documents; form and execution.

    (a) Service by a party or other participant in a proceeding. (1) 
When one party serves another with documents under these rules, a copy 
must be served on all other parties as well as filed with the 
Proceedings Clerk. Similarly, when a person files a document with the 
Office of Proceedings, the person must serve a copy of the document on 
all other parties.
    (2) * * *
    (ii) First-class or a more expeditious form of United States mail 
or an overnight or similar commercial delivery service;
    (iii) Facsimile (``fax''); or
    (iv) Electronic mail (``email'').
    (3) Service by email or fax shall be permitted at the discretion of 
the Presiding Officer, with the parties' consent. The consent of a 
party must specify the email address or fax number to be used. Signed 
documents that are served by email must be in PDF or other non-
alterable form.
    (4) Service will be complete at the time of personal service; upon 
deposit in the mail or with an overnight or similar commercial delivery 
service of a properly addressed document for which all postage or 
delivery service fees have been paid; or upon transmission by fax or 
email. Service by email or by fax will not be effective if the party 
making service learns that the attempted service did not reach the 
person to be served.
    (5) Where service is effected by mail or a commercial delivery 
service (but not by fax or email), the time within which the person 
being served may respond shall be extended by five (5) days.
    (6) Statement of service. A statement of service shall be made by 
filing with the Proceedings Clerk, simultaneously with the filing of 
the document, a statement signed by the party making service or by his 
attorney or representative that:
    (i) Confirms that service has been made,
    (ii) Identifies each person served,
    (iii) Sets forth the date of service, and
    (iv) Recites the manner of service.
    (b) Service of decisions and orders. A copy of all rulings, 
opinions and orders shall be served by the Proceedings Clerk on each of 
the parties.
    (c) Designation of person to receive service. The first page of the 
first document filed in a proceeding by a party or participant must 
include the name and contact information of a person authorized to 
receive service on the party or participant's behalf. Contact 
information must include a post office address and daytime telephone 
number, and should also include the person's fax or email. Thereafter 
service of documents shall be made upon the person authorized unless 
service on the party himself is ordered by the Administrative Law Judge 
or the Commission, or unless no person authorized to receive service 
can be found, or unless the person authorized to receive service is 
changed by the party upon due notice to all other parties.
    (d) Filing of documents with the Proceedings Clerk. (1) All 
documents which are required to be served upon a party shall be filed 
concurrently with the Proceedings Clerk. A document shall be filed by 
delivering it in person or by first-class mail or a more expeditious 
form of United States mail or by overnight or similar commercial 
delivery service to Proceedings Clerk, Office of Proceedings, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581; or faxing 
the document to (202) 418-5532; or emailing it to PROC_
Filings@cftc.gov in accordance with the conditions set forth in 
paragraph (a)(2) of this section.
    (2) To be timely filed under this part, a document must be 
delivered in person; mailed by first-class or a more expeditious form 
of United States mail or by an overnight or similar commercial delivery 
service; or faxed or emailed to the Proceedings Clerk within the time 
prescribed for filing.
    (e) Formalities of filing. (1) An original of all documents shall 
be filed with the Proceedings Clerk. If a party files a document with 
the Proceedings Clerk by fax or email, they should not also send paper 
copies.
    (2) First page. The first page of all documents filed with the 
Proceedings Clerk must include the Commission's name, the docket 
number, the title of proceeding, the subject of the document, and the 
name of the person on whose behalf the document is being filed. In 
subsequent filings, the case title may be abbreviated by listing the 
name of the first respondent, followed by ``et al.'' In the complaint, 
the title of the action shall include the names of all the respondents, 
but in documents subsequently filed it is sufficient to state the name 
of the first respondent named in the complaint with an appropriate 
indication of other parties.
    (3) Format. Documents must be legible and printed on normal white 
paper of eight and one half by eleven inches. The typeface, margins, 
and spacing of all documents presented for filing must meet the 
following requirements: all text must be 12-point type or larger, 
except for text in footnotes which may be 10-point type; all documents 
must have at least one-inch margins on all sides; all text must be 
double-spaced, except for headings, text in footnotes, or block 
quotations, which may be single-spaced. Emailed documents must be in 
PDF or other non-alterable form.
    (4) Signatures. (i) The original of all documents must be signed by 
the person filing the same or by his duly authorized agent or attorney.
    (ii) Effect. The signature on any document of any person acting 
either for himself or as attorney or agent for another constitutes 
certification by him that:
    (A) He has read the document and knows the contents thereof;
    (B) If executed in any representative capacity, it was done with 
full power and authority to do so;
    (C) To the best of his knowledge, information, and belief, every 
statement contained in the document is true and not misleading; and
    (D) The document is not being interposed for delay.
    (5) Length and form of briefs. All briefs of more than fifteen 
pages shall include an index and a table of cases and other authorities 
cited. No brief shall exceed 50 pages in length without prior 
permission of the Presiding Officer or the Commission.
    (f) Official docket. The Proceedings Clerk will maintain the 
official docket for each proceeding. The official docket is available 
for public inspection in the Commission's Office of Proceedings.

0
5. Amend Sec.  10.102 by revising paragraph (c) to read as follows:

Sec.  10.102  Review of initial decisions.

* * * * *
    (c) Briefs. An original of all briefs submitted under this section 
shall be filed with the Proceedings Clerk.
* * * * *

[[Page 12936]]

PART 12--RULES RELATING TO REPARATIONS

0
6. The authority citation for Part 12 continues to read as follows:

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

0
7. Amend Sec.  12.2 by revising the definition of ``Judgment Officer'' 
to read as follows:

Sec.  12.2  Definitions.

* * * * *
    Judgment Officer means an employee of the Commission who is 
authorized to conduct all reparations proceedings. In appropriate 
circumstances, the functions of a Judgment Officer may be performed by 
an Administrative Law Judge;
* * * * *

0
8. Revise Sec.  12.3 to read as follows:

Sec.  12.3  Business address; hours.

    The Office of Proceedings is located at Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581. Faxes must be sent to (202) 
418-5532, and emails must be sent to PROC_filings@cftc.gov. The office 
is open from 8:15 a.m. to 4:45 p.m., Eastern Time, Monday through 
Friday except on federal holidays.

0
9. Revise Sec.  12.10 to read as follows:

Sec.  12.10  Service.

    (a) General requirements. (1) When service is required; number of 
copies. When one party serves another with documents under these rules, 
a copy must be served on all other parties as well as filed with the 
Proceedings Clerk. Similarly, when a person files a document with the 
Office of Proceedings, the person must serve a copy of the document on 
all other parties. This rule does not apply to a complaint filed 
pursuant to Sec.  12.13 of these rules, which shall only be filed with 
the Commission.
    (2) How service is made. Service shall be made by:
    (i) Personal service;
    (ii) First-class or a more expeditious form of United States mail 
or an overnight or similar commercial delivery service;
    (iii) Facsimile (``fax''); or
    (iv) Electronic mail (``email'').
    (3) Service by fax or email shall be permitted at the discretion of 
the Presiding Officer, with the parties' consent. The consent of a 
party must specify the email address or fax number to be used. Signed 
documents that are served by email attachment must be in PDF or other 
non-alterable form.
    (4) Service will be complete at the time of personal service; upon 
deposit in the mail or with an overnight or similar commercial delivery 
service of a properly addressed document for which all postage or 
delivery service fees have been paid; or upon transmission by fax or 
email. Service by email or by fax will not be effective if the party 
making service learns that the attempted service did not reach the 
person to be served.
    (5) Where service is effected by mail or commercial delivery 
service (but not by fax or email), the time within which the person 
served may respond thereto shall be extended by five (5) days.
    (6) Statement of Service. A statement of service shall be made by 
filing with the Proceedings Clerk, simultaneously with the filing of 
the document, a statement signed by the party making service or by his 
attorney or representative that:
    (i) Confirms that service has been made;
    (ii) Identifies each person served;
    (iii) Sets forth the date of service; and
    (iv) Recites the manner of service.
    (b) Service of orders and decisions. A copy of all notices, 
rulings, opinions, and orders of the Proceedings Clerk, the Director of 
the Office of Proceedings, a Judgment Officer, an Administrative Law 
Judge, the General Counsel or any employee under the General Counsel's 
supervision as the General Counsel may designate, or the Commission 
shall be served by the Proceedings Clerk on each of the parties. The 
Commission, in its discretion and with due consideration for the 
convenience of the parties, may serve the aforementioned documents to 
the parties by electronic means.
    (c) Designation of person to receive service. The first page of the 
first document filed in a proceeding by a party or participant shall 
include the contact information of a person authorized to receive 
service on their behalf. Thereafter, service of documents shall be made 
upon the person authorized unless service on the party himself is 
ordered by a Judgment Officer, an Administrative Law Judge or the 
Commission, or unless no person authorized to receive service can be 
found, or unless the person authorized to receive service is changed by 
the party upon due notice to all other parties.
0
10. Revise Sec.  12.11 to read as follows:

Sec.  12.11  Formalities of filing of documents with the Proceedings 
Clerk.

    (a) If a party files by personal delivery or mail, an original of 
all documents shall be filed with the Proceedings Clerk. If a party 
files a document by fax or email in accordance with Sec.  12.10(a)(2), 
they should not also send paper copies.
    (b) First page. The first page of all documents filed with the 
Proceedings Clerk must include the Commission's name, the docket 
number, the title of the proceeding, the subject of the document and 
the name of the person on whose behalf the document is being filed. In 
the complaint, the title of the proceeding shall include the names of 
all the complainants and respondents, but in documents subsequently 
filed it is sufficient to state the name of the first complainant and 
first respondent named in the complaint.
    (c) Format. Documents must be legible and printed on normal white 
paper of eight and one half by eleven inches. Documents emailed in 
accordance with the requirements of Sec.  12.10(a)(2) must be in PDF or 
other non-alterable form. The typeface, margins, and spacing of all 
typed documents presented for filing should meet the following 
requirements: all text should be 12-point type or larger, except for 
text in footnotes which may be 10-point type; all documents should have 
at least one-inch margins on all sides; all text must be double-spaced, 
except for headings, text in footnotes, or block quotations, which may 
be single-spaced.
    (d) Signature. (1) The original of all papers must be signed by the 
person filing the same or by his duly authorized agent or attorney.
    (2) Effect. The signature on any document of any person acting 
either for himself or as attorney or agent for another constitutes 
certification by him that:
    (i) He has read the document and knows the contents thereof;
    (ii) If executed in any representative capacity, it was done with 
full power and authority to do so;
    (iii) To the best of his knowledge, information, and belief, every 
statement contained in the document is true and not misleading; and
    (iv) The document has been filed in good faith and has not been 
filed to cause delay.
    (e) Length and form of briefs. All briefs filed containing more 
than 15 pages shall include an index and a table of cases and other 
authorities cited. No brief shall exceed 25 pages in length without 
prior permission of the Presiding Officer.
    (f) All documents which are required to be served upon a party 
shall be filed concurrently with the Proceedings Clerk. A document 
shall be filed by delivering it in person or by first-class mail or a 
more expeditious form of United States mail or by overnight or similar 
commercial delivery service to Proceedings Clerk, Office of 
Proceedings, Three Lafayette Centre,

[[Page 12937]]

1155 21st Street NW., Washington, DC 20581; or faxing the document to 
(202) 418-5532; or emailing it to PROC_Filings@cftc.gov in accordance 
with the conditions set forth in paragraph (a)(2) of this section.
    (g) To be timely filed under this part, a document must be 
delivered in person; mailed by first-class or a more expeditious form 
of United States mail or by an overnight or similar commercial delivery 
service; or faxed or emailed to the Proceedings Clerk within the time 
prescribed for filing.

0
11. Amend Sec.  12.34 by revising paragraph (a) to read as follows:

Sec.  12.34  Discovery by a decisionmaking official.

    (a) Applicability. The provisions of this rule shall apply to all 
decisional proceedings commenced pursuant to Sec.  12.26. For the 
purposes of this rule, the term ``decisionmaking official'' shall mean 
a Judgment Officer or Administrative Law Judge assigned to render a 
decision in the proceeding.
* * * * *

0
12. Amend Sec.  12.101 by revising paragraphs (a) through (c) to read 
as follows:

Sec.  12.101  Functions and responsibilities of the Judgment Officer.

* * * * *
    (a) To rule upon discovery-related motions, and to take such action 
pursuant to Sec.  12.35 as is appropriate if a party fails to comply 
with a discovery order;
    (b) To issue orders for the production of documents and tangible 
things and orders for written testimony, as provided in Sec.  12.34;
    (c) To issue subpoenas pursuant to Sec.  12.34 and Sec.  12.36;
* * * * *

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

0
13. The authority citation for Part 171 continues to read as follows:

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

0
14. Amend Sec.  171.8 by revising paragraph (a) to read as follows:

Sec.  171.8  Filing with the Proceedings Clerk.

    (a) How to file. Any document that is required by this part to be 
filed with the Proceedings Clerk shall be filed by delivering it in 
person or by first-class mail or a more expeditious form of United 
States mail, or by overnight or similar commercial delivery service to: 
Proceedings Clerk, Office of Proceedings, Three Lafayette Centre, 1155 
21st Street NW., Washington, DC 20581; or faxing the document to (202) 
418-5532 or emailing it to PROC_Filings@cftc.gov. To be timely filed 
under this part, a document must be delivered or mailed to the 
Proceedings Clerk within the time prescribed for filing.
* * * * *

    Issued in Washington, DC, on February 20, 2013, by the 
Commission.
Melissa D. Jurgens,
Secretary of the Commission.
[FR Doc. 2013-04252 Filed 2-25-13; 8:45 am]
BILLING CODE 6351-01-P
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