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

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REGISTER issue of each week.

Rules and Regulations Federal Register

12933 

Vol. 78, No. 38 

Tuesday, February 26, 2013 

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 


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12934 Federal Register / Vol. 78, No. 38 / Tuesday, February 26, 2013 / Rules and Regulations 

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. 

2See generally 17 CFR 3.55 through 3.64 and 17 

CFR 10.1(a). 

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 registrationrelated proceedings. 

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 

■ 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. 

■ 2. Revise § 10.4 to read as follows: 

§ 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. 

■ 3. Amend § 10.8 by revising the 

introductory text to read as follows: 

§ 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 


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

* * * * * 

■ 4. Amend § 10.12 by: 

■ a. Revising paragraphs (a)(1), (a)(2)(ii) 

through (iv), and (a)(3); 

■ b. Adding paragraphs (a)(4) through 

(6); 

■ c. Revising paragraphs (b) through (f); 

and 

■ d. Removing paragraph (g). 

The revisions and additions read as 

follows: 

§ 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 oneinch 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 nonalterable 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. 

■ 5. Amend § 10.102 by revising 

paragraph (c) to read as follows: 

§ 10.102 Review of initial decisions. 

* * * * * 

(c) Briefs. An original of all briefs 

submitted under this section shall be 

filed with the Proceedings Clerk. 

* * * * * 


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12936 Federal Register / Vol. 78, No. 38 / Tuesday, February 26, 2013 / Rules and Regulations 

PART 12—RULES RELATING TO 

REPARATIONS 

■ 6. The authority citation for Part 12 

continues to read as follows: 

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

■ 7. Amend § 12.2 by revising the 

definition of ‘‘Judgment Officer’’ to read 

as follows: 

§ 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; 

* * * * * 

■ 8. Revise § 12.3 to read as follows: 

§ 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. 

■ 9. Revise § 12.10 to read as follows: 

§ 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 § 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. 

■ 10. Revise § 12.11 to read as follows: 

§ 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 

§ 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 

§ 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, 


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

■ 11. Amend § 12.34 by revising 

paragraph (a) to read as follows: 

§ 12.34 Discovery by a decisionmaking 

official. 

(a) Applicability. The provisions of 

this rule shall apply to all decisional 

proceedings commenced pursuant to 

§ 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. 

* * * * * 

■ 12. Amend § 12.101 by revising 

paragraphs (a) through (c) to read as 

follows: 

§ 12.101 Functions and responsibilities of 

the Judgment Officer. 

* * * * * 

(a) To rule upon discovery-related 

motions, and to take such action 

pursuant to § 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 § 12.34; 

(c) To issue subpoenas pursuant to 

§ 12.34 and § 12.36; 

* * * * * 

PART 171—RULES RELATING TO 

REVIEW OF NATIONAL FUTURES 

ASSOCIATION DECISIONS IN 

DISCIPLINARY, MEMBERSHIP DENIAL, 

REGISTRATION AND MEMBER 

RESPONSIBILITY ACTIONS 

■ 13. The authority citation for Part 171 

continues to read as follows: 

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

otherwise noted. 

■ 14. Amend § 171.8 by revising 

paragraph (a) to read as follows: 

§ 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 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Food and Drug Administration 

21 CFR Parts 50 and 56 

[Docket No. FDA–2000–N–0009] (formerly 

2000N–0074) 

RIN 0910–AG71 

Additional Safeguards for Children in 

Clinical Investigations of Food and 

Drug Administration-Regulated 

Products 

AGENCY: Food and Drug Administration, 

HHS. 

ACTION: Final rule. 

SUMMARY: The Food and Drug 

Administration (FDA) is amending its 

regulations to provide additional 

safeguards for children enrolled in 

clinical investigations of FDA-regulated 

products. This rule finalizes the interim 

rule published in 2001 to bring FDA 

regulations into compliance with 

provisions of the Children’s Health Act 

of 2000 (the Children’s Health Act). The 

Children’s Health Act requires that all 

research involving children that is 

conducted, supported, or regulated by 

the Department of Health and Human 

Services (HHS) be in compliance with 

HHS regulations providing additional 

protections for children involved as 

subjects in research. FDA is taking this 

action both to comply with the 

congressional mandate and because of 

increases in the enrollment of children 

in clinical investigations as a result of 

ongoing pediatric initiatives. 

DATES: This rule is effective March 28, 

2013. 

FOR FURTHER INFORMATION CONTACT: 

Robert M. Nelson, Office of Pediatric 

Therapeutics, Food and Drug 

Administration, 10903 New Hampshire 

Ave. Bldg. 32, rm. 5126, Silver Spring, 

MD 20993–0002, 301–796–8659. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Background 

II. Highlights of the Final Rule 

III. Comments and Agency Response 

A. Definitions 

B. IRB Membership and Continuing 

Education 

C. Risk Categories 

D. Obtaining Assent From Children 

E. Waiver of Permission 

F. Wards 

G. Biological Products 

H. Economic Analysis 

I. Requests for Additional Requirements 

IV. Legal Authority 

V. Environmental Impact 

VI. Paperwork Reduction Act 

VII. Analysis of Impacts 

A. Introduction 

B. Updated Analysis 

VIII. Federalism 

IX. References 

I. Background 

In the Federal Register of April 24, 

2001 (66 FR 20589), FDA published an 

interim rule amending its regulations to 

provide additional safeguards for 

children enrolled in clinical 

investigations of FDA-regulated 

products (part 50 (21 CFR part 50, 

subpart D (FDA subpart D))). The 

interim rule brought FDA regulations 

into compliance with provisions of the 

Children’s Health Act (Pub. L. 106–310). 

Title XXVII, section 2701 of the 

Children’s Health Act required that 

within 6 months of its enactment all 

research involving children conducted, 

supported, or regulated by HHS be in 

compliance with HHS regulations 

providing additional protections for 

children involved as subjects in 

research (45 CFR part 46, subpart D 

(HHS subpart D)). The interim rule was 

effective on April 30, 2001. Interested 

parties were given until July 23, 2001, 

to comment on the interim rule. 

FDA is finalizing its interim final rule 

both to comply with the congressional 

mandate in the Children’s Health Act 

and because of increases in the 

enrollment of children in clinical 

investigations, in part as a result of 

ongoing pediatric initiatives. Some of 

these pediatric initiatives were 

described in detail in the interim rule 

(66 FR 20589), including the Food and 

Drug Administration Modernization Act 

of 1997 (FDAMA) and FDA’s 1998 

pediatric rule (63 FR 66632, December 

2, 1998). 

FDAMA established economic 

incentives for manufacturers to conduct 

pediatric studies on drugs for which 

exclusivity or patent protection is 


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