27444 Federal Register / Vol. 77, No. 91 / Thursday, May 10, 2012 / Notices 

submitted as a Web-based ePetition via 

EFS–Web with the petition fee set forth 

in 37 CFR 1.17(h). Information regarding 

submission of Web-based ePetitions is 

available at http://www.uspto.gov/

patents/process/file/efs/guidance/

epetition-info.jsp. Depending on 

whether a patent number has been 

assigned, applicants must select either 

the ‘‘Petition to Withdraw from Issue 

after Payment of the Issue Fee (37 CFR 

1.313(c)(1) or (2))’’ or the ‘‘Petition to 

Withdraw from Issue after Payment of 

the Issue Fee (37 CFR 1.313(c)(1) or (2) 

with Assigned Patent Number).’’ The 

RCE that accompanies a QPIDS 

submission under this pilot program 

will be deemed sufficient to satisfy the 

requirement in 37 CFR 1.313(c)(2) that 

the petition to withdraw from issue is 

for consideration of an RCE in 

compliance with 37 CFR 1.114, even 

though the RCE will only be processed 

if the examiner determines that any item 

of information in the IDS necessitates 

reopening prosecution. 

4. RCE and Fee 

A submission under this pilot 

program must include an RCE, with the 

IDS meeting the submission 

requirement for the RCE. The RCE will 

be treated as a ‘‘conditional’’ RCE until 

the examiner determines whether any 

item of information in the IDS 

necessitates reopening prosecution. 

Additionally, the QPIDS submission 

must be accompanied by the RCE fee 

under 37 CFR 1.17(e) in order to process 

the ePetition to withdraw the 

application from issue under 37 CFR 

1.313(c)(2). 

Under this pilot program, the RCE 

will be processed and treated as an RCE 

under 37 CFR 1.114 in the event the 

examiner determines that any item of 

information contained in the IDS 

necessitates the reopening of 

prosecution in the application. In this 

instance, the IDS fee under 37 CFR 

1.17(p) will be automatically returned 

because the IDS complies with 37 CFR 

1.97(b)(4). Otherwise, if the examiner 

determines that no item of information 

in the IDS necessitates reopening 

prosecution, the RCE will not be 

processed and the RCE fee will be 

automatically returned. This will save 

applicants both the time and costs 

associated with RCE practice. An RCE 

filed pursuant to this pilot program 

complies with the timing requirement of 

37 CFR 1.114(a)(1). This pilot program 

is an exception to the provision in 

MPEP 706.07(h), which provides that 

the Office will treat a ‘‘conditional’’ RCE 

as if an RCE had been filed. Otherwise, 

the Office generally treats conditional 

requests without regard to the 

‘‘conditional’’ designation (see, e.g., 

MPEP 201.06(d), MPEP 706.07(g), and 

MPEP 714.13). 

B. Processing of QPIDS Pilot Program 

Submissions 

A compliant ePetition to withdraw 

the application from issue, pursuant to 

37 CFR 1.313(c)(2), will be granted 

immediately upon submission. After the 

grant of such a petition, the IDS 

submission made under this pilot 

program will be identified and placed 

on the examiner’s ‘‘expedited’’ docket 

for consideration. If the examiner 

determines that no item of information 

in the IDS necessitates reopening 

prosecution, the examiner will issue a 

corrected notice of allowability (i.e., 

form PTOL–37). The corrected notice of 

allowability will identify the IDS and be 

accompanied by a copy of the submitted 

IDS listing (e.g., form PTO/SB/08) as 

considered by the examiner. See MPEP 

609.05(b). Considered information will 

be printed on the patent pursuant to 

MPEP 609.06. No applicant response to 

the corrected notice of allowability will 

be necessary. In this instance, the RCE 

will not be processed and the RCE fee 

will be automatically returned by the 

Office (the IDS and petition fees will not 

be returned). In this instance, where the 

examiner has determined that 

prosecution does not need to be 

reopened, a new notice of allowance 

and fee(s) due (i.e., PTOL–85) will not 

be issued. To the extent provisions of 37 

CFR 1.313(a) are not consistent with this 

pilot program, such provisions are 

hereby waived for QPIDS pilot program 

submissions. 

If the examiner determines that any 

item of information in the IDS 

necessitates reopening prosecution, the 

RCE will be processed and placed on 

the examiner’s docket. In this instance, 

the RCE will be deemed filed as of the 

filing date of the QPIDS submission, and 

the IDS fee will be automatically 

returned by the Office because the IDS 

complies with 37 CFR 1.97(b)(4) (the 

petition fee will not be returned). The 

applicant will be notified that 

prosecution is being reopened (via a 

form PTO–2300), and such notification 

will identify the IDS and be 

accompanied by a copy of the submitted 

IDS listing (e.g., form PTO/SB/08) as 

considered by the examiner. See MPEP 

609.05(b). If the application is 

subsequently again found allowable, the 

applicant may request that the 

previously paid issue fee be reapplied 

toward the issue fee that is now due in 

the same application. See MPEP 1306. 

A non-compliant QPIDS submission 

that otherwise complies with the 

requirements of 37 CFR 1.114 will be 

treated as an RCE. For example, failure 

to provide an authorization to charge a 

deposit account for payment of the IDS 

fee or failure to select or otherwise 

provide an appropriate timeliness 

statement will result in the RCE being 

processed. Similarly, a submission 

under this pilot program that includes 

an amendment will be processed as an 

RCE. 

Taking post-issue fee payment 

processing times into consideration, 

applicants are strongly encouraged to 

file IDS submissions under this pilot 

program as soon as the applicants 

become aware that it is necessary to 

submit an IDS. Applicants are 

reminded, where applicable, to include 

a statement under 37 CFR 1.704(d) so as 

to avoid reduction in patent term 

adjustment pursuant to 37 CFR 

1.704(c)(10). See, Revision of Patent 

Term Adjustment Provisions Relating to 

Information Disclosure Statements, 76 

FR 74700, 74701 (December 1, 2011) 

(final rule). 

Additional information regarding this 

pilot program will be made available on 

the USPTO’s Web site at http://www.

uspto.gov/patents/init_events/qpids.jsp. 

Dated: May 3, 2012. 

David J. Kappos, 

Under Secretary of Commerce for Intellectual 

Property and Director of the United States 

Patent and Trademark Office. 

[FR Doc. 2012–11222 Filed 5–9–12; 8:45 am] 

BILLING CODE 3510–16–P 

SECURITIES AND EXCHANGE 

COMMISSION 

COMMODITY FUTURES TRADING 

COMMISSION 

[Release Nos. 34–66932; File No. 265–26] 

Joint CFTC–SEC Advisory Committee 

on Emerging Regulatory Issues 

AGENCIES: Securities and Exchange 

Commission (‘‘SEC’’) and Commodity 

Futures Trading Commission (‘‘CFTC’’) 

(each, an ‘‘Agency,’’ and collectively, 

‘‘Agencies’’). 

ACTION: Notice of Federal Advisory 

Committee Renewal. 

SUMMARY: The Chairmen of the SEC and 

CFTC, with the concurrence of the other 

SEC and CFTC Commissioners, 

respectively, intend to renew the charter 

of the Joint CFTC–SEC Advisory 

Committee on Emerging Regulatory 

Issues (the ‘‘Committee’’). 

Comments 

Because the Agencies will jointly 

review all comments submitted, 

interested parties may send comments 

mstockstill on DSK4VPTVN1PROD with NOTICES

Federal Register / Vol. 77, No. 91 / Thursday, May 10, 2012 / Notices 27445 

1See Securities Act Release No. 9123, 75 FR 

27028 (May 13, 2010) (File No. 265–26). 

to either Agency and need not submit 

responses to both Agencies. 

Respondents are encouraged to use the 

title ‘‘Joint CFTC–SEC Advisory 

Committee’’ to facilitate the 

organization and distribution of 

comments between the Agencies. 

Interested parties are invited to submit 

responses to: 

Securities and Exchange Commission: 

Written comments may be submitted by 

the following methods: 

Electronic Comments 

• Use the SEC’s Internet submission 

form (http://www.sec.gov/rules/other/ 

shtml); or 

• Send an email to rulecomments@sec.gov. 

Please include File No. 265–26 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, 

Securities and Exchange Commission, 

100 F St. NE., Washington 20549. All 

submissions should refer to File No. 

265–26. 

To help the SEC process and review 

your comments more efficiently, please 

use only one method. The SEC staff will 

post all comments on the SEC’s Internet 

Web site (http://www.sec.gov/rules/ 

shtml). Comments will also be available 

for Web site viewing and printing in the 

SEC’s Public Reference Room, 100 F St. 

NE., Washington, DC 20549, on official 

business days between the hours of 

10:00 a.m. and 3:00 p.m. All comments 

received will be posted without change; 

we do not edit personal identifying 

information from your submissions. You 

should submit only information that 

you wish to make available publicly. 

Commodity Futures Trading 

Commission 

• Written comments may be mailed to 

the Commodity Futures Trading 

Commission, Three Lafayette Center, 

1155 21st Street NW., Washington, DC 

20581, attention Office of the Secretary; 

transmitted by facsimile to the CFTC at 

(202) 418–5521; or transmitted 

electronically to 

Jointcommittee@cftc.gov. Reference 

should be made to ‘‘Joint CFTC–SEC 

Advisory Committee.’’ 

FOR FURTHER INFORMATION CONTACT: 

Ronesha Butler, Special Counsel, at 

(202) 551–5629, Division of Trading and 

Markets, Securities and Exchange 

Commission, 100 F St. NE., Washington 

DC 20549, or Gail Scott, Committee 

Management Officer, at (202) 418–5139, 

Commodity Futures Trading 

Commission, Three Lafayette Center, 

1155 21st Street, NW., Washington, DC 

20581. 

SUPPLEMENTARY INFORMATION: In 

accordance with the requirements of the 

Federal Advisory Committee Act, 5 

U.S.C. App. 2, the Agencies are 

publishing this notice that the Chairmen 

of the SEC and CFTC, with the 

concurrence of the other SEC and CFTC 

Commissioners, intend to renew the 

charter of the Committee. The 

Committee was originally established on 

May 10, 2010, to operate for a term of 

two years.1 The Committee’s objectives 

and scope of activities are to conduct 

public meetings, submit reports and 

recommendations to the CFTC and the 

SEC and otherwise to serve as a vehicle 

for discussion and communication on 

regulatory issues of mutual concern and 

their effect on the CFTC’s and SEC’s 

statutory responsibilities. Subjects to be 

addressed by the Committee will 

include, but will not be limited to, 

identification of emerging regulatory 

risks, assessment and quantification of 

the impact of such risks and their 

implications for investors and market 

participants, and to further the 

Agencies’ efforts on regulatory 

harmonization. The Committee will 

work to develop clear and specific goals 

toward identifying and addressing 

emerging regulatory risks, protecting 

investors and customers, and furthering 

regulatory harmonization, and to 

recommend processes and procedures 

for achieving and reporting on those 

goals. 

To achieve the Committee’s goals, the 

Chairmen of the SEC and CFTC may 

appoint approximately 10–15 members. 

There will be two co-designated federal 

officers of the Committee. The Chairman 

of the CFTC will appoint a CFTC 

employee to serve as one co-designated 

federal officer of the Committee and the 

Chairman of the SEC will appoint an 

SEC employee to serve as the other codesignated federal officer of the 

Committee. The co-designated federal 

officers jointly call all of the 

Committee’s and subcommittees’ 

meetings, prepare and jointly approve 

all meeting agendas, adjourn any 

meeting when they jointly determine 

adjournment to be in the public interest, 

and chair meetings when directed to do 

so. The co-designated federal officers 

also will attend all Committee and 

subcommittee meetings. The Chairmen 

of the CFTC and of the SEC continue to 

serve as Co-Chairmen of the Committee. 

The Committee’s membership will be 

fairly balanced in terms of points of 

view represented and the functions to 

be performed. 

The Committee’s charter will be filed 

with the Senate Committee on 

Agriculture, Nutrition and Forestry; the 

House of Representatives Committee on 

Agriculture; the Senate Committee on 

Banking, Housing, and Urban Affairs; 

the House Committee on Financial 

Services; and U.S. General Services 

Administration Committee Management 

Secretariat (‘‘Secretariat’’). A copy of the 

charter also will be filed with the SEC, 

CFTC and the Library of Congress. The 

charter will be available for Web site 

viewing and printing in the Public 

Reference Room at the SEC’s 

headquarters and posted on the SEC’s 

Web site at www.sec.gov and the CFTC’s 

Web site at www.cftc.gov. 

The Committee will continue to 

operate for an additional two years from 

the date of renewal of the charter unless, 

before the expiration of that time period, 

its charter is re-established or renewed 

in accordance with the Federal 

Advisory Committee Act or unless 

either the Chairman of the SEC or the 

Chairman of the CFTC determines that 

the Committee’s continuance is no 

longer in the public interest. 

The Committee will meet at such 

intervals as are necessary to carry out its 

functions. It is estimated that the 

meetings will occur six times per year. 

Meetings of subgroups or 

subcommittees of the full Committee 

may occur more frequently. 

The charter will provide that the 

duties of the Committee are to be solely 

advisory. Each Agency alone will make 

any determinations of action to be taken 

and policy to be expressed with respect 

to matters within their respective 

authority as to which the Committee 

provides advice or makes 

recommendations. 

The Chairmen of the Agencies affirm 

that the renewal of the Committee is 

necessary and in the public interest. 

By the Securities and Exchange 

Commission. 

Elizabeth M. Murphy, 

Secretary. 

By the Commodity Futures Trading 

Commission. 

Dated: May 7, 2012. 

David A. Stawick, 

Secretary. 

[FR Doc. 2012–11324 Filed 5–9–12; 8:45 am] 

BILLING CODE P 

mstockstill on DSK4VPTVN1PROD with NOTICES