```

[Federal Register Volume 78, Number 73 (Tuesday, April 16, 2013)]
[Rules and Regulations]
[Pages 22418-22421]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-08353]

=======================================================================
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COMMODITY FUTURES TRADING COMMISSION

17 CFR Parts 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171 and 190

RIN 3038-AE03

Reassignment of Commission Staff Responsibilities and Delegations 
of Authority

AGENCY: Commodity Futures Trading Commission.

ACTION: Final rule.

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SUMMARY: The Commission is amending its regulations to reflect the 
reassignment of responsibilities, including delegations of authority, 
resulting from its recent reorganization of Commission staff. Effective 
October 9, 2011, the Commission abolished the Division of Clearing and 
Intermediary Oversight and reassigned its staff and responsibilities to 
the newly established Division of Swap Dealer and Intermediary 
Oversight and Division of Clearing and Risk.

DATES: These amendments shall become effective on April 16, 2013.

FOR FURTHER INFORMATION CONTACT: Frank Fisanich, Chief Counsel, 
Telephone: (202) 418-5949, Email: ffisanich@cftc.gov, Amanda Lesher 
Olear, Special Counsel, Telephone: (202) 418-5283, Email: 
aolear@cftc.gov, Division of Swap Dealer and Intermediary Oversight; or 
Robert Wasserman, Chief Counsel, Telephone: (202) 418-5092, Email: 
rwasserman@cftc.gov, Jocelyn Partridge, Special Counsel, Telephone: 
(202) 418-5926, Email: jpartridge@cftc.gov, Division of Clearing and 
Risk, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION: 

I. Background

    On July 21, 2010, President Obama signed the Dodd-Frank Wall Street 
Reform and Consumer Protection Act (``Dodd-Frank Act''),\1\ which 
extensively revises the Commodity Exchange Act.\2\ In order to more 
effectively implement its provisions, the Commission has reorganized 
its operating divisions. Under the reorganized structure, the Division 
of Clearing and Intermediary Oversight has been reconfigured into two 
new divisions: the Division of Swap Dealer and Intermediary Oversight 
and the Division of Clearing and Risk.
---------------------------------------------------------------------------

    \1\ See Dodd-Frank Wall Street Reform and Consumer Protection 
Act, Public Law 111-203, 124 Stat. 1376 (2010). The text of the 
Dodd-Frank Act may be accessed at http://www.cftc.gov./
LawRegulation/OTCDERIVATIVES/index.htm.
    \2\ The Commodity Exchange Act may be found at 7 U.S.C. 1 et 
seq.
---------------------------------------------------------------------------

    The Commission is amending its regulations to reflect this 
reorganized structure. Accordingly, as indicated in the chart below, 
the Commission is deleting references to the former division and 
replacing them with references to the new divisions in the Commission's 
regulations. As amended, the regulations will reflect new assignments 
of responsibilities, including delegated authorities, to the new 
divisions.

II. Related Matters

A. Administrative Procedure Act

    The amendments to the Commission's regulations in this rulemaking 
do not establish any new substantive or legislative rules, but rather 
relate solely to the restructuring of responsibilities within the 
Commission, including amendments re-delegating authority to newly 
formed divisions, and therefore relate solely to agency organization, 
procedure, and practice. Therefore, this rulemaking is excepted from 
the public rulemaking provisions of the Administrative Procedure 
Act.\3\ Additionally, as the revisions to the Commission's regulations 
in this rulemaking will not cause any party to undertake efforts to 
comply with the regulations as revised, the Commission has determined 
to make this rulemaking effective upon publication in the Federal 
Register.\4\
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    \3\ 5 U.S.C. 553(b).
    \4\ See 5 U.S.C. 553(d).
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B. Regulatory Flexibility Act

    The Regulatory Flexibility Act requires the Commission to consider 
whether the regulations it adopts will have a significant economic 
impact on a substantial number of small entities.\5\ The Commission is 
obligated to conduct a regulatory flexibility analysis for any rule for 
which the agency publishes a general notice of proposed rulemaking 
pursuant to section 553(b) of the Administrative Procedure Act.\6\ This 
rulemaking is excepted from the public rulemaking provisions of the 
Administrative Procedure Act. Accordingly, the Commission is not 
obligated to conduct a regulatory flexibility analysis for this 
rulemaking.
---------------------------------------------------------------------------

    \5\ See 5 U.S.C. 601 et seq.
    \6\ 5 U.S.C. 601(2).
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C. Paperwork Reduction Act

    The Commission may not conduct or sponsor, and a respondent is not 
required to respond to, a collection of information contained in a 
rulemaking unless the information collection displays a currently valid 
control number issued by the Office of Management and Budget (``OMB'') 
pursuant to the Paperwork Reduction Act.\7\ This rulemaking contains no 
collection of information for which the Commission is obligated to 
obtain a control number from OMB.
---------------------------------------------------------------------------

    \7\ See 44 U.S.C. 3501 et seq.

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[[Page 22419]]

List of Subjects in 17 CFR Part 140

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

    For the reasons stated in the preamble, the Commission hereby 
amends chapter I of title 17 of the Code of Federal Regulations as 
follows:

PARTS 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171, and 190--
[AMENDED]

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

------------------------------------------------------------------------
           Section                   Remove                  Add
------------------------------------------------------------------------
1.12(g)(3)..................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
1.12(h).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
1.17(c)(6)(ii)(A)...........  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
1.17(c)(6)(ii)(D)...........  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
1.17(c)(6)(iii)(B)..........  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
1.65(d).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
1.66(b)(5)(ii)..............  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.22 introductory text......  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.50(c).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.50(d).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.55(e)(2)..................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.56(e)(2)..................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.63........................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.70(a).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
3.70(a).....................  Attn: Deputy          Attn: Deputy
                               Director,             Director,
                               Compliance and        Registration and
                               Registration          Compliance Branch,
                               Section, Division     Division of Swap
                               of Clearing and       Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight.
Pt. 3 app. A, note 2........  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
5.6(f)(3)...................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
5.6(h)......................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
5.20(d) (2 references)......  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
5.23(f).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
9.2(h)......................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight and
                                                     Division of
                                                     Clearing and Risk.
9.26........................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight and
                                                     Division of
                                                     Clearing and Risk.
9.31(a).....................  Division Clearing     Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight and
                                                     Division of
                                                     Clearing and Risk.
11.2(a).....................  the Director of the   the Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight and the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.
31.13(n)(1) (2 references)..  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
31.14(a)....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
40.7(a)(1)..................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
40.7(a)(2)..................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
40.7(a)(3)..................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
40.7(a)(4)..................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
40.7(b).....................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
40.7(c).....................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
41.3(d).....................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
Pt. 140 Table of Contents     Division of Clearing  Division of Clearing
 (140.75).                     and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
Pt. 140 Table of Contents     Division of Trading   Division of Swap
 (140.91).                     and Markets.          Dealer and
                                                     Intermediary
                                                     Oversight.
Pt. 140 Table of Contents     Division of Clearing  Division of Swap
 (140.93).                     and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
Pt. 140 Table of Contents     Director of the       Directors of the
 (140.94).                     Division of           Division of
                               Clearing and Risk.    Clearing and Risk
                                                     and the Division of
                                                     Swap Dealer and
                                                     Intermediary
                                                     Oversight.
140.72(a)...................  Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight, each       Oversight, the
                               Deputy Director of    Chief Counsel of
                               the Division of       the Division of
                               Clearing and          Swap Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight, each
                                                     Deputy Director of
                                                     the Division of
                                                     Swap Dealer and
                                                     Intermediary
                                                     Oversight, the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk,
                                                     the Chief Counsel
                                                     of the Division of
                                                     Clearing and Risk,
                                                     each Deputy
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.
140.73(a)...................  Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight or, in      Oversight or, in
                               his or her absence,   his or her absence,
                               each Deputy           the Chief Counsel
                               Director of the       of the Division of
                               Division of           Swap Dealer and
                               Clearing and          Intermediary
                               Intermediary          Oversight, each
                               Oversight.            Deputy Director of
                                                     the Division of
                                                     Swap Dealer and
                                                     Intermediary
                                                     Oversight, the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk
                                                     or, in his or her
                                                     absence, the Chief
                                                     Counsel of the
                                                     Division of
                                                     Clearing and Risk,
                                                     each Deputy
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.

[[Page 22420]]

 
140.75 (section heading and   Division of Clearing  Division of Clearing
 2 references).                and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.76(a)...................  Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight, the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.
140.76(b)...................  Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight, the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.
140.91 (section heading)....  Division of Trading   Division of Swap
                               and Markets.          Dealer and
                                                     Intermediary
                                                     Oversight.
140.91(a)...................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
140.91(b)...................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
140.92(a)...................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.92(b)...................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.92(c)...................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.93 (section heading)....  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
140.93(a)...................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
140.93(b)...................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
140.93(c)...................  Division of Clearing  Division of Swap
                               Intermediary          Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
140.95(a)...................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.95(b)...................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.95(c)...................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk and
                               Oversight.            Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight.
140.96(b)...................  the Director of the   the Director of Swap
                               Division of           Dealer and
                               Clearing and          Intermediary
                               Intermediary          Oversight or the
                               Oversight or the      Director's
                               Director's designee.  designee, and to
                                                     the Director of the
                                                     Division of
                                                     Clearing and Risk
                                                     or the Director's
                                                     designee.
140.96(c)...................  Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight or the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.
140.96(d)...................  Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight or the
                                                     Director of the
                                                     Division of
                                                     Clearing and Risk.
140.99(a)(5)................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight, the
                                                     Division of
                                                     Clearing and Risk.
Part 145, App. A, (g).......  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
Pt. 170 (Table of Contents).  170.12 Delegation of  170.12 Delegation of
                               Authority to          Authority to
                               Director of the       Director of the
                               Division of           Division of Swap
                               Clearing and          Dealer and
                               Intermediary          Intermediary
                               Oversight.            Oversight.
170.12 (section heading and   Division of Clearing  Division of Swap
 1 reference).                 and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight.
171.28......................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight and the
                                                     Division of
                                                     Clearing and Risk.
171.31(a)...................  Division of Clearing  Division of Swap
                               and Intermediary      Dealer and
                               Oversight.            Intermediary
                                                     Oversight and the
                                                     Division of
                                                     Clearing and Risk.
190.10(b)(4)................  Director of the       Director of the
                               Division of           Division of
                               Clearing and          Clearing and Risk,
                               Intermediary          or such members of
                               Oversight, or such    the Commission's
                               members of the        staff acting under
                               Commission's staff    his direction as he
                               acting under his      may designate, on
                               direction as he may   the basis of the
                               designate, on the     information
                               basis of the          provided in any
                               information           such request, shall
                               provided in any       determine, after
                               such request, shall   consultation with
                               determine, in his     the Director of the
                               sole discretion.      Division of Swap
                                                     Dealer and
                                                     Intermediary
                                                     Oversight, or such
                                                     member of the
                                                     Commission's staff
                                                     under his direction
                                                     as he may
                                                     designate, unless
                                                     exigent
                                                     circumstances
                                                     require immediate
                                                     action precluding
                                                     such prior
                                                     consultation.
190.10(d) heading...........  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
190.10(d)(1)................  Director of the       Director of the
                               Division of           Division of
                               Clearing and          Clearing and Risk,
                               Intermediary          and to such members
                               Oversight, and to     of the Commission's
                               such members of the   staff acting under
                               Commission's staff    his direction as he
                               acting under his      may designate,
                               direction as he may   after consultation
                               designate.            with the Director
                                                     of the Division of
                                                     Swap Dealer and
                                                     Intermediary
                                                     Oversight, or such
                                                     member of the
                                                     Commission's staff
                                                     under his direction
                                                     as he may
                                                     designate, unless
                                                     exigent
                                                     circumstances
                                                     require immediate
                                                     action.
190.10(d)(2)................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
190.10(d)(3)................  Division of Clearing  Division of Clearing
                               and Intermediary      and Risk.
                               Oversight.
------------------------------------------------------------------------

[[Page 22421]]

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

0
2. The authority citation for Part 140 is revised to read as follows:

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

0
3. Section 140.94 is revised to read as follows:

Sec.  140.94  Delegation of authority to the Director of the Division 
of Swap Dealer and Intermediary Oversight and the Director of the 
Division of Clearing and Risk.

    (a) The Commission hereby delegates, until such time as the 
Commission orders otherwise, the following functions to the Director of 
the Division of Swap Dealer and Intermediary Oversight and to such 
members of the Commission's staff acting under his or her direction as 
he or she may designate from time to time:
    (1) All functions reserved to the Commission in Sec.  5.7 of this 
chapter;
    (2) All function reserved to the Commission in Sec.  5.10 of this 
chapter;
    (3) All functions reserved to the Commission in Sec.  5.11 of this 
chapter;
    (4) All functions reserved to the Commission in Sec.  5.12 of this 
chapter, except for those relating to nonpublic treatment of reports 
set forth in Sec.  5.12(i) of this chapter; and
    (5) All functions reserved to the Commission in Sec.  5.14 of this 
chapter.
    (b) The Director of the Division of Swap Dealer and Intermediary 
Oversight may submit any matter which has been delegated to him or her 
under paragraph (a) of this section to the Commission for its 
consideration.
    (c) The Commission hereby delegates, until such time as the 
Commission orders otherwise, the following function to the Director of 
the Division of Clearing and Risk and to such members of the 
Commission's staff acting under his or her direction as he or she may 
designate from time to time:
    (1) All functions reserved to the Commission in Sec. Sec.  
39.3(a)(1), (a)(2), (a)(3), 39.3(b)(1), and 39.3(f)(4) of this chapter;
    (2) All functions reserved to the Commission in Sec.  39.4(a) of 
this chapter;
    (3) All functions reserved to the Commission in Sec.  39.5(b)(2), 
(b)(3)(ix), (c)(1), and (d)(3) of this chapter;
    (4) All functions reserved to the Commission in Sec.  
39.10(c)(4)(iv) of this chapter;
    (5) All functions reserved to the Commission in Sec.  
39.11(b)(1)(vi), (b)(2)(ii), (c)(1), (c)(2), (f)(1), and (f)(4) of this 
chapter;
    (6) All functions reserved to the Commission in Sec.  
39.12(a)(5)(i)(B) of this chapter;
    (7) All functions reserved to the Commission in Sec.  
39.13(g)(8)(ii), (h)(1)(i)(C), (h)(1)(ii), (h)(3)(i), (h)(3)(ii), and 
(h)(5)(i)(A) of this chapter;
    (8) The authority to request additional information in support of a 
rule submission under Sec.  39.15(b)(2)(iii)(A) of this chapter and in 
support of a petition pursuant to section 4d of the Act under Sec.  
39.15(b)(2)(iii)(B) of this chapter;
    (9) All functions reserved to the Commission in Sec.  
39.19(c)(3)(iv), (c)(5)(i), (c)(5)(ii), and (c)(5)(iii) of this 
chapter;
    (10) All functions reserved to the Commission in Sec.  39.20(a)(5); 
and
    (11) All functions reserved to the Commission in Sec.  39.21(d) of 
this chapter.
    (d) The Director of Clearing and Risk may submit any matter which 
has been delegated to him or her under paragraph (c) of this section to 
the Commission for its consideration.
    (e) Nothing in this section may prohibit the Commission, at its 
election, from exercising the authority delegated to the Director of 
the Division of Swap Dealers and Intermediary Oversight under paragraph 
(a) or to the Director of the Division of Clearing and Risk under 
paragraph (c) of this section.

0
4. Amend Sec.  140.99 to revise paragraph (d)(2) to read as follows:

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

* * * * *
    (d) * * *
    (2)(i) A request for a Letter relating to the provisions of the Act 
or the Commission's rules, regulations or orders governing designated 
contract markets, registered swap execution facilities, registered swap 
data repositories, registered foreign boards of trade, exempt 
commercial markets, exempt boards of trade, the nature of particular 
transactions and whether they are exempt or excluded from being 
required to be traded on one of the foregoing entities, made available 
for trading determinations, position limits, hedging exemptions, 
position aggregation treatment or the reporting of market positions 
shall be filed with the Director, Division of Market Oversight, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581.
    (ii) A request for a Letter relating to the provisions of the Act 
or the Commission's rules, regulations or orders governing or related 
to derivatives clearing organizations and other central counterparties, 
the clearing process, the clearing requirement determination, 
Commission regulation 1.25 jointly with the Director of the Division of 
Swap Dealer and Intermediary Oversight, risk assessment, financial 
surveillance, the end user exemption, and bankruptcy shall be filed 
with the Director, Division of Clearing and Risk, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street NW., 
Washington, DC 20581.
    (iii) A request for a Letter relating to all other provisions of 
the Act or Commission rules, including Commission regulation 1.25 
jointly with the Director of the Division of Clearing and Risk, shall 
be filed with the Director, Division of Swap Dealer and Intermediary 
Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581.
    (iv) The requests described in paragraphs (d)(2)(i) through (iii) 
of this section must be submitted electronically using the email 
address dmoletters@cftc.gov (for a request filed with the Division of 
Market Oversight), dcrletters@cftc.gov (for a request filed with the 
Division of Clearing and Risk), or dsioletters@cftc.gov (for a request 
filed with the Division of Swap Dealer and Intermediary Oversight), as 
appropriate, and a properly signed paper copy of the request must be 
provided to the Division of Market Oversight, the Division of Clearing 
and Risk, or the Division of Swap Dealer and Intermediary Oversight, as 
appropriate, within ten days for purposes of verification of the 
electronic submission.
* * * * *

    Issued in Washington, DC, on April 5, 2013, by the Commission.
Christopher J. Kirkpatrick,
Deputy Secretary of the Commission.
[FR Doc. 2013-08353 Filed 4-15-13; 8:45 am]
BILLING CODE 6351-01-P
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