2024-18445. Incorporation of Changes in the Commission's Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text

Section	Remove	Add
1.12(g)(3)	Director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.17(c)(6)(ii)(A)	Director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.17(c)(6)(ii)(C)	Director of the Division and Clearing and Intermediary Oversight	Director of the Market Participants Division
1.17(c)(6)(ii)(D)	Director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.17(c)(6)(iii)(B)	Director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20(d)(2)	The written acknowledgement must be in the form as set out in Appendix A to this part	The written acknowledgement must be in the form as set out in Appendix A to § 1.20.
1.20(d)(3)(i)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20(d)(3)(i)	director's designees	Director's designees
1.20(d)(3)(ii)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20(d)(5)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20(d)(5)	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.20(d)(5)	directors' designees	Directors' designees
1.20(d)(6)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20(d)(6)	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.20(d)(6)	directors' designees	Directors' designees
( print page 71806)
1.20(g)(4)(ii)	The written acknowledgement must be in the form as set out in appendix B to this part	The written acknowledgement must be in the form as set out in Appendix B to § 1.20.
1.20(g)(4)(iv)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20(g)(4)(iv)	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.20(g)(4)(iv)	directors' designees	Directors' designees
1.20, Appendix A	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20, Appendix A	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.20, Appendix A	directors' designees	Directors' designees
1.20, Appendix B	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.20, Appendix B	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.20, Appendix B	directors' designees	Directors' designees
1.26, Appendix A	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.26, Appendix A	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.26, Appendix A	directors' designees	Directors' designees
1.26, Appendix B	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.26, Appendix B	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
1.26, Appendix B	directors' designees	Directors' designees
1.35(a)(9)(iii)	Director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
1.35(a)(9)(iii)	Director may designate from time to time	Director may designate
1.52(c)(2)(iii)(B)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.52(c)(2)(iii)(C)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.52(d)(2)(ii)(G)( 2)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.52(d)(2)(ii)(G)( 3)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.52(d)(2)(ii)(G)( 3)	Division of Swap Dealer and Intermediary's	Market Participants Division's
1.52(d)(2)(iii)(D)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.52(f)(2)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.65(d)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.65(e)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.65(e)	may designate from time to time,	may designate,
1.66(b)(5)(ii)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
1.70(a)(2)	Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters
1.70(b)(3)	Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters
1.70(d)	Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters
Appendix B to Part 1(c)	Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters

PART 3—REGISTRATION

3. The authority citation for part 3 continues to read as follows:

Authority: 5 U.S.C. 552, 552b; 7 U.S.C. 1a, 2, 6a, 6b, 6b-1, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 6s, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23.

§§ 3.3, 3.22, 3.33, 3.50, 3.55, 3.56, 3.63, 3.70, 3.75, and Appendix A

[Amended]

4. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
3.3(h)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.3(h)	Director may designate from time to time	Director may designate
3.22	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.33(e)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.33(e)	Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters
3.50(c)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.50(c)	at the Commission's Washington, DC office, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters
3.50(d)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.55(e)(2)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
( print page 71807)
3.56(e)(2)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.63	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.70(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.70(a)	Washington, DC office	Washington, DC headquarters
3.70(a)	(Attn: Deputy Director, Registration and Compliance Branch, Division of Swap Dealer and Intermediary Oversight Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581)	(Attn: Deputy Director, Registration and Compliance Branch, Market Participants Division).
3.75(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
3.75(a)	has been delegated to him	has been delegated to them
Appendix A to Part 3, Footnote 2	from the Contract Markets Section of the Commission's Division of Swap Dealer and Intermediary Oversight	Commission staff

PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS

5. The authority citation for part 5 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23.

§§ 5.6, 5.20, and 5.23

[Amended]

6. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
5.6(f)(3)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
5.6(h)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
5.6(h)	at the Commission's principal office in Washington, DC	at the Commission's Washington, DC headquarters
5.20(d) (heading)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
5.20(d)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
5.23(f)	Deputy Director, Registration and Compliance Section	Deputy Director, Registration and Compliance Branch
5.23(f)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
5.23(f)	Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters

PART 9—RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS

7. The authority citation for part 9 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 6b-1, 6c, 7, 7a-2, 7b-3, 8, 9, 9a, 12, 12a, 12c, 13b, 16a, 18, 19, and 21.

§§ 9.2, 9.4, 9.26, and 9.31

[Amended]

8. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
9.2(h)	Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk	Market Participants Division and/or the Division of Clearing and Risk
9.4(a)	or by mail to: Proceedings Clerk, Office of Proceedings, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581	or by mail to the Proceedings Clerk, Office of Proceedings at the Commission's Washington, DC headquarters
9.26	Division of Market Oversight and/or the Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk	Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk
9.31(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division

PART 10—RULES OF PRACTICE

9. The authority citation in 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).

§§ 10.2, 10.4, 10.10, 10.12, and 10.106

[Amended]

10. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
10.2(i)	that member of the Commission's staff designated as such in the Commission's Office of Proceedings	any member of the Commission's staff designated as such by the Director of the Office of Proceedings
( print page 71808)
10.4	Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	the Commission's Washington, DC headquarters
10.10(a)(1)(iii)	Deputy General Counsel for Opinions and Review	Deputy General Counsel for Litigation, Enforcement, and Adjudication
10.10(a)(1)(iii)	Office of General Counsel	Office of the General Counsel
10.12(d)(1)	to Proceedings Clerk, Office of Proceedings, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	to the Proceedings Clerk, Office of Proceedings at the Commission's Washington, DC headquarters
10.106(b)(3)	Nothwithstanding	Notwithstanding

PART 11—RULES RELATED TO INVESTIGATIONS

11. The authority citation for part 11 continues to read as follows:

Authority: 7 U.S.C. 4a(j), 9, 12, 12a(5) and 15.

§§ 11.2 and 11.7 and Appendix A

[Amended]

12. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

11.2(b)	Program Coordinator	Principal Deputy Director
11.2(b)	Regional Counsel	Deputy Regional Counsel
11.7(a)	Program Coordinator	Principal Deputy Director
11.7(a)	Regional Counsel of the Division of Enforcement, or a Regional Director of the Commission	Deputy Regional Counsel of the Division of Enforcement
Appendix A	Program Coordinator	Principal Deputy Director
Appendix A	Regional Counsel of the Division, or a Regional Director of the Commission	Deputy Regional Counsel of the Division of Enforcement
Appendix A	Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581	at the Commission's Washington, DC headquarters

PART 12—RULES RELATING TO REPARATIONS

13. The authority citation for part 12 continues to read as follows:

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

§§ 12.2, 12.11, 12.13, 12.18, and 12.407

[Amended]

14. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
12.3	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	the Commission's Washington, DC headquarters.
12.11(f)	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
12.407(c)(1)	Statisfaction	Satisfaction

15. Section 12.2 is amended by revising the definition of “Proceedings Clerk.” The addition and revision read as follows:

§ 12.2

Definitions.

* * * * *

Proceedings Clerk means any member of the Commission's staff designated as such by the Director of the Office of Proceedings;

* * * * *

16. In § 12.13, paragraph (b)(3) is revised to read as follows:

§ 12.13

Complaint; election of procedure.

* * * * *

(b) * * *

(3) Time and place of filing of complaint. A complaint shall be filed by delivering a copy thereof, in proper form to the Office of Proceedings at the Commission's Washington, DC headquarters. The complaint may be filed in person, during normal business hours, or by certified mail, or registered mail with return receipt requested. The complaint shall not be served on any person or party named therein. Upon the filing of the complaint and the appropriate filing fee, the Proceedings Clerk shall assign a docket number to the matter and shall maintain the official docket.

* * * * *

17. In § 12.18, paragraph (e) is revised to read as follows:

§ 12.18

Answer; election of procedure.

* * * * *

(e) Time and place of filing an answer. An answer shall be filed by delivering a copy thereof, in proper form to the Office of Proceedings at the Commission's Washington, DC headquarters. The answer may be filed in person, during normal business hours, or by certified mail, or registered mail with return receipt requested.

PART 13—PROCEDURES FOR PETITIONS OF RULEMAKING

18. The authority citation for part 13 continues to read as follows:

Authority: 7 U.S.C. 2(a)(12).

( print page 71809)

§ 13.1

[Amended]

19. In § 13.1, remove “Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581” and add “at the Commission's Washington, DC headquarters” in its place.

PART 14—RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE

20. The authority citation for part 14 continues to read as follows:

Authority: Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391, 7 U.S.C. 4a(j).

§ 14.9

[Amended]

21. In § 14.9, remove “at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581” and add “at the Commission's Washington, DC headquarters” in its place.

PART 15—REPORTS—GENERAL PROVISIONS

22. The authority citation for part 15 continues to read as follows:

Authority: 7 U.S.C. 2, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 7, 7a, 9, 12a, 19, and 21, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376 (2010).

§§ 15.05 and 15.06

[Amended]

23. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
15.05(d)	at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
15.05(g)	at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
15.05(i)(2)	at Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
15.06(a)	Director of the Division of Market Oversight, to be exercised by such Director or by such other employee or employees of such Director as designated from time to time by the Director	Director of the Division of Data, to be exercised by such Director or by such other employee or employees of such Director as designated, and in consultation with the Director of the Division of Market Oversight

PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES

24. The authority citation for part 16 continues to read as follows:

Authority: 7 U.S.C. 2, 6a, 6c, 6g, 6i, 7, and 7b-3.

§ 16.07

[Amended]

25. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
16.07 (section heading)	Office of Data and Technology	Division of Data
16.07(a)	Office of Data and Technology	Division of Data
16.07(a)	designate from time to time	designate
16.07(a)	designated from time to time	designated
16.07(a)	paragraph (d) of this section to the Director of the Division of Market Oversight,	paragraph (d) of this section to the Director of the Division of Data,
16.07(b)	to, with the concurrence of the Director of the Division of Market Oversight or the Director's delegate, determine	to determine
16.07(c)	to, with the concurrence of the Director of the Division of Market Oversight or the Director's delegate, approve	to approve

PART 17—REPORTS BY REPORTING MARKETS, FUTURES COMMISSION MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS

26. The authority citation for part 17 continues to read as follows:

Authority: 7 U.S.C. 2, 6a, 6c, 6d, 6f, 6g, 6i, 6t, 7, 7a, and 12a.

§ 17.03

[Amended]

27. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
17.03 (section heading)	Office of Data and Technology	Division of Data
17.03 introductory text	Office of Data and Technology	Division of Data
17.03 introductory text	designated from time to time	designated
17.03(a)	Office of Data and Technology	Division of Data
17.03(b)	Office of Data and Technology	Division of Data
17.03(c)	Office of Data and Technology	Division of Data
17.03(d)	Office of Data and Technology	Division of Data
17.03(e)	Office of Data and Technology	Division of Data
( print page 71810)
17.03(e)	designate from time to time,	designate,
17.03(f)	Office of Data and Technology	Division of Data
17.03(f)	designate from time to time,	designate,
17.03(g)	Division of Market Oversight	Division of Data
17.03(h)	Division of Market Oversight	Division of Data
17.03(i)	Director of the Office of Data and Technology	Director of the Division of Data

PART 18—REPORTS BY TRADERS

28. The authority citation for part 18 continues to read as follows:

Authority: 7 U.S.C. 2, 4, 5, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 6t, 12a, and 19.

§ 18.03

[Amended]

29. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
18.03(a)	designate from time to time.	designate.
18.03(b)	designate from time to time.	designate.
18.03(b)	Office of Data and Technology	Division of Data
18.03(c)	Office of Data and Technology	Division of Data

PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS

30. The authority citation for part 20 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, 19.

§ 20.8

[Amended]

31. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
20.8(a)	designate from time to time,	designate,
20.8(b)	Director of the Division of Market Oversight	Director of the Division of Data, in consultation with the Director of the Division of Market Oversight
20.8(b)	designate from time to time,	designate,
20.8(c)	designate from time to time,	designate,
20.8(c)	Office of Data and Technology	Division of Data
20.8(d)	Office of Data and Technology, with the concurrence of the Director of the Division of Market Oversight, or such other employee or employees as the Directors each may designate from time to time	Division of Data, or such other employee or employees as the Director may designate
20.8(e)	Office of Data and Technology	Division of Data

PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

32. The authority citation for part 23 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6b-1, 6c, 6p, 6r, 6s, 6t, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21.

Section 23.160 also issued under 7 U.S.C. 2(i); Sec. 721(b), Pub. L. 111-203, 124 Stat. 1641 (2010).

§§ 23.23, 23.102, 23.160 and 23.206

[Amended]

33. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
23.23(g)(8)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
23.23(g)(8)	designate from time to time,	designate,
23.102(e)(3)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
23.160(c)(7)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
23.160(c)(7)	designate from time to time,	designate,
23.206 (section heading)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
23.206(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
23.206(a)	designate from time to time,	designate,
23.206(b)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division

( print page 71811)

PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS

34. The authority citation for part 30 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 6, 6c, and 12a, unless otherwise noted.

§§ 30.7 and 30.13 and Appendix E and F

[Amended]

35. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
30.7(d)(3)(i)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
30.7(d)(3)(i)	director's designees	Director's designees
30.7(d)(3)(ii)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
30.7(d)(3)(ii)	director's designees	Director's designees
30.7(d)(5)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
30.7(d)(5)	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
30.7(d)(5)	directors' designees	Directors' designees
30.7(d)(6)	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
30.7(d)(6)	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
30.7(d)(6)	directors' designees	Directors' designees
30.13(f)(1)	Office of General Counsel	Office of the General Counsel
30.13(n)	Office of General Counsel	Office of the General Counsel
30.13(o)	Director of Market Oversight or his designee,	Director of the Division of Market Oversight or their designee,
30.13(o)	the General Counsel or his designee	the General Counsel or their designee
Appendix E	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
Appendix E	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
Appendix E	directors' designees	Directors' designees
Appendix F	director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
Appendix F	director of the Division of Clearing and Risk	Director of the Division of Clearing and Risk
Appendix F	directors' designees	Directors' designees

PART 31—LEVERAGE TRANSACTIONS

36. The authority citation for part 31 continues to read as follows:

Authority: 7 U.S.C. 12a and 23, unless otherwise noted.

37. In § 31.13, revise paragraph (n) and the undesignated text following paragraph (n)(1) to read as follows:

§ 31.13

Financial reports of leverage transaction merchants.

* * * * *

(n) * * *

(1) Until such time as the Commission orders, otherwise, the Commission hereby delegates to the Director of the Market Participants Division or their designee the authority to perform all functions reserved to the Commission in this section.

(2) The Director of the Market Participants Division may submit to the Commission for its consideration any matter which has been delegated to them pursuant to paragraph (n)(1) of this section.

§§ 31.14, 31.28 and Appendix A

[Amended]

38. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
31.14(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
31.28(j)	give telegraphic notice of that event to the principal office of the Commission in Washington, DC	give electronic notice of that event to [e-mail]
Appendix A	attention of the Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Commission at its Washington, DC headquarters, Attn: Financial Management Branch

PART 37—SWAP EXECUTION FACILITIES

39. The authority citation for part 37 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.

§ 37.3

[Amended]

40. In § 37.3(h), remove “General Counsel's delegate” and add “General Counsel's designee” in its place.

PART 41—SECURITY FUTURES PROJECTS

41. The authority citation for part 41 continues to read as follows:

Authority: Sections 206, 251 and 252, Pub. L. 106-554, 114 Stat. 2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a-2, 12a; 15 U.S.C. 78g(c)(2).

( print page 71812)

42. Amend § 41.3 by revising paragraph (d) to read as follows:

§ 41.3

Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.

* * * * *

(d) An application for an order must be submitted to the Director of the Market Participants Division, at the Commission's Washington, DC headquarters if in paper form, or to [e-mail] if submitted via electronic mail.

* * * * *

PART 43—REAL-TIME PUBLIC REPORTING

43. The authority citation for part 43 continues to read as follows:

Authority: 7 U.S.C. 2(a), 12a(5) and 24a, as amended by Pub. L. 111-203, 124 Stat. 1376 (2010).

44. In § 43.3, revise paragraph (e)(1)(ii) to read as follows:

§ 43.3

Method and timing for real-time public reporting.

* * * * *

(e) * * *

(1) * * *

(ii) Notification of failure to timely correct. If the swap execution facility, designated contract market, or reporting counterparty will, for any reason, fail to timely correct an error, the swap execution facility, designated contract market, or reporting counterparty shall notify the Director of the Division of Data, or such other employee or employees of the Commission as the Director may designate. The notification shall be in the form and manner, and according to the instructions, specified by the Director of the Division of Data in concurrence with the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the respective Director may designate. Unless otherwise instructed by the Director of the Division of Data, or such other employee or employees of the Commission as the Director may designate from time to time, the notification shall include an initial assessment of the scope of the error or errors that were discovered, and shall include any initial remediation plan for correcting the error or errors, if an initial remediation plan exists. This notification shall be made within 12 hours of the swap execution facility's, designated contract market's, or reporting counterparty's determination that it will fail to timely correct the error.

* * * * *

§ 43.7

[Amended]

45. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
43.7(a)	the Director of the Division of Market Oversight	the Director of the Division of Data
43.7(a)	designate from time to time	designate
43.7(b)	The Director of the Division of Market Oversight may	The Director of the Division of Data may

PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS

46. The authority citation for part 45 continues to read as follows:

Authority: 7 U.S.C. 6r, 7, 7a-1, 7b-3, 12a, and 24a, as amended by Title VII of the Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111-203, 124 Stat. 1376 (2010), unless otherwise noted.

47. In § 43.14, revise paragraph (a)(1)(ii) to read as follows:

§§ 45.14

Correcting errors in swap data and verification of swap data accuracy.

(a) * * *

(1) * * *

(ii) Notification of failure to timely correct. If the swap execution facility, designated contract market, or reporting counterparty will, for any reason, fail to timely correct an error, the swap execution facility, designated contract market, or reporting counterparty shall notify the Director of the Division of Data, or such other employee or employees of the Commission as the Director may designate. The notification shall be in the form and manner, and according to the instructions, specified by the Director of the Division of Data in concurrence with the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the respective Director may designate. Unless otherwise instructed by the Director of the Division of, the notification shall include an initial assessment of the scope of the error or errors that were discovered, and shall include any initial remediation plan for correcting the error or errors, if an initial remediation plan exists. This notification shall be made within 12 hours of the swap execution facility's, designated contract market's, or reporting counterparty's determination that it will fail to timely correct the error.

* * * * *

48. In § 43.15, revise paragraphs (a) introductory text, (a)(4), (b) introductory text, and (b)(4) to read as follows:

§ 45.15

Delegation of authority.

(a) Delegation of authority to the Director of the Division of Data. The Commission hereby delegates to its Director of the Division of Data, until the Commission orders otherwise, the authority set forth in paragraph (a) of this section, to be exercised by the Director of the Division of Data or by such other employee or employees of the Commission as may be designated by the Director of the Division of Data. The Director of the Division of Data may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated to the Director of the Division of Data by this paragraph (a) shall include:

* * * * *

(4) The Director of the Division of Data shall publish in the Federal Register and on the website of the Commission the format, data schema, electronic data transmission methods and procedures, and dates and times for reporting acceptable to the Commission with respect to swap data reporting pursuant to § 45.11.

(b) Delegation of authority to the Director of the Division of Data. The Commission hereby delegates to the Director of the Division of Data, until the Commission orders otherwise, the authority set forth in § 45.13(a)(1), to be exercised by the Director of the Division of Data or by such other employee or employees of the Commission as may be designated by the Director of the Division of Data. The Director of the Division of Data may submit to the Commission for its consideration any matter which has been delegated pursuant to this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated ( print page 71813) to the Director of the Division of Data by this paragraph (b) shall include:

* * * * *

(4) The Director of the Division of Data shall publish from time to time in the Federal Register and on the website of the Commission the technical specifications for swap data reporting pursuant to § 45.13(a)(1).

PART 46—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-ENACTMENT AND TRANSITION SWAPS

49. The authority citation for part 46 continues to read as follows:

Authority: Title VII, sections 723 and 729, Pub. L. 111-203, 124 Stat. 1738.

50. Amend § 46.8 by:

a. Revising paragraph (c) introductory text; and

b. In paragraph (d), removing the term “Chief Information Officer” and adding, in its place, the term, “Director of the Division of Data”.

The revision reads as follows:

§ 46.8

Data reporting for swaps in a swap asset class not accepted by any swap data repository.

* * * * *

(c) Delegation of authority to the Director of the Division of Data: The Commission hereby delegates to its Director of the Division of Data, until the Commission orders otherwise, the authority set forth in this paragraph (c), to be exercised by the Director of the Division of Data or by such other employee or employees of the Commission as may be designated by the Director of the Division of Data. The Director of the Division of Data may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated to the Director of the Division of Data by paragraph (c) of this section shall include:

* * * * *

PART 49—SWAP DATA REPOSITORIES

51. The authority citation for part 49 continues to read as follows:

Authority: 7 U.S.C. 1a, 2(a), 6r, 12a, and 24a, as amended by Title VII of the Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111-203, 124 Stat. 1376 (Jul. 21, 2010), unless otherwise noted.

52. § 49.31 is revised to read as follows:

§ 49.31

Delegation of authority to the Directors of the Division of Market Oversight and Division of Data relating to certain part 49 matters.

(a) The Commission hereby delegates, until such time as the Commission orders otherwise, the following functions to the Director of the Division of Market Oversight and to such members of the Commission staff acting under their direction as they may designate:

(1) All functions reserved to the Commission in § 49.5.

(2) All functions reserved to the Commission in § 49.12.

(3) All functions reserved to the Commission in § 49.13.

(4) All functions reserved to the Commission in § 49.16.

(5) All functions reserved to the Commission in § 49.17.

(6) All functions reserved to the Commission in § 49.18.

(7) All functions reserved to the Commission in § 49.22.

(8) All functions reserved to the Commission in § 49.23.

(9) All functions reserved to the Commission in § 49.24

(10) All functions reserved to the Commission in § 49.25.

(11) All functions reserved to the Commission in § 49.29.

(12) All functions reserved to the Commission in § 49.30.

(b) The Commission hereby delegates, until such time as the Commission orders otherwise, the following functions to the Director of the Division of Data and to such members of the Commission staff acting under their direction as they may designate:

(1) All functions reserved to the Commission in § 49.9.

(2) All functions reserved to the Commission in § 49.10.

(c) The Director of the Division of Market Oversight, and, separately, the Director of the Division of Data may submit to the Commission for its consideration any matter that has been delegated under this section.

(d) Nothing in this section may prohibit the Commission, at its election, from exercising the authority delegated in this section.

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

53. The authority citation for part 140 continues to read as follows:

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

§§ 140.2, 140.11, 140.13, 140.24, 140.72, 140.73, 140.75, 140.76, 140.91, 140.92, 140.93, 140.94, 140.95, 140.96, and 140.99

[Amended]

54. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
140.2 section heading	regional coordinator	Regional Administrator
140.2(a)	140 Broadway, New York, New York, 10005	290 Broadway, 6th Floor, New York, NY 10007
140.2(b)	525 West Monroe Street, Suite 1100, Chicago, Illinois 60661	77 W. Jackson Blvd., Suite 800, Chicago, IL 60604
140.2(c)	Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, Missouri 64112	2600 Grand Blvd, Suite 210, Kansas City, MO 64108
140.2	Regional Coordinator	Regional Administrator
140.11(a)	principal offices of the commission	Commission headquarters
140.11(a)	the Chairman, the Vice-Chairman, and	the Chairman and
140.11(b)(1)	the Commission's offices in Washington, DC	the Commission's Washington, DC headquarters
140.11(b)(1)	General Counsel or his deputy	General Counsel or their deputy
140.11(c)	Senior Commissioner or at his direction	Senior Commissioner or at their direction
140.13	until such time as his appointment as Chairman	until such time as their appointment as Chairman
140.24(a)(4)	Executive Director or his delegee	Executive Director or their designee
( print page 71814)
140.24(a)(6)	Executive Director or his delegee	Executive Director or their designee in consultation with the General Counsel or their designee
140.72(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
140.72(a)	the Director of the Division of Market Oversight, the Director of the Division of Enforcement,	the Director of the Division of Market Oversight, the Director of the Division of Data, the Director of the Division of Enforcement,
140.72(a)	may designate from time to time	may designate
140.72(b)	Regional Coordinator	Regional Administrator
140.73(a)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
140.73(a)	may designate from time to time	may designate
140.73(a)	the Director of the Division of Enforcement, the Director of the Division of Market Oversight,	the Director of the Division of Enforcement, the Director of the Division of Data, the Director of the Division of Market Oversight,
140.73(b)	his or her	their
140.73(b)	Director of Market Oversight or in his or her absence each Deputy Director of the Division or for the Director of the Market Surveillance Section to release	Director of Market Oversight or in their absence each Deputy Director of the Division to release
140.75 (section heading)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division
140.75	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division
140.75	acting under his or her direction as the Director may designate from time to time	acting under their direction as either Director may designate
140.75	Director of Trading and Markets or any Commission employee designated by the Director	Director of the Division of Clearing and Risk, the Director of the Market Participants Division, or any Commission employee designated by either Director
140.75	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk or the Director of the Market Participants Division
140.76(a)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight, the General Counsel or any	Director of the Division of Clearing and Risk, the Director of the Market Participants Division, the General Counsel, or any Commission employee under their direction as they may designate
140.76(b)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk, the Director of the Market Participants Division
140.91 (section heading)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
140.91(a)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission's staff acting under his direction as he may designate from time to time:	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission's staff acting under their direction as they may designate:
140.91(a)(13)	Any action taken pursuant to the delegation of authority under this paragraph (a)(12) shall be made with the concurrence of the General Counsel or, in his or her absence, a Deputy General Counsel	Any action taken pursuant to the delegation of authority under this paragraph (a)(13) shall be made with the concurrence of the General Counsel or, in their absence, a Deputy General Counsel.
140.91(b)	The Director of the Division of Clearing and Risk and the Director of the Division Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him or her	The Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them
140.92(a)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission's staff acting under his direction as he may designate	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission's staff acting under their direction as they may designate
140.92(b)	The Director of the Division of Clearing and Risk and Division Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him	The Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them
140.92(c)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division
( print page 71815)
140.93 section heading	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
140.93(a)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission's staff acting under his direction as he may designate from time to time	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission's staff acting under their direction as they may designate
140.93(b)	The Director of the Division of Clearing and Risk and Division Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him	The Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them
140.93(c)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk and the Director of the Market Participants Division
140.94 (section heading)	Director of the Division of Swap Dealer and Intermediary Oversight and the Director of the Division of Clearing and Risk	Director of the Market Participants Division and to the Director of the Division of Clearing and Risk
140.94(a)	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	Director of the Market Participants Division and to such members of the Commission's staff acting under their direction as they may designate
140.94(b)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
140.94(c)	under his or her direction as he or she may designate from time to time:	under their direction as they may designate:
140.94(d)	delegated to him or her	delegated to them
140.94(e)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
140.95(a)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight and to such members of the Commission's staff acting under his direction as he may designate	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division and to such members of the Commission's staff acting under their direction as they may designate
140.95(b)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight may submit any matter which has been delegated to him	Director of the Division of Clearing and Risk and the Director of the Market Participants Division may submit any matter which has been delegated to them
140.95(c)	Director of the Division of Clearing and Risk and Division of Swap Dealer and Intermediary Oversight	Director of the Division of Clearing and Risk and to the Director of the Market Participants Division
140.96(a)	Director of the Division of Market Oversight or the Director's designee,	Director of the Division of Market Oversight or the Director's designee, or the Director of the Division of Data or the Director's designee,
140.96(b)	the Director of Swap Dealer and Intermediary Oversight or the Director's designee, and to the Director of the Division of Clearing and Risk or the Director's designee or the Director's designee, with the concurrence of the General Counsel or the General Counsel's designee, the authority to determine to publish, and to publish, in the Federal Register , requests for public comment on proposed exchange and self-regulatory organization rule amendments	the Director of the Market Participants Division or the Director's designee, and to the Director of the Division of Clearing and Risk or the Director's designee, with the concurrence of the General Counsel or the General Counsel's designee, the authority to determine to publish, and to publish, in the Federal Register , requests for public comment on proposed rule amendments by a derivatives clearing organization, designated contract market, swap data repository, swap execution facility, or registered futures association.
140.96(c)	Director of the Division of Swap Dealer and Intermediary Oversight or the Director of the Division of Clearing and Risk	Director of the Market Participants Division or the Director of the Division of Clearing and Risk or the Director of the Division of Data
140.96(d)	Director of the Division of Market Oversight and to the Director of the Division of Swap Dealer and Intermediary Oversight or the Director of the Division of Clearing and Risk	Director of the Division of Market Oversight or to the Director of the Market Participants Division or to the Director of the Division of Clearing and Risk or to the Director of the Division of Data
140.99(a)(5)	Division of Swap Dealer and Intermediary Oversight, the Division of Clearing and Risk or the Division of Market Oversight	Market Participants Division, the Division of Clearing and Risk, the Division of Market Oversight, the Division of Data, or the Office of the General Counsel, or any successor divisions or organizational units, as the context requires
( print page 71816)
140.99(d)(2)(ii)	Director of the Division of Swap Dealer and Intermediary Oversight	Director of the Market Participants Division
140.99(d)(2)(ii)	Director, Division of Clearing and Risk, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Director of the Division of Clearing and Risk at the Commission's Washington, DC headquarters.
140.99(d)(2)(iii)	Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Director of the Market Participants Division at the Commission's Washington, DC headquarters.
140.99(d)(2)(iv)	or [e-mail] (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	or [e-mail] (for a request filed with the Division of Data), or [e-mail] (for a request filed with the Market Participants Division), as appropriate, and a properly signed paper copy of the request must be provided to the Division of Market Oversight, the Division of Data, the Division of Clearing and Risk, or the Market Participants Division, as appropriate, pursuant to paragraphs (d)(2)(i) through (iii) of this section, as applicable, within ten days for purposes of verification of the electronic submission.

55. Section 140.99 is further amended by revising paragraph (d)(2)(i) to read as follows:

§ 140.99

Requests for exemptive, no-action and interpretative letters

* * * * *

(d) * * *

(2)(i)(A) A request for a letter relating to the provisions of the Act or the Commission's rules, regulations, or orders issued thereunder governing designated contract markets, registered swap execution facilities, registered swap data repositories, registered foreign 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, the trading of block trades, or position aggregation treatment shall be filed with the Director, Division of Market Oversight, Commodity Futures Trading Commission, at the Commission's Washington, DC headquarters.

(B) A request for a letter regarding the form and manner of data reporting, data standards for reporting, or the content of any trade report or form to be submitted to the Commission, under Parts 15-20, 43, 45, 46, or 49, shall be filed with the Director, Division of Data at the Commission's Washington, DC headquarters.

* * * * *

PART 142—INDEMNIFICATION OF CFTC EMPLOYEES

56. The authority citation for part 142 continues to read as follows:

Authority: 7 U.S.C. 4a(j).

§ 142.2

[Amended]

57. In § 142.2(d), remove “Office of General Counsel” and add “Office of the General Counsel” in its place.

PART 144—PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN RESPONSE TO SUBPOENAS OR OTHER DEMANDS OF A COURT

58. The authority citation for part 144 continues to read as follows:

Authority: 5 U.S.C. 301; 7 U.S.C. 4a(j) and 12a(5); 31 U.S.C. 9701, unless otherwise noted.

§§ 144.1 and 144.5

[Amended]

59. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
144.1(b)	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters.
144.1(e)	National Futures Association, 200 West Madison Street, Suite 1600, Chicago, Illinois 60606	National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606
144.5(a)	Commission's office in Washington, DC	Commission's Washington, DC headquarters

PART 145—COMMISSION RECORDS AND INFORMATION

60. The authority citation for part 145 continues to read as follows:

Authority: Pub. L. 99-570, 100 Stat. 3207; Pub. L. 89-554, 80 Stat. 383; Pub. L. 90-23, 81 Stat. 54; Pub. L. 98-502, 88 Stat. 1561-1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93-463, 88 Stat. 1389 (5 U.S.C. 4a(j)); Pub. L. 114-185, 130 Stat. 538; unless otherwise noted.

Section 145.5 is also issued under 5 U.S.C. 552, 5 U.S.C. 552b, and secs. 2(a)(11), 4b, 4f, 4g, 5a, 8a, and 17 of the Commodity Exchange Act, 7 U.S.C. 2, 4a(j), 6b, 6f, 6g, 7a, 12a, and 21, as amended, 92 Stat. 865 et seq.; secs. 2(a)(1), 4c(a)-(d), 4d, 4f, 4g, 4k, 4m, 4n, 8a, 15 and 17, Commodity Exchange Act (7 U.S.C. 2, 4, 6c(a)-(d), 6f, 6g, 6k, 6m, 6n, 12a, 19 and 21; 5 U.S.C. 552 and 552b); secs. 2(a)(11) and 8 of the Commodity Exchange Act, 7 U.S.C. 4(j) and 12 (1983); secs. 8a(5) and 19 of the Commodity Exchange Act, as ( print page 71817) amended, 7 U.S.C. 12a(5) and 23 (1982); 5 U.S.C. 552 and 552b.

Section 145.6 is also issued under 7 U.S.C. 2, 4, 6, and 12; secs. 2(a)(1), 4c, 4d, 4e, 4f, 4k, 4m, 4n, 4p, 8, 8a and 19 of the Commodity Exchange Act (7 U.S.C. 2 and 4, 6c, 6d, 6e, 6f, 6k, 6m, 6n, 6p, 12, 12a and 23 (1982)); 5 U.S.C. 552 and 552b.

Section 145.8 is also issued under 7 U.S.C. 4a(j) and 16a as amended by Pub. L. 97-444, 96 Stat. 2294 (1983), and 5 U.S.C. 552, 552a and 552b.

61. In § 145.0, revise paragraph (a) to read as follows:

§ 145.0

Definitions.

* * * * *

(a) FOIA Compliance Staff —refers to the Freedom of Information Act compliance staff assigned to respond to requests for information under the Freedom of Information Act.

* * * * *

§§ 145.2, 145.6, 145.7, 145.8, and 145.9 and Appendix A

[Amended]

62. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
145.2	principal office of the Commission in Washington, DC	Commission's Washington, DC headquarters
145.6(b)(1)	National Futures Association, 200 West Madison Street, Suite 1600, Chicago, Illinois 60606	National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606
145.7(b)	Office of General Counsel	Office of the General Counsel
145.7(c)	Office of General Counsel	Office of the General Counsel
145.7(f)	Office of General Counsel	Office of the General Counsel
145.7(g)	Office of General Counsel	Office of the General Counsel
145.7(h)(1)	Compliance Staff	FOIA compliance staff
145.7(h)(2)	Compliance Staff	FOIA compliance staff
145.7(h)(3)	Office of General Counsel	Office of the General Counsel
145.7(h)(3)	Compliance Staff	FOIA compliance staff
145.7(i)(2)	Office of General Counsel	Office of the General Counsel
145.7(i)(2)	Compliance Staff	FOIA compliance staff
145.7(i)(5)	Office of General Counsel	Office of the General Counsel
145.7(i)(6)	Compliance Staff	FOIA compliance staff
145.7(i)(6)(iii)	Compliance Staff	FOIA compliance staff
145.7(i)(7)	Office of General Counsel	Office of the General Counsel
145.7(j)	Office of General Counsel	Office of the General Counsel
145.7(j)	Compliance Staff	FOIA compliance staff
145.8	Compliance Staff	FOIA compliance staff
145.9(d)(2)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance	Office of the General Counsel at the Commission's Washington, DC headquarters, Attn: FOIA compliance staff
145.9(d)(3)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance	FOIA compliance staff
145.9(d)(7)	Assistant Secretary	FOIA compliance staff
145.9(d)(9)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance or his or her designee	FOIA compliance staff
145.9(d)(9)	Assistant Secretary or his or her designee	FOIA compliance staff
145.9(e)(1)	Assistant Secretary or his or her designee	FOIA compliance staff
145.9(e)(1)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance	FOIA compliance staff
145.9(f)(1)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance or his or her designee	FOIA compliance staff
145.9(f)(2)	Assistant Secretary or his or her designee	FOIA compliance staff
145.9(f)(3)	Assistant Secretary or his or her designee	FOIA compliance staff
145.9(g)(3)	Office of General Counsel	Office of the General Counsel
145.9(g)(3)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance	FOIA compliance staff
145.9(g)(5)	Office of General Counsel	Office of the General Counsel
145.9(g)(7)	Office of General Counsel	Office of the General Counsel
145.9(g)(8)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance	FOIA compliance staff
145.9(g)(10)	The General Counsel or his or here designee	The General Counsel or their designee
145.9(h)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance	FOIA compliance staff
Appendix A introductory text	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	the Commission's Washington, DC headquarters
Appendix A (a) (heading)	Office of External Affairs	Office of Public Affairs
Appendix A, (d) (heading)	Executive Director, Administrative Services Section	Chief Administrative Officer, Division of Administration
Appendix A, (g) (heading)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
Appendix A, (g)	National Futures Association, 200 West Madison Street, Suite 1600, Chicago, Illinois 60606	National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606

( print page 71818)

63. Section 145.6 is further amended by revising paragraph (a) to read as follows:

§ 145.6

Commission offices to contact for assistance; registration records available.

(a) All requests for non-public records shall be made in writing and shall be addressed or otherwise directed to the Office of the General Counsel at the Commission's Washington, DC headquarters, Attn: FOIA Request, or electronically via [e-mail]. Requests for public records directed to a regional office of the Commission pursuant to § 145.2 should be sent to the Eastern Regional Office, Central Regional Office, or Southwestern Regional Office, as applicable.

* * * * *

PART 146—RECORDS MAINTAINED ON INDIVIDUALS

64. The authority citation for part 146 continues to read as follows:

Authority: 88 Stat. 1896 (5 U.S.C. 552a), as amended; 88 Stat. 1389 (7 U.S.C. 4a(j)).

65. In § 146.2, revise paragraph (c) to read as follows:

§ 146.2

Definitions.

* * * * *

(c) The term FOIA compliance staff refers to the Freedom of Information Act compliance staff assigned to respond to requests for information under the Freedom of Information Act;

* * * * *

§§ 146.3, 146.4, 146.5, 146.6, 146.8, 146.9, and 146.11 and Appendix A

[Amended]

66. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
146.3(a)	pertaining to him	pertaining to them
146.3(a)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	FOIA compliance staff in the Office of the General Counsel at the Commission's Washington, DC headquarters and clearly marked “Privacy Act request.”
146.4(b)	Executive Director	General Counsel
146.4(b)	his identity	their identity
146.4(b)	he is familiar with and understands	they are familiar with and understand
146.4(b)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	FOIA compliance staff in the Office of the General Counsel at the Commission's Washington, DC headquarters and clearly marked “Privacy Act request.”
146.5(e)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat	FOIA compliance staff
146.5(f)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	FOIA compliance staff in the Office of the General Counsel at the Commission's Washington, DC headquarters and clearly marked “Privacy Act request.”
146.6(d)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581,	FOIA compliance staff in the Office of the General Counsel at the Commission's Washington, DC headquarters,
146.8(a)	pertaining to him	pertaining to them
146.8(a)	under his name	under their name
146.8(a)	if he believes	if they believe
146.8(a)	the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	the FOIA compliance staff at the Commission's Washington, DC headquarters.
146.8(d)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Chief Privacy Officer at the Commission's Washington, DC headquarters.
146.8(e)	Executive Director	General Counsel
146.8(f)	Executive Director	General Counsel
146.8(g)	Executive Director	General Counsel
146.8(h)	Executive Director	General Counsel
146.9(c)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	General Counsel, Office of the General Counsel at the Commission's Washington, DC headquarters.
146.9(d)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat	General Counsel
146.9(e)(3)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat	Chief Privacy Officer
146.11(b)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Chief Privacy Officer at the Commission's Washington, DC headquarters.
Appendix A, (5)b.	FOI, Privacy and Sunshine Acts compliance staff, Office of Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	FOIA compliance staff at the Commission's Washington, DC headquarters.

( print page 71819)

PART 147—OPEN COMMISSION MEETINGS

67. The authority citation for part 147 continues to read as follows:

Authority: Sec. 3(a), Pub. L. 94-409, 90 Stat. 1241 (5 U.S.C. 552b); sec. 101(a)(11), Pub. L. 93-463, 88 Stat. 1391 (7 U.S.C. 4a(j) (Supp. V, 1975)), unless otherwise noted.

68. In § 147.2, revise paragraph (g) to read as follows:

§ 147.2

Definitions.

* * * * *

(g) The term FOIA Compliance staff refers to the Freedom of Information Act Compliance Staff assigned to respond to requests for information under the Freedom of Information Act.

§§ 147.4, 147.5, 147.6, 147.8, and 147.9

[Amended]

69. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
147.4(d)(1)	, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
147.5(h)	offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Office of the Secretariat at the Commission's Washington, DC headquarters.
147.5(i)	offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Office of the Secretariat at the Commission's Washington, DC headquarters.
147.6(c)	offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Office of the Secretariat at the Commission's Washington, DC headquarters.
147.8(a)	offices of the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Office of the Secretariat at the Commission's Washington, DC headquarters.
147.8(b)(1)	Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance after due consultation with the Office of the Commission's General Counsel and the Director of any affected staff division	Office of the General Counsel in consultation with the Director of any affected staff division
147.9(b)	FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Office of the Secretariat at the Commission's Washington, DC headquarters.

PART 148—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION

70. The authority citation for part 148 continues to read as follows:

Authority: Equal Access to Justice Act, 5 U.S.C. 504(c)(1) and secs. 2(a)(11) and 8a(5) of the Commodity Exchange Act, 7 U.S.C. 4a(j) and 12a(5), unless otherwise noted.

§ 148.30

[Amended]

71. In § 148.30, remove “Executive Director of the Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581,” and add “Executive Director at the Commission's Washington, DC headquarters,” in its place.

PART 149—ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES TRADING COMMISSION

72. The authority citation for part 149 continues to read as follows:

Authority: 29 U.S.C 794, unless otherwise noted.

§ 149.170

[Amended]

73. In § 149.170(c), remove “Equal Employment Opportunity Officer, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581” and add “Equal Employment Opportunity Officer at the Commission's Washington, DC headquarters” in its place.

PART 150—LIMITS ON POSITIONS

74. The authority citation for part 150 continues to read as follows:

Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, and 19, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376 (2010).

§ 150.4

[Amended]

75. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column: ( print page 71820)

Section	Remove	Add
150.4(e)(1)	may designate from time to time	may designate
150.4(e)(2)	may designate from time to time	may designate
150.4(e)(2)	Office of Data and Technology	Division of Data
150.4(e)(3)	Office of Data and Technology	Division of Data

PART 155—TRADING STANDARDS

76. The authority citation for part 155 continues to read as follows:

Authority: 7 U.S.C. 6b, 6c, 6g, 6j and 12a, unless otherwise noted.

§§ 155.3 and 155.4

[Amended]

77. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
155.2(i)(2)	insured	ensured
155.2(i)(2)	insure	ensure
155.3(a)(1)	Insure	Ensure
155.4(a)(1)	Insure	Ensure

PART 160—PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT

78. The authority citation for part 160 continues to read as follows:

Authority: 7 U.S.C. 7b-2 and 12a(5); 15 U.S.C 6801, et seq., and sec. 1093, Pub. L. 111-203, 124 Stat. 1376.

§ 160.30

[Amended]

79. In § 160.30(a), remove “Insure” and add “Ensure” in its place.

PART 162—PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT

80. The authority citation for part 162 continues to read as follows:

Authority: Sec. 1088, Pub. L. 111-203; 124 Stat. 1376 (2010).

§ 162.21

[Amended]

81. In § 162.21(a)(1), remove “Insure” and add “Ensure” in its place.

PART 165—

82. The authority citation for part 165 continues to read as follows:

Authority: 7 U.S.C. 2, 5, 9, 12a(5), 13a, 13a-1, 13b, and 26.

§§ 165.3, 165.7, 165.12, 165.15, and Appendix B

[Amended]

83. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
165.3(a)(2)	Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	Whistleblower Office at the Commission's Washington, DC headquarters.
165.7(b)(1)	to the Commission by mail or fax to Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581,	by mail or fax to the Whistleblower Office at the Commission's Washington, DC headquarters,
165.12(c)	Office of Customer Education and Outreach	Office of Public Affairs.
165.15(a)(2)	Office of General Counsel	Office of the General Counsel
Appendix B under Submission Procedures heading	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
Appendix B, under Submission Procedures heading	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters

PART 170—REGISTERED FUTURES ASSOCIATIONS

84. The authority citation for part 170 continues to read as follows:

Authority: 7 U.S.C. 6d, 6m, 6p, 6s, 12a, and 21.

§§ 170.11 and 170.12

[Amended]

85. For each paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
170.11(a)(5)	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	the Commission's DC headquarters
170.12 (section heading)	Division of Swap Dealer and Intermediary Oversight	Market Participants Division
170.12	Division of Swap Dealer and Intermediary Oversight	Market Participants Division

( print page 71821)

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

86. The authority citation for part 171 continues to read as follows:

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

§§ 171.2, 171.3, 171.8, 171.28, and 171.31

[Amended]

87. For each section and paragraph indicated in the left column of the following table, remove the text in the middle column from wherever it appears in the section or paragraph, and add in its place the text indicated in the right column:

Section	Remove	Add
171.2(c)	Commission's Opinions Section	Office of the General Counsel's Litigation, Enforcement, and Adjudication Section
171.3	principal office	headquarters
171.8(a)	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
171.8(b)	Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581	at the Commission's Washington, DC headquarters
171.28	the Division of Swap Dealer and Intermediary Oversight and the Division of Clearing and Risk or the Division of Market Oversight	the Market Participants Division, the Division of Clearing and Risk, the Division of Market Oversight, or the Division of Data
171.31(a)	the Division of Swap Dealer and Intermediary Oversight, and the Division of Clearing and Risk or the Division of Market Oversight	the Market Participants Division, the Division of Clearing and Risk, the Division of Market Oversight, or the Division of Data