82 FR 3820 - Excepted Service
OFFICE OF PERSONNEL MANAGEMENT Federal Register Volume 82, Issue 8 (January 12, 2017)
Federal Register Volume 82, Issue 8 (January 12, 2017)
| Page Range | 3820-3824 | |
| FR Document | 2017-00576 |
[Federal Register Volume 82, Number 8 (Thursday, January 12, 2017)] [Notices] [Pages 3820-3824] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-00576] ======================================================================= ----------------------------------------------------------------------- OFFICE OF PERSONNEL MANAGEMENT Excepted Service AGENCY: U.S. Office of Personnel Management (OPM). ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: This notice identifies Schedule A, B, and C appointing authorities applicable to a single agency that were established or revoked from July 1, 2016 to July 31, 2016. FOR FURTHER INFORMATION CONTACT: Senior Executive Resources Services, Senior Executive Service and Performance Management, Employee Services, 202-606-2246. SUPPLEMENTARY INFORMATION: In accordance with 5 CFR 213.103, Schedule A, B, and C appointing authorities available for use by all agencies are codified in the Code of Federal Regulations (CFR). Schedule A, B, and C appointing authorities applicable to a single agency are not codified in the CFR, but the Office of Personnel Management (OPM) publishes a notice of agency-specific authorities established or revoked each month in the Federal Register at www.thefederalregister.org/fdsys/. OPM also publishes an annual notice of the consolidated listing of all Schedule A, B, and C appointing authorities, current as of June 30, in the Federal Register. Schedule A No schedule A authorities to report during July 2016. Schedule B No schedule B authorities to report during July 2016. Schedule C The following Schedule C appointing authorities were approved during July 2016. ---------------------------------------------------------------------------------------------------------------- Agency name Organization name Position title Authorization No. Effective date ---------------------------------------------------------------------------------------------------------------- Department of Agriculture....... Office of the Advisor for DA160129 07/08/2016 Secretary. Special Projects. Deputy White House DA160156 07/21/2016 Liaison. Office of the Chief of Staff.... DA160151 07/08/2016 Assistant Secretary for Administration. Office of the Chief Chief of Staff.... DA160153 07/12/2016 Financial Officer. Office of the Legislative DA160128 07/18/2016 Assistant Director. Secretary for Congressional Relations. Office of the Under Chief of Staff.... DA160157 07/22/2016 Secretary for Research, Education, and Economics. Office of the Under Special Advisor... DA160159 07/26/2016 Secretary for Natural Resources and Environment. Department of Commerce.......... Office of the Under Deputy Director, DC160171 07/06/2016 Secretary. Office of Public Affairs. Director of DC160179 07/20/2016 Congressional and Public Affairs. Economics and Senior Advisor.... DC160166 07/07/2016 Statistics Administration. Bureau of Industry Special Assistant. DC160176 07/12/2016 and Security. Office of the Special Assistant. DC160180 07/15/2016 Assistant Secretary for Industry and Analysis. Office of the White Special Advisor... DC160177 07/19/2016 House Liaison. Office of the Chief Special Assistant DC160181 07/21/2016 Financial Officer for and Assistant Administration. Secretary for Administration. Office of the Associate Director DC160188 07/27/2016 Executive Special Advisor... DC160192 07/28/2016 Secretariat. Office of the Special Assistant. DC160189 07/27/2016 Deputy Secretary. Office of Public Press Assistant... DC160197 07/28/2016 Affairs. Department of Defense........... Office of the Under Special Assistant DD160155 07/06/2016 Secretary of for Homeland Defense (Policy). Defense Integration and Defense Support. Special Assistant DD160161 07/18/2016 for Asian and Pacific Security Affairs. [[Page 3821]] Washington Defense Fellow (2) DD160157 07/12/2016 Headquarters DD160158 07/19/2016 Services. Department of the Air Force..... Office of the Special Assistant DF160040 07/13/2016 Secretary. and Speechwriter. Department of the Army.......... Office of the Special Advisor DW160051 07/01/2016 Secretary. for Digital Strategy and Engagement. Director of DW160053 07/08/2016 Strategic Communications for the Secretary of the Army. Office of the Special Advisor DW160050 07/08/2016 Assistant (Manpower and Secretary Army Reserve Affairs). (Manpower and Reserve Affairs). Office of the Special Assistant DW160040 07/12/2016 Assistant (Civil Works) (2). DW160041 07/14/2016 Secretary Army (Civil Works). Office of the Special Assistant. DW160046 07/19/2016 General Counsel. Department of Education......... Office of Planning, Senior Policy DB160105 07/01/2016 Evaluation and Advisor (2). DB160106 07/01/2016 Policy Development. Office of the Special Projects DB160109 07/01/2016 Secretary. Manager. Director of DB160112 07/01/2016 Scheduling and Advance. Special Assistant. DB160110 07/01/2016 Office of Career Policy Analyst.... DB160111 07/01/2016 Technical and Adult Education. Office of the Engagement Manager DB160102 07/05/2016 Deputy Secretary. Office of Deputy Press...... DB160118 07/21/2016 Communications and Outreach. Press Secretary DB160114 07/07/2016 and Strategic Communications Advisor. Confidential DB160113 07/08/2016 Assistant. Office of Confidential DB160116 07/07/2016 Elementary and Assistant. Secondary Education. Office of Special Special Assistant. DB160117 07/15/2016 Education and Rehabilitative Services. Office of the Under Confidential DB160115 07/19/2016 Secretary. Assistant. Office of Senior Policy DB160119 07/26/2016 Innovation and Advisor. Improvement. Chief of Staff.... DB160120 07/29/2016 Department of Energy............ Office of the Senior Advisor for DE160141 07/07/2016 Assistant Intergovernmental Secretary for and External Congressional and Affairs. Intergovernmental Affairs. Office of the Chief Deputy Chief of DE160138 07/13/2016 Information Staff. Officer. Office of the Senior Advisor.... DE160143 07/27/2016 Assistant Secretary for International Affairs. Environmental Protection Agency. Office of Public Press Secretary... EP160047 07/01/2016 Affairs. Deputy Associate EP160048 07/01/2016 Administrator for Public Affairs. Office of the White House EP160050 07/08/2016 Administrator. Liaison. Federal Energy Regulatory Office of the Program Analyst... DR160005 07/1/2016 Commission. General Counsel. Confidential DR160006 07/01/2016 Office of the Assistant. Chairman. Department of Health and Human Office of the Confidential DH160132 07/07/2016 Services. Administration for Assistant. DH160166 07/26/2016 Children and Senior Policy Families. Advisor. Office of the Deputy Press DH160160 07/08/2016 Assistant Secretary. Secretary for Public Affairs. National Press DH160157 07/12/2016 Secretary for Health Care. Communications DH160164 07/21/2016 Director for Human Services. Department of Homeland Security. Office of the Chief Special Assistant. DM160276 07/13/2016 of Staff. Office of the Confidential DM160273 07/20/2016 Secretary. Assistant. Department of Housing and Urban Office of Public Director of DU160040 07/20/2016 Development. Affairs. Speechwriting. DU160043 07/26/2016 Deputy Director of Speechwriting. Special Advisor DU160039 07/28/2016 for Digital Strategy. Department of the Interior...... Bureau of Land Advisor........... DI160079 07/22/2016 Management. Senior Advisor.... DI160082 07/29/2016 Office of the Assistant Secretary--Policy, Management and Budget. Department of Justice........... Office on Violence Advisor........... DJ160141 07/26/2016 Against Women. Department of Labor............. Office of the Counselor......... DL160104 07/06/2016 Solicitor. Office of the Advisor........... DL160103 07/20/2016 Secretary. Office of Management and Budget. Office of Deputy............ BO160045 07/12/2016 Legislative Affairs. Office of National Drug Control Office of Senior Legislative QQ160005 07/20/2016 Policy. Legislative and Policy Affairs. Advisor. [[Page 3822]] Office of the United States Office of Public Deputy Press TN160008 07/21/2016 Trade Representative. and Media Affairs. Secretary and Director of Press Operations. Department of State............. Bureau of Economic Special Assistant. DS160116 07/08/2016 and Business Affairs. Bureau of Legislative DS160119 07/08/2016 Legislative Management Affairs. Officer. Office of the Senior Advisor.... DS160120 07/20/2016 Global Women's Staff Assistant... DS160127 07/29/2016 Issues. Office of Global Special Assistant. DS160121 07/21/2016 Food Security. Office of the Chief Protocol Officer DS160126 07/27/2016 of Protocol. (Visits). Department of Transportation.... Office of the Associate Director DT160071 07/20/2016 Assistant for Public Secretary for Engagement. Transportation Policy. Deputy Director DT160072 07/20/2016 for Public Engagement. Office of the Senior Advisor.... DT160074 07/21/2016 Administrator. Department of the Treasury...... Office of the Spokesperson (2).. DY160102 07/05/2016 Assistant DY160107 07/21/2016 Secretary (Public Affairs). Office of the Director of DY160103 07/07/2016 Secretary of the Scheduling, Treasury. Advance and Administration. Senior Advisor.... DY160116 07/26/2016 Office of the Under Special Assistant. DY160109 07/18/2016 Secretary for International Affairs. Office of the Under Executive DY160112 07/21/2016 Secretary for Assistant. Domestic Finance. Office of the Special Assistant. DY160115 07/21/2016 Assistant Secretary for Management. Office of the Senior Advisor.... DY160108 07/27/2016 Assistant Secretary (Economic Policy). Department of Veterans Affairs.. Office of the Director, Special DV160060 07/06/2016 Secretary and Projects, Deputy. Strategic Partnerships. Office of Special Assistant. DV160065 07/22/2016 Intergovernmental Affairs. Office of Public Deputy Press DV160066 07/22/2016 Affairs. Secretary. ---------------------------------------------------------------------------------------------------------------- The following Schedule C appointing authorities were revoked during July 2016. ---------------------------------------------------------------------------------------------------------------- Agency name Organization name Position title Authorization No. Vacate date ---------------------------------------------------------------------------------------------------------------- Department of Agriculture....... Office of the Under Special Advisor... DA150192 07/09/2016 Secretary for Rural Development. Office of the Under Special Assistant. DA160004 07/27/2016 Secretary for Research, Education, and Economics. Natural Resources Senior Advisor.... DA130121 07/29/2016 Conservation Service. Rural Housing State Director-- DA130130 07/31/2016 Service. Kansas. Department of Commerce.......... Office of Public Senior Public DC160008 07/08/2016 Affairs. Affairs Coordinator. Office of the Special Assistant. DC150104 07/08/2016 Deputy Secretary. Office of the Under Senior Advisor.... DC160148 07/17/2016 Secretary. Office of the Associate Director DC150121 07/22/2016 Executive Secretariat. Office of the Chief Confidential DC150105 07/29/2016 of Staff. Assistant. Office of the Secretary of Office of the Special Assistant DD150126 07/09/2016 Defense. Assistant to the Deputy Secretary of Assistant Defense Secretary of (International Defense for Security Affairs). Middle East. Office of the Chief of Staff to DD150067 07/09/2016 Assistant of Deputy Assistant Defense (Special Secretary of Operations/Low Defense for Intensity Conflict Stability and and Interdependent Humanitarian Capabilities). Affairs. Office of the Special Assistant DD130028 07/10/2016 Assistant to the Deputy Secretary of Assistant Defense (Global Secretary of Strategic Affairs). Defense for Cyber Policy. Office of the Special Counsel to DD150044 07/23/2016 General Counsel. the General Counsel. Washington Defense Fellow.... DD150062 07/23/2016 Headquarters Services. Office of the Special Assistant DD150120 07/24/2016 Assistant to Assistant Secretary of Secretary of Defense (Asian and Defense for Asian Pacific Security and Pacific Affairs). Security Affairs. Department of Education......... Office of the Director of DB160037 07/01/2016 Secretary. Scheduling and Advance. [[Page 3823]] Special Advisor to DB160038 07/09/2016 the Chief of Staff. Office of Strategic Advisor. DB160019 07/09/2016 Innovation and Improvement. Office of Press Secretary... DB150012 07/15/2016 Communication and Outreach. Department of Energy............ Office of the Legislative DE150034 07/15/2016 Assistant Affairs Secretary for Specialist. Congressional and Intergovernmental Affairs. Environmental Protection Agency. Office of Public Deputy Press EP150048 07/09/2016 Affairs. Secretary. Federal Energy Regulatory Office of the Program Analyst... DR150004 07/05/2016 Commission. Chairman. General Services Administration. Office of Citizen Program Director, GS140040 07/05/2016 Services, Presidential Innovative Innovation Technologies and Fellows. 18F. Public Building Special Assistant. GS150008 07/05/2016 Service. Department of Health and Human Centers for Special Assistant. DH160004 07/01/2016 Services. Medicare and Medicaid Services. Office of the Confidential DH150173 07/09/2016 Assistant Assistant. Secretary for Public Affairs. Office of Public Special Assistant. DH110110 07/23/2016 Affairs. Department of Homeland Security. Office of the Special Assistant, DM160248 07/01/2016 Assistant Office of Policy. Secretary for Policy. Office of the Under Confidential DM160243 07/01/2016 Secretary For Assistant. National Protection and Programs Directorate. Federal Emergency Special Assistant. DM150263 07/29/2016 Management Agency. Office of the Confidential DM150199 07/29/2016 Assistant Assistant to the Secretary for Assistant Public Affairs. Secretary for Public Affairs. Department of Housing and Urban Office of Public Deputy Assistant DU150072 07/01/2016 Development. Affairs. Secretary for Public Affairs. Office of Policy Financial Analyst DU140027 07/15/2016 Development and For Housing Research. Finance. Department of the Interior...... United States Confidential DI140050 07/09/2016 Geological Survey. Assistant. Department of Justice........... Office of Public Public Affairs DJ150116 07/16/2016 Affairs. Specialist. National Endowment for the Arts. Office of the Director of NA140003 07/07/2016 Chairman. Congressional Affairs. National Endowment for the Office of the White House NH150004 07/16/2016 Humanities. Chairman. Liaison and Chairman's Strategic Scheduler. Securities and Exchange Office of the Confidential SE110005 07/24/2016 Commission. Chairman. Assistant. Department of State............. Bureau of Economic Special Assistant. DS150077 07/09/2016 and Business Affairs. Staff Assistant... DS120122 07/09/2016 Department of Transportation.... Office of the Director of State DT150037 07/15/2016 Assistant and Local Secretary for Governmental Governmental Affairs. Affairs. Director of DT160018 07/23/2016 Governmental Affairs, Budget and Programs. Office of the Associate Director DT150045 07/23/2016 Assistant for Public Secretary for Engagement. Transportation Policy. Department of the Treasury...... Office of the Special Assistant. DY140116 07/01/2016 Secretary of the Treasury. Office of the Spokesperson (2).. DY150111 07/02/2016 Assistant DY140113 07/09/2016 Secretary (Public Affairs). Office of the Director of DY150103 07/09/2016 Secretary of the Scheduling, Treasury. Advance and Administration. Office of the Under Senior Advisor.... DY140012 07/09/2016 Secretary for Terrorism and Financial Intelligence. Office of the Under Senior Advisor.... DY140016 07/16/2016 Secretary for Domestic Finance. United States Mint. Senior Advisor.... DY160036 07/23/2016 United States International Office of Staff Assistant TC070012 07/20/2016 Trade Commission. Commissioner (Legal). Pinkert. ---------------------------------------------------------------------------------------------------------------- [[Page 3824]] Authority: 5 U.S.C. 3301 and 3302; E.O. 10577, 3 CFR, 1954-1958 Comp., p. 218. U.S. Office of Personnel Management. Beth F. Cobert, Acting Director. [FR Doc. 2017-00576 Filed 1-11-17; 8:45 am] BILLING CODE 6325-39-P
![3820 Federal Register / Vol. 82, No. 8 / Thursday, January 12, 2017 / Notices
all participants who have submitted a democracies for environmentally sound Performance Management, Employee
timely request an opportunity to be projects that confer positive Services, 202–606–2246.
heard. developmental benefits upon the project SUPPLEMENTARY INFORMATION: In
Participants wishing to submit a country while creating employment in accordance with 5 CFR 213.103,
written statement for the record must the U.S. OPIC is required by section Schedule A, B, and C appointing
submit a copy of such statement to 231A(c) of the Foreign Assistance Act of authorities available for use by all
OPIC’s Corporate Secretary no later than 1961, as amended (the ‘‘Act’’) to hold at agencies are codified in the Code of
5 p.m. Friday, February 24, 2017. Such least one public hearing each year. Federal Regulations (CFR). Schedule A,
statement must be typewritten, double- Dated: January 9, 2017. B, and C appointing authorities
spaced, and may not exceed twenty-five applicable to a single agency are not
Catherine F.I. Andrade,
(25) pages. codified in the CFR, but the Office of
Upon receipt of the required notice, OPIC Corporate Secretary.
[FR Doc. 2017–00600 Filed 1–10–17; 11:15 am]
Personnel Management (OPM)
OPIC will prepare an agenda for the publishes a notice of agency-specific
hearing identifying speakers, setting BILLING CODE 3210–01–P
authorities established or revoked each
forth the subject on which each month in the Federal Register at
participant will speak, and the time www.gpo.gov/fdsys/. OPM also
allotted for each presentation. The publishes an annual notice of the
agenda will be available at the hearing. OFFICE OF PERSONNEL
MANAGEMENT consolidated listing of all Schedule A,
A written summary of the hearing will
B, and C appointing authorities, current
be compiled, and such summary will be
Excepted Service as of June 30, in the Federal Register.
made available, upon written request to
OPIC’s Corporate Secretary, at the cost AGENCY: U.S. Office of Personnel Schedule A
of reproduction. Management (OPM). No schedule A authorities to report
CONTACT PERSON FOR INFORMATION: ACTION: Notice. during July 2016.
Information on the hearing may be
obtained from Catherine F. I. Andrade at SUMMARY: This notice identifies Schedule B
(202) 336–8768, or via email at Schedule A, B, and C appointing No schedule B authorities to report
catherine.andrade@opic.gov. authorities applicable to a single agency during July 2016.
SUPPLEMENTARY INFORMATION: OPIC is a that were established or revoked from
U.S. Government agency that provides, July 1, 2016 to July 31, 2016. Schedule C
on a commercial basis, political risk FOR FURTHER INFORMATION CONTACT: The following Schedule C appointing
insurance and financing in friendly Senior Executive Resources Services, authorities were approved during July
developing countries and emerging Senior Executive Service and 2016.
Authorization
Agency name Organization name Position title Effective date
No.
Department of Agriculture .............. Office of the Secretary ................... Advisor for Special Projects ........... DA160129 07/08/2016
Deputy White House Liaison ......... DA160156 07/21/2016
Office of the Assistant Secretary Chief of Staff .................................. DA160151 07/08/2016
for Administration.
Office of the Chief Financial Officer Chief of Staff .................................. DA160153 07/12/2016
Office of the Assistant Secretary Legislative Director ........................ DA160128 07/18/2016
for Congressional Relations.
Office of the Under Secretary for Chief of Staff .................................. DA160157 07/22/2016
Research, Education, and Eco-
nomics.
Office of the Under Secretary for Special Advisor .............................. DA160159 07/26/2016
Natural Resources and Environ-
ment.
Department of Commerce .............. Office of the Under Secretary ........ Deputy Director, Office of Public DC160171 07/06/2016
Affairs.
Director of Congressional and DC160179 07/20/2016
Public Affairs.
Economics and Statistics Adminis- Senior Advisor ................................ DC160166 07/07/2016
tration.
Bureau of Industry and Security .... Special Assistant ............................ DC160176 07/12/2016
Office of the Assistant Secretary Special Assistant ............................ DC160180 07/15/2016
for Industry and Analysis.
Office of the White House Liaison Special Advisor .............................. DC160177 07/19/2016
Office of the Chief Financial Officer Special Assistant for Administra- DC160181 07/21/2016
and Assistant Secretary for Ad- tion.
ministration.
Office of the Executive Secretariat Associate Director .......................... DC160188 07/27/2016
mstockstill on DSK3G9T082PROD with NOTICES
Special Advisor .............................. DC160192 07/28/2016
Office of the Deputy Secretary ...... Special Assistant ............................ DC160189 07/27/2016
Office of Public Affairs ................... Press Assistant .............................. DC160197 07/28/2016
Department of Defense .................. Office of the Under Secretary of Special Assistant for Homeland DD160155 07/06/2016
Defense (Policy). Defense Integration and De-
fense Support.
Special Assistant for Asian and DD160161 07/18/2016
Pacific Security Affairs.
VerDate Sep<11>2014 18:28 Jan 11, 2017 Jkt 241001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\12JAN1.SGM 12JAN1](https://thefederalregister.org/doc/82_FR_3828/page/1.svg)
![3824 Federal Register / Vol. 82, No. 8 / Thursday, January 12, 2017 / Notices
Authority: 5 U.S.C. 3301 and 3302; E.O. II. Self-Regulatory Organization’s respect to security-based swaps, thereby
10577, 3 CFR, 1954–1958 Comp., p. 218. U.S. Statement of the Purpose of, and helping to avoid undue market
Office of Personnel Management. Statutory Basis for, the Proposed Rule disruptions resulting from the change to
Change the definition of ‘‘security’’ under the
Beth F. Cobert,
In its filing with the Commission, Act.8
Acting Director. The Commission, noting the need to
[FR Doc. 2017–00576 Filed 1–11–17; 8:45 am] FINRA included statements concerning
avoid a potential unnecessary
the purpose of and basis for the
BILLING CODE 6325–39–P disruption to the security-based swap
proposed rule change and discussed any
market in the absence of an extension of
comments it received on the proposed the Temporary Exemptions, and the
rule change. The text of these statements need for additional time to consider the
may be examined at the places specified potential impact of the revision of the
SECURITIES AND EXCHANGE
in Item IV below. FINRA has prepared Exchange Act definition of ‘‘security’’ in
COMMISSION
summaries, set forth in sections A, B, light of ongoing Commission
and C below, of the most significant rulemaking efforts under Title VII of the
[Release No. 34–79752; File No. SR–FINRA– aspects of such statements.
2017–001] Dodd-Frank Act, issued an Order which
A. Self-Regulatory Organization’s extended and refined the applicable
Self-Regulatory Organizations; Statement of the Purpose of, and expiration dates for the previously
Financial Industry Regulatory Statutory Basis for, the Proposed Rule granted Temporary Exemptions.9 The
Authority, Inc.; Notice of Filing and Change Commission previously noted that
Immediate Effectiveness of a Proposed extending the Temporary Exemptions
1. Purpose would facilitate a coordinated
Rule Change To Extend the Expiration
Date of FINRA Rule 0180 (Application On July 1, 2011, the SEC issued an consideration of these issues with the
of Rules to Security-Based Swaps) Order granting temporary exemptive
relief (the ‘‘Temporary Exemptions’’) limited application by their terms. For more
information about the rulebook consolidation
January 6, 2017. from compliance with certain process, see Information Notice, March 12, 2008
Pursuant to Section 19(b)(1) of the provisions of the Exchange Act in (Rulebook Consolidation Process).
Securities Exchange Act of 1934 connection with the revision, pursuant 8 In its Exemptive Release, the Commission noted
to Title VII of the Dodd-Frank Wall that the relief is targeted and does not include, for
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2 instance, relief from the Act’s antifraud and anti-
Street Reform and Consumer Protection
notice is hereby given that on January 5, manipulation provisions. FINRA has noted that
Act (the ‘‘Dodd-Frank Act’’),4 of the FINRA Rule 0180 is similarly targeted. For instance,
2017, Financial Industry Regulatory
Exchange Act definition of ‘‘security’’ to paragraph (a) of FINRA Rule 0180 provides that
Authority, Inc. (‘‘FINRA’’) filed with the FINRA rules shall not apply to members’ activities
encompass security-based swaps.5
Securities and Exchange Commission and positions with respect to security-based swaps,
Consistent with the Commission’s except for FINRA Rules 2010 (Standards of
(‘‘SEC’’ or ‘‘Commission’’) the proposed
action, on July 8, 2011, FINRA filed for Commercial Honor and Principles of Trade), 2020
rule change as described in Items I, II, immediate effectiveness FINRA Rule (Use of Manipulative, Deceptive or Other
and III below, which Items have been 0180,6 which, with certain exceptions, Fraudulent Devices), 3310 (Anti-Money Laundering
prepared by FINRA. FINRA has is intended to temporarily limit the
Compliance Program) and 4240 (Margin
Requirements for Credit Default Swaps). See also
designated the proposed rule change as application of FINRA rules 7 with paragraphs (b) and (c) of FINRA Rule 0180
constituting a ‘‘non-controversial’’ rule (addressing the applicability of additional rules)
change under paragraph (f)(6) of Rule 4 Public Law 111–203, 124 Stat. 1376 (2010). and FINRA Rule 0180 Notice of Filing.
9 See Securities Exchange Act Release No. 71485
19b–4 under the Act,3 which renders 5 See Securities Exchange Act Release No. 64795
(February 5, 2014), 79 FR 7731 (February 10, 2014)
the proposal effective upon receipt of (July 1, 2011), 76 FR 39927 (July 7, 2011) (Order
(Order Extending Temporary Exemptions Under the
this filing by the Commission. The Granting Temporary Exemptions Under the
Securities Exchange Act of 1934 in Connection Securities Exchange Act of 1934 in Connection
Commission is publishing this notice to With the Pending Revision of the Definition of With the Revision of the Definition of ‘‘Security’’
solicit comments on the proposed rule ‘‘Security’’ To Encompass Security-Based Swaps, to Encompass Security-Based Swaps, and Request
and Request for Comment) (the ‘‘Exemptive for Comment) (‘‘Temporary Exemptions Extension
change from interested persons. Release’’) stating that, for those expiring Temporary
Release’’). The term ‘‘security-based swap’’ is
Exemptions ‘‘that are not directly linked to pending
I. Self-Regulatory Organization’s defined in Section 761 of the Dodd-Frank Act. See
security-based swap rulemakings, the Commission
Statement of the Terms of Substance of also Securities Exchange Act Release No. 67453
is extending the expiration date until the earlier of
(July 18, 2012), 77 FR 48207 (August 13, 2012)
the Proposed Rule Change (Further Definition of ‘‘Swap,’’ ‘‘Security-Based
such time as the Commission issues an order or rule
determining whether any continuing exemptive
Swap,’’ and ‘‘Security-Based Swap Agreement’’;
FINRA is proposing to extend the relief is appropriate for security-based swap
Mixed Swaps; Security-Based Swap Agreement
activities with respect to any of these Exchange Act
expiration date of FINRA Rule 0180 Recordkeeping).
provisions or until three years following the
6 See Securities Exchange Act Release No. 64884
(Application of Rules to Security-Based effective date of this Order.’’ The Temporary
(July 14, 2011), 76 FR 42755 (July 19, 2011) (Notice
Swaps) to February 12, 2018. FINRA of Filing and Immediate Effectiveness of Proposed
Exemptions Extension Release further stated that
for each expiring Temporary Exemption ‘‘that is
Rule 0180 temporarily limits, with Rule Change; File No. SR–FINRA–2011–033) related to pending security-based swap
certain exceptions, the application of (‘‘FINRA Rule 0180 Notice of Filing’’). See also rulemakings, the Commission is extending the
FINRA rules with respect to security- Securities Exchange Act Release No. 76850 (January expiration date until the compliance date for the
7, 2016), 81 FR 1666 (January 13, 2016) (Notice of related security-based swap-specific rulemaking.’’
based swaps. Filing and Immediate Effectiveness of Proposed See also Securities Exchange Act Release No. 71482
The text of the proposed rule change Rule Change; File No. SR–FINRA–2016–001) (February 5, 2014), 79 FR 7570 (February 10, 2014)
(extending the expiration date of FINRA Rule 0180 (Extension of Exemptions for Security-Based
is available on FINRA’s Web site at
mstockstill on DSK3G9T082PROD with NOTICES
to February 11, 2017). Swaps) (extending the expiration dates in interim
http://www.finra.org, at the principal 7 The current FINRA rulebook consists of: (1)
final rules that provide exemptions under the
office of FINRA and at the FINRA Rules; (2) NASD Rules; and (3) rules Securities Act of 1933 (the ‘‘Securities Act’’), the
Commission’s Public Reference Room. incorporated from NYSE (‘‘Incorporated NYSE Exchange Act, and the Trust Indenture Act of 1939
Rules’’). While the NASD Rules generally apply to for those security-based swaps that prior to July 16,
all FINRA members, the Incorporated NYSE Rules 2011 were security-based swap agreements and are
1 15 U.S.C. 78s(b)(1). apply only to those members of FINRA that are also defined as ‘‘securities’’ under the Securities Act and
2 17 CFR 240.19b–4. members of the NYSE. The FINRA Rules apply to the Exchange Act as of July 16, 2011 due solely to
3 17 CFR 240.19b–4(f)(6). all FINRA members, unless such rules have a more the provisions of Title VII of the Dodd-Frank Act).
VerDate Sep<11>2014 18:28 Jan 11, 2017 Jkt 241001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\12JAN1.SGM 12JAN1](https://thefederalregister.org/doc/82_FR_3828/page/5.svg)
Document Created: 2017-03-21 14:40:44
Document Modified: 2017-03-21 14:40:44
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice. | |
| Contact | Senior Executive Resources Services, Senior Executive Service and Performance Management, Employee Services, 202-606-2246. | |
| FR Citation | 82 FR 3820 |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR