Voglio sapere a riguardo di…

Federal Register / Vol. 86, No. 29 / Tuesday, February 16, 2021 / Rules and Regulations II. Administrative Law Matters
List of Subjects in 17 CFR Part 200

200.11 Headquarters OfficeRegional Office relationships.

The Commission finds, in accordance with the Administrative Procedure Act APA, that these amendments relate solely to agency organization, procedure, or practice.92 Accordingly, the APAs provisions regarding notice of rulemaking and opportunity for public comment are not applicable. These changes are therefore effective on February 16, 2021. In accord with the APA, we find that there is good cause to establish an effective date less than 30 days after publication of these rules.93 These rules do not substantially affect the rights or obligations of nonagency parties and pertain to increasing efficiency of internal Commission operations. For the same reasons, the provisions of the Small Business Regulatory Enforcement Fairness Act are not applicable.94 Additionally, the provisions of the Regulatory Flexibility Act,95 which apply only when notice and comment are required by the APA
or other law, are not applicable.96 These amendments do not contain any collection of information requirements as defined by the Paperwork Reduction Act of 1995.97 Further, because these amendments impose no new burdens on private parties, the Commission does not believe that the amendments will have any impact on competition for purposes of section 23a2 of the Exchange Act.98

Administrative practice and procedure, Authority delegations Government agencies.

a
2 Each Regional Director is responsible for the direction and supervision of the Regional Directors work force and for the execution of all programs in the Regional Directors offices region as shown in paragraph b of this section, in accordance with established policy, and reports, on enforcement matters, to the Director or Deputy Director of the Division of Enforcement who is responsible for Regional Office enforcement matters and, on examination matters, to the Director of the Division of Examinations.

4. Section 200.13 is amended by revising paragraphs a, d1, e, and f to read as follows:

III. Statutory Authority This rule is adopted pursuant to statutory authority granted to the Commission, including section 19 of the Securities Act of 1933, 15 U.S.C. 77s;
sections 4A, 4B, and 23 of the Exchange Act, 15 U.S.C. 78d1, 78d2, and 78w;
section 38 of the Investment Company Act of 1940, 15 U.S.C. 80a37; section 211 of the Investment Advisers Act of 1940, 15 U.S.C. 80b11; and section 3 of the Sarbanes-Oxley Act of 2002, 15
U.S.C. 7202.

khammond on DSKJM1Z7X2PROD with RULES

9441

Article 27; Article 301; Article 303; Article 30
3a; Article 305; Article 306; Article 307; Article 3010; Article 3011; Article 3013; Article 3014;
Article 3015; Article 3018. In addition, we are correcting certain outdated statutory references.
Article 301; Article 302; Article 303; Article 30
5; Article 306; Article 307; Article 3010.
92 5 U.S.C. 553b3A.
93 5. U.S.C. 553d.
94 See 5 U.S.C. 8043C the term rule does not include any rule of agency organization, procedure, or practice that does not substantially affect the rights or obligations of non-agency parties.
95 5 U.S.C. 60 et seq.
96 See 5 U.S.C. 6012.
97 See 5 CFR 1320.3.
98 15 U.S.C. 78wa2.

VerDate Sep<11>2014

15:57 Feb 12, 2021

Jkt 253001

Text of Rule Amendments For the reasons set out in the preamble, the Commission is amending title 17, chapter II of the Code of Federal Regulations as follows:
PART 200ORGANIZATION;
CONDUCT AND ETHICS; AND
INFORMATION AND REQUESTS
Subpart AOrganization and Program Management 1. The authority citation for part 200, subpart A, continues to read in part as follows:

Authority: 15 U.S.C. 77c, 77o, 77s, 77z 3, 77sss, 78d, 78d1, 78d2, 78o4, 78w, 78lld, 78mm, 80a37, 80b11, 7202, and 7211 et seq., unless otherwise noted.

Sections 200.27 and 200.306 are also issued under 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77q, 77u, 78e, 78g, 78h, 78i, 78k, 78m, 78o, 78o4, 78q, 78q1, 78t1, 78u, 77hhh, 77uuu, 80a41, 80b5, and 80b9.
Section 200.301 is also issued under 15
U.S.C. 77f, 77g, 77h, 77j, 78cb 78l, 78m, 78n, 78od.
Section 200.303 is also issued under 15
U.S.C. 78b, 78d, 78f, 78k1, 78q, 78s, and 78eee.
Section 200.305 is also issued under 15
U.S.C. 77f, 77g, 77h, 77j, 78cb, 78l, 78m, 78n, 78od, 80a8, 80a20, 80a24, 80a29, 80b3, 80b4.

2. Section 200.10 is revised to read as follows:

200.10

The Commission.

The Commission is composed of five members, not more than three of whom may be members of the same political party. The members are appointed by the President, with the advice and consent of the Senate, for 5-year terms, one term ending each year. The Chairman is designated by the President pursuant to the provisions of section 3
of Reorganization Plan No. 10 of 1950 3
CFR, 19491953 Comp., p. 1006. The terms Chair, Chairperson, Chairman, Chairwoman, and the like may be used interchangeably. The Commission is assisted by a staff, which includes lawyers, accountants, engineers, financial security analysts, investigators, and examiners, as well as administrative and clerical employees.
3. Section 200.11 is amended by revising paragraph a2 to read as follows:

PO 00000

Frm 00009

Fmt 4700

Sfmt 4700

200.13

Chief Operating Officer.

a The Chief Operating Officer is responsible for developing and executing the overall management policies of the Commission for all its operating divisions and staff offices. The Chief Operating Officer also provides executive direction to, and exercises administrative control over, the Office of Human Resources, the Office of Acquisitions, the Office of Financial Management, the Office of Support Operations, the EDGAR Business Office, and the Office of Information Technology.

d
1 Implementing the goals of the Chairman and the mission of the Commission;

e Overseeing Commission-specific application of performance measures, procurement reforms, personnel reductions, financial management improvements, telecommunications and information technology policies, and other Government-wide systems reforms; and f Reforming the Commissions management practices.
5. Section 200.13a is amended by revising paragraphs a and c to read as follows:
200.13a The Secretary of the Commission.

a The Secretary of the Commission is responsible for the preparation of the daily and weekly agendas of Commission business; the orderly and expeditious flow of business at formal Commission meetings; the maintenance of the Official Minute record of all actions of the Commission; and the
E:FRFM16FER1.SGM

16FER1