This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents. Prices of
new books are listed in the first FEDERAL
REGISTER issue of each week.
Rules and Regulations Federal Register
5223
Vol. 79, No. 21
Friday, January 31, 2014
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
12 CFR Part 44
[Docket No. OCC–2014–0003]
RIN 1557–AD79
BOARD OF GOVERNORS OF THE
FEDERAL RESERVE SYSTEM
12 CFR Part 248
[Docket No. R–1480]
RIN 7100 AE–11
FEDERAL DEPOSIT INSURANCE
CORPORATION
12 CFR Part 351
RIN 3064–AE11
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 255
[Release No. BHCA–2]
RIN 3235–AL52
COMMODITY FUTURES TRADING
COMMISSION
17 CFR Part 75
RIN 3038–AE13
Treatment of Certain Collateralized
Debt Obligations Backed Primarily by
Trust Preferred Securities With Regard
to Prohibitions and Restrictions on
Certain Interests in, and Relationships
With, Hedge Funds and Private Equity
Funds
AGENCY: Office of the Comptroller of the
Currency, Treasury (‘‘OCC’’); Board of
Governors of the Federal Reserve
System (‘‘Board’’); Federal Deposit
Insurance Corporation (‘‘FDIC’’);
Commodity Futures Trading
Commission (‘‘CFTC’’) and Securities
and Exchange Commission (‘‘SEC’’).
ACTION: Interim final rule.
SUMMARY: The OCC, Board, FDIC, CFTC
and SEC (individually, an ‘‘Agency,’’
and collectively, ‘‘the Agencies’’) are
each adopting a common interim final
rule that would permit banking entities
to retain investments in certain pooled
investment vehicles that invested their
offering proceeds primarily in certain
securities issued by community banking
organizations of the type grandfathered
under section 171 of the Dodd-Frank
Wall Street Reform and Consumer
Protection Act (‘‘Dodd-Frank Act’’). The
interim final rule is a companion rule to
the final rules adopted by the Agencies
to implement section 13 of the Bank
Holding Company Act of 1956 (‘‘BHC
Act’’), which was added by section 619
of the Dodd-Frank Act.
DATES: Effective date: The interim final
rule is effective on April 1, 2014.
Comment date: Comments on the
interim final rule should be received on
or before March 3, 2014.
ADDRESSES: Interested parties are
encouraged to submit written comments
jointly to all of the Agencies.
Commenters are encouraged to use the
title ‘‘Treatment of Certain
Collateralized Debt Obligations Backed
Primarily by Trust Preferred Securities
with Regard to Prohibitions and
Restrictions on Certain Interests in, and
Relationships with, Hedge Funds and
Private Equity Funds’’ to facilitate the
organization and distribution of
comments among the Agencies.
Office of the Comptroller of the
Currency: Because paper mail in the
Washington, DC area and at the OCC is
subject to delay, commenters are
encouraged to submit comments by the
Federal eRulemaking Portal or email, if
possible. Please use the title ‘‘Treatment
of Certain Collateralized Debt
Obligations Backed Primarily by Trust
Preferred Securities with Regard to
Prohibitions and Restrictions on Certain
Interests in, and Relationships with,
Hedge Funds and Private Equity Funds’’
to facilitate the organization and
distribution of the comments. You may
submit comments by any of the
following methods:
• Federal eRulemaking Portal—
‘‘Regulations.gov’’: Go to http://
www.regulations.gov. Enter ‘‘Docket ID
OCC–2014–0003’’ in the Search Box and
click ‘‘Search.’’ Results can be filtered
using the filtering tools on the left side
of the screen. Click on ‘‘Comment Now’’
to submit public comments.
• Click on the ‘‘Help’’ tab on the
Regulations.gov home page to get
information on using Regulations.gov,
including instructions for submitting or
viewing public comments, viewing
other supporting and related materials,
and viewing the docket after the close
of the comment period.
• Email: regs.comments@
occ.treas.gov.
• Mail: Legislative and Regulatory
Activities Division, Office of the
Comptroller of the Currency, 400 7th
Street SW., Suite 3E–218, Mail Stop
9W–11, Washington, DC 20219.
• Fax: (571) 465–4326.
• Hand Delivery/Courier: 400 7th
Street SW., Suite 3E–218, Mail Stop
9W–11, Washington, DC 20219.
Instructions: You must include
‘‘OCC’’ as the agency name and ‘‘Docket
ID ‘‘OCC–2014–0003’’ in your comment.
In general, OCC will enter all comments
received into the docket and publish
them on the Regulations.gov Web site
without change, including any business
or personal information that you
provide such as name and address
information, email addresses, or phone
numbers. Comments received, including
attachments and other supporting
materials, are part of the public record
and subject to public disclosure. Do not
enclose any information in your
comment or supporting materials that
you consider confidential or
inappropriate for public disclosure.
You may review comments and other
related materials that pertain to this
proposed rulemaking by any of the
following methods:
• Viewing Comments Electronically:
Go to http://www.regulations.gov. Select
‘‘Document Type’’ of ‘‘Public
Submissions,’’ and in the ‘‘Enter
Keyword or ID Box,’’ enter Docket ID
‘‘OCC–2014–0003,’’ and click ‘‘Search.’’
Comments can be filtered by Agency
using the filtering tools on the left side
of the screen.
• Click on the ‘‘Help’’ tab on the
Regulations.gov home page to get
information on using Regulations.gov,
including instructions for viewing
public comments, viewing other
supporting and related materials, and
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emcdonald on DSK67QTVN1PROD with RULES
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents. Prices of
new books are listed in the first FEDERAL
REGISTER issue of each week.
Rules and Regulations Federal Register
5223
Vol. 79, No. 21
Friday, January 31, 2014
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
12 CFR Part 44
[Docket No. OCC–2014–0003]
RIN 1557–AD79
BOARD OF GOVERNORS OF THE
FEDERAL RESERVE SYSTEM
12 CFR Part 248
[Docket No. R–1480]
RIN 7100 AE–11
FEDERAL DEPOSIT INSURANCE
CORPORATION
12 CFR Part 351
RIN 3064–AE11
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 255
[Release No. BHCA–2]
RIN 3235–AL52
COMMODITY FUTURES TRADING
COMMISSION
17 CFR Part 75
RIN 3038–AE13
Treatment of Certain Collateralized
Debt Obligations Backed Primarily by
Trust Preferred Securities With Regard
to Prohibitions and Restrictions on
Certain Interests in, and Relationships
With, Hedge Funds and Private Equity
Funds
AGENCY: Office of the Comptroller of the
Currency, Treasury (‘‘OCC’’); Board of
Governors of the Federal Reserve
System (‘‘Board’’); Federal Deposit
Insurance Corporation (‘‘FDIC’’);
Commodity Futures Trading
Commission (‘‘CFTC’’) and Securities
and Exchange Commission (‘‘SEC’’).
ACTION: Interim final rule.
SUMMARY: The OCC, Board, FDIC, CFTC
and SEC (individually, an ‘‘Agency,’’
and collectively, ‘‘the Agencies’’) are
each adopting a common interim final
rule that would permit banking entities
to retain investments in certain pooled
investment vehicles that invested their
offering proceeds primarily in certain
securities issued by community banking
organizations of the type grandfathered
under section 171 of the Dodd-Frank
Wall Street Reform and Consumer
Protection Act (‘‘Dodd-Frank Act’’). The
interim final rule is a companion rule to
the final rules adopted by the Agencies
to implement section 13 of the Bank
Holding Company Act of 1956 (‘‘BHC
Act’’), which was added by section 619
of the Dodd-Frank Act.
DATES: Effective date: The interim final
rule is effective on April 1, 2014.
Comment date: Comments on the
interim final rule should be received on
or before March 3, 2014.
ADDRESSES: Interested parties are
encouraged to submit written comments
jointly to all of the Agencies.
Commenters are encouraged to use the
title ‘‘Treatment of Certain
Collateralized Debt Obligations Backed
Primarily by Trust Preferred Securities
with Regard to Prohibitions and
Restrictions on Certain Interests in, and
Relationships with, Hedge Funds and
Private Equity Funds’’ to facilitate the
organization and distribution of
comments among the Agencies.
Office of the Comptroller of the
Currency: Because paper mail in the
Washington, DC area and at the OCC is
subject to delay, commenters are
encouraged to submit comments by the
Federal eRulemaking Portal or email, if
possible. Please use the title ‘‘Treatment
of Certain Collateralized Debt
Obligations Backed Primarily by Trust
Preferred Securities with Regard to
Prohibitions and Restrictions on Certain
Interests in, and Relationships with,
Hedge Funds and Private Equity Funds’’
to facilitate the organization and
distribution of the comments. You may
submit comments by any of the
following methods:
• Federal eRulemaking Portal—
‘‘Regulations.gov’’: Go to http://
www.regulations.gov. Enter ‘‘Docket ID
OCC–2014–0003’’ in the Search Box and
click ‘‘Search.’’ Results can be filtered
using the filtering tools on the left side
of the screen. Click on ‘‘Comment Now’’
to submit public comments.
• Click on the ‘‘Help’’ tab on the
Regulations.gov home page to get
information on using Regulations.gov,
including instructions for submitting or
viewing public comments, viewing
other supporting and related materials,
and viewing the docket after the close
of the comment period.
• Email: regs.comments@
occ.treas.gov.
• Mail: Legislative and Regulatory
Activities Division, Office of the
Comptroller of the Currency, 400 7th
Street SW., Suite 3E–218, Mail Stop
9W–11, Washington, DC 20219.
• Fax: (571) 465–4326.
• Hand Delivery/Courier: 400 7th
Street SW., Suite 3E–218, Mail Stop
9W–11, Washington, DC 20219.
Instructions: You must include
‘‘OCC’’ as the agency name and ‘‘Docket
ID ‘‘OCC–2014–0003’’ in your comment.
In general, OCC will enter all comments
received into the docket and publish
them on the Regulations.gov Web site
without change, including any business
or personal information that you
provide such as name and address
information, email addresses, or phone
numbers. Comments received, including
attachments and other supporting
materials, are part of the public record
and subject to public disclosure. Do not
enclose any information in your
comment or supporting materials that
you consider confidential or
inappropriate for public disclosure.
You may review comments and other
related materials that pertain to this
proposed rulemaking by any of the
following methods:
• Viewing Comments Electronically:
Go to http://www.regulations.gov. Select
‘‘Document Type’’ of ‘‘Public
Submissions,’’ and in the ‘‘Enter
Keyword or ID Box,’’ enter Docket ID
‘‘OCC–2014–0003,’’ and click ‘‘Search.’’
Comments can be filtered by Agency
using the filtering tools on the left side
of the screen.
• Click on the ‘‘Help’’ tab on the
Regulations.gov home page to get
information on using Regulations.gov,
including instructions for viewing
public comments, viewing other
supporting and related materials, and
VerDate Mar<15>2010 17:58 Jan 30, 2014 Jkt 232001 PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 E:\FR\FM\31JAR1.SGM 31JAR1
emcdonald on DSK67QTVN1PROD with RULES
5224 Federal Register / Vol. 79, No. 21 / Friday, January 31, 2014 / Rules and Regulations
viewing the docket after the close of the
comment period.
• Viewing Comments Personally: You
may personally inspect and photocopy
comments at the OCC, 400 7th Street
SW., Washington, DC 20219. For
security reasons, the OCC requires that
visitors make an appointment to inspect
comments. You may do so by calling
(202) 649–6700. Upon arrival, visitors
will be required to present valid
government-issued photo identification
and submit to security screening in
order to inspect and photocopy
comments.
Docket: You may also view or request
available background documents and
project summaries using the methods
described above.
Board of Governors of the Federal
Reserve System:
You may submit comments, identified
by Docket No. R–1480 and RIN 7100
AE–11, by any of the following
methods:
• Agency Web site: http://
www.federalreserve.gov. Follow the
instructions for submitting comments at
http://www.federalreserve.gov/
generalinfo/foia/ProposedRegs.cfm.
• Federal eRulemaking Portal: http://
www.regulations.gov. Follow the
instructions for submitting comments.
• Email: regs.comments@
federalreserve.gov. Include the docket
number in the subject line of the
message.
• Fax: (202) 452–3819 or (202) 452–
3102.
• Mail: Address to Robert deV.
Frierson, Secretary, Board of Governors
of the Federal Reserve System, 20th
Street and Constitution Avenue NW.,
Washington, DC 20551.
All public comments will be made
available on the Board’s Web site at
http://www.federalreserve.gov/
generalinfo/foia/ProposedRegs.cfm as
submitted, unless modified for technical
reasons. Accordingly, comments will
not be edited to remove any identifying
or contact information. Public
comments may also be viewed
electronically or in paper in Room MP–
500 of the Board’s Martin Building (20th
and C Streets NW.) between 9:00 a.m.
and 5:00 p.m. on weekdays.
Federal Deposit Insurance
Corporation: You may submit
comments, identified by RIN number,
by any of the following methods:
• Agency Web site: http://
www.fdic.gov/regulations/laws/federal/
propose.html. Follow instructions for
submitting comments on the Agency
Web site.
• Email: Comments@fdic.gov. Include
the RIN number 3064–AE11 on the
subject line of the message.
• Mail: Robert E. Feldman, Executive
Secretary, Attention: Comments, Federal
Deposit Insurance Corporation, 550 17th
Street NW., Washington, DC 20429.
• Hand Delivery: Comments may be
hand delivered to the guard station at
the rear of the 550 17th Street Building
(located on F Street) on business days
between 7:00 a.m. and 5:00 p.m.
Public Inspection: All comments
received must include the agency name
and RIN 3064–AE11 for this rulemaking.
All comments received will be posted
without change to http://www.fdic.gov/
regulations/laws/federal/propose.html,
including any personal information
provided. Paper copies of public
comments may be ordered from the
FDIC Public Information Center, 3501
North Fairfax Drive, Room E–I002,
Arlington, VA 22226 by telephone at 1
(877) 275–3342 or 1 (703) 562–2200.
Commodity Futures Trading
Commission: You may submit
comments, identified by RIN number
3038–AE13 by any of the following
methods:
• Agency Web site: http://
comments.cftc.gov.
• Mail: Secretary of the Commission,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
• Hand Delivery: Same as mail above.
• Federal eRulemaking Portal: http://
www.regulations.gov. Follow
instructions for submitting comments.
All comments must be submitted in
English, or if not, accompanied by an
English translation. Comments will be
posted as received to www.cftc.gov. You
should submit only information that
you wish to make available publicly. If
you wish the CFTC to consider
information that is exempt from
disclosure under the Freedom of
Information Act, a petition for
confidential treatment of the exempt
information may be submitted according
to the procedure established in § 145.9
of the CFTC’s regulations (17 CFR
145.9).
The CFTC reserves the right, but shall
have no obligation, to review, pre-
screen, filter, redact, refuse, or remove
any or all of your submission from
http://www.cftc.gov that it may deem to
be inappropriate for publication, such as
obscene language. All submissions that
have been redacted or removed that
contain comments on the merits of the
rulemaking will be retained in the
public comment file and will be
considered as required under the
Administrative Procedure Act and other
applicable laws, and may be accessible
under the Freedom of Information Act.
Securities and Exchange Commission:
You may submit comments by the
following method:
Electronic Comments
• Use the Commission’s Internet
comment form (http://www.sec.gov/
rules/interim-final-temp.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number S7–
01–14 on the subject line; or
• Use the Federal eRulemaking Portal
(http://www.regulations.gov). Follow the
instructions for submitting comments.
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549–1090.
All submissions should refer to File
Number S7–01–14. This file number
should be included on the subject line
if email is used. To help us process and
review your comments more efficiently,
please use only one method. The SEC
will post all comments on the SEC’s
Internet Web site (http://www.sec.gov/
rules/interim-final-temp.shtml).
Comments are also available for Web
site viewing and printing in the SEC’s
Public Reference Room, 100 F Street
NE., Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. All comments
received will be posted without change;
we do not edit personal identifying
information from submissions. You
should submit only information that
you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT:
OCC: Tiffany Eng, Legislative and
Regulatory Activities Division, (202)
649–5490, Office of the Comptroller of
the Currency, 400 7th Street SW.,
Washington, DC 20219.
Board: Christopher M. Paridon,
Counsel, (202) 452–3274, or Anna M.
Harrington, Senior Attorney, (202) 452–
6406, Legal Division, Board of
Governors of the Federal Reserve
System, 20th and C Streets NW.,
Washington, DC 20551.
FDIC: Bobby R. Bean, Associate
Director, bbean@fdic.gov. or Karl R.
Reitz, Chief, Capital Markets Strategies
Section, kreitz@fdic.gov, Capital
Markets Branch, Division of Risk
Management Supervision, (202) 898–
6888; Michael B. Phillips, Counsel,
mphillips@fdic.gov, or Gregory S. Feder,
Counsel, gfeder@fdic.gov, Legal
Division, Federal Deposit Insurance
Corporation, 550 17th Street NW.,
Washington, DC 20429.
CFTC: Erik Remmler, Deputy Director,
Division of Swap Dealer and
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viewing the docket after the close of the
comment period.
• Viewing Comments Personally: You
may personally inspect and photocopy
comments at the OCC, 400 7th Street
SW., Washington, DC 20219. For
security reasons, the OCC requires that
visitors make an appointment to inspect
comments. You may do so by calling
(202) 649–6700. Upon arrival, visitors
will be required to present valid
government-issued photo identification
and submit to security screening in
order to inspect and photocopy
comments.
Docket: You may also view or request
available background documents and
project summaries using the methods
described above.
Board of Governors of the Federal
Reserve System:
You may submit comments, identified
by Docket No. R–1480 and RIN 7100
AE–11, by any of the following
methods:
• Agency Web site: http://
www.federalreserve.gov. Follow the
instructions for submitting comments at
http://www.federalreserve.gov/
generalinfo/foia/ProposedRegs.cfm.
• Federal eRulemaking Portal: http://
www.regulations.gov. Follow the
instructions for submitting comments.
• Email: regs.comments@
federalreserve.gov. Include the docket
number in the subject line of the
message.
• Fax: (202) 452–3819 or (202) 452–
3102.
• Mail: Address to Robert deV.
Frierson, Secretary, Board of Governors
of the Federal Reserve System, 20th
Street and Constitution Avenue NW.,
Washington, DC 20551.
All public comments will be made
available on the Board’s Web site at
http://www.federalreserve.gov/
generalinfo/foia/ProposedRegs.cfm as
submitted, unless modified for technical
reasons. Accordingly, comments will
not be edited to remove any identifying
or contact information. Public
comments may also be viewed
electronically or in paper in Room MP–
500 of the Board’s Martin Building (20th
and C Streets NW.) between 9:00 a.m.
and 5:00 p.m. on weekdays.
Federal Deposit Insurance
Corporation: You may submit
comments, identified by RIN number,
by any of the following methods:
• Agency Web site: http://
www.fdic.gov/regulations/laws/federal/
propose.html. Follow instructions for
submitting comments on the Agency
Web site.
• Email: Comments@fdic.gov. Include
the RIN number 3064–AE11 on the
subject line of the message.
• Mail: Robert E. Feldman, Executive
Secretary, Attention: Comments, Federal
Deposit Insurance Corporation, 550 17th
Street NW., Washington, DC 20429.
• Hand Delivery: Comments may be
hand delivered to the guard station at
the rear of the 550 17th Street Building
(located on F Street) on business days
between 7:00 a.m. and 5:00 p.m.
Public Inspection: All comments
received must include the agency name
and RIN 3064–AE11 for this rulemaking.
All comments received will be posted
without change to http://www.fdic.gov/
regulations/laws/federal/propose.html,
including any personal information
provided. Paper copies of public
comments may be ordered from the
FDIC Public Information Center, 3501
North Fairfax Drive, Room E–I002,
Arlington, VA 22226 by telephone at 1
(877) 275–3342 or 1 (703) 562–2200.
Commodity Futures Trading
Commission: You may submit
comments, identified by RIN number
3038–AE13 by any of the following
methods:
• Agency Web site: http://
comments.cftc.gov.
• Mail: Secretary of the Commission,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC
20581.
• Hand Delivery: Same as mail above.
• Federal eRulemaking Portal: http://
www.regulations.gov. Follow
instructions for submitting comments.
All comments must be submitted in
English, or if not, accompanied by an
English translation. Comments will be
posted as received to www.cftc.gov. You
should submit only information that
you wish to make available publicly. If
you wish the CFTC to consider
information that is exempt from
disclosure under the Freedom of
Information Act, a petition for
confidential treatment of the exempt
information may be submitted according
to the procedure established in § 145.9
of the CFTC’s regulations (17 CFR
145.9).
The CFTC reserves the right, but shall
have no obligation, to review, pre-
screen, filter, redact, refuse, or remove
any or all of your submission from
http://www.cftc.gov that it may deem to
be inappropriate for publication, such as
obscene language. All submissions that
have been redacted or removed that
contain comments on the merits of the
rulemaking will be retained in the
public comment file and will be
considered as required under the
Administrative Procedure Act and other
applicable laws, and may be accessible
under the Freedom of Information Act.
Securities and Exchange Commission:
You may submit comments by the
following method:
Electronic Comments
• Use the Commission’s Internet
comment form (http://www.sec.gov/
rules/interim-final-temp.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number S7–
01–14 on the subject line; or
• Use the Federal eRulemaking Portal
(http://www.regulations.gov). Follow the
instructions for submitting comments.
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549–1090.
All submissions should refer to File
Number S7–01–14. This file number
should be included on the subject line
if email is used. To help us process and
review your comments more efficiently,
please use only one method. The SEC
will post all comments on the SEC’s
Internet Web site (http://www.sec.gov/
rules/interim-final-temp.shtml).
Comments are also available for Web
site viewing and printing in the SEC’s
Public Reference Room, 100 F Street
NE., Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. All comments
received will be posted without change;
we do not edit personal identifying
information from submissions. You
should submit only information that
you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT:
OCC: Tiffany Eng, Legislative and
Regulatory Activities Division, (202)
649–5490, Office of the Comptroller of
the Currency, 400 7th Street SW.,
Washington, DC 20219.
Board: Christopher M. Paridon,
Counsel, (202) 452–3274, or Anna M.
Harrington, Senior Attorney, (202) 452–
6406, Legal Division, Board of
Governors of the Federal Reserve
System, 20th and C Streets NW.,
Washington, DC 20551.
FDIC: Bobby R. Bean, Associate
Director, bbean@fdic.gov. or Karl R.
Reitz, Chief, Capital Markets Strategies
Section, kreitz@fdic.gov, Capital
Markets Branch, Division of Risk
Management Supervision, (202) 898–
6888; Michael B. Phillips, Counsel,
mphillips@fdic.gov, or Gregory S. Feder,
Counsel, gfeder@fdic.gov, Legal
Division, Federal Deposit Insurance
Corporation, 550 17th Street NW.,
Washington, DC 20429.
CFTC: Erik Remmler, Deputy Director,
Division of Swap Dealer and
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