Notice2022-10709
HISA Registration Rule
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
May 17, 2022
Effective
July 1, 2022
Issuing agencies
Federal Trade Commission
Abstract
The Horseracing Integrity and Safety Act of 2020 recognizes a self-regulatory nonprofit organization, the Horseracing Integrity and Safety Authority, which is charged with developing proposed rules on a variety of subjects. Those proposed rules and later proposed rule modifications take effect only if approved by the Federal Trade Commission. The proposed rules and rule modifications must be published in the Federal Register for public comment. Thereafter, the Commission has 60 days from the date of publication to approve or disapprove the proposed rule or rule modification. The Authority submitted to the Commission a proposed rule on Registration on April 25, 2022. The Office of the Secretary of the Commission determined that the proposal complied with the Commission's rule governing such submissions. This document publicizes the Authority's proposed rule text and explanation, and it seeks public comment on whether the Commission should approve or disapprove the proposed rule.
Full Text
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<title>Federal Register, Volume 87 Issue 95 (Tuesday, May 17, 2022)</title>
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[Federal Register Volume 87, Number 95 (Tuesday, May 17, 2022)]
[Notices]
[Pages 29862-29867]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-10709]
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FEDERAL TRADE COMMISSION
[File No. P222100]
HISA Registration Rule
AGENCY: Federal Trade Commission.
ACTION: Notice of Horseracing Integrity and Safety Authority (HISA)
proposed rule; request for public comment.
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SUMMARY: The Horseracing Integrity and Safety Act of 2020 recognizes a
self-regulatory nonprofit organization, the Horseracing Integrity and
Safety Authority, which is charged with developing proposed rules on a
variety of subjects. Those proposed rules and later proposed rule
modifications take effect only if approved by the Federal Trade
Commission. The proposed rules and rule modifications must be published
in the Federal Register for public comment. Thereafter, the Commission
has 60 days from the date of publication to approve or disapprove the
proposed rule or rule modification. The Authority submitted to the
Commission a proposed rule on Registration on April 25, 2022. The
Office of the Secretary of the Commission determined that the proposal
complied with the Commission's rule governing such submissions. This
document publicizes the Authority's proposed rule text and explanation,
and it seeks public comment on whether the Commission should approve or
disapprove the proposed rule.
DATES: If approved, the HISA proposed rule would take effect on July 1,
2022. Comments must be received on or before May 31, 2022.
ADDRESSES: Interested parties may file a comment online or on paper by
following the instructions in the Comment Submissions part of the
SUPPLEMENTARY INFORMATION section below. Write ``HISA Registration'' on
your comment and file your comment online at <a href="https://www.regulations.gov">https://www.regulations.gov</a> under docket number FTC-2022-0028. If you prefer to
file your comment on paper, mail your comment to the following address:
Federal Trade Commission, Office of the Secretary, 600 Pennsylvania
Avenue NW, Suite CC-5610 (Annex B), Washington, DC 20580, or deliver
your comment to the following address: Federal Trade Commission, Office
of the Secretary, Constitution Center, 400 7th Street SW, 5th Floor,
Suite 5610 (Annex B), Washington, DC 20024.
FOR FURTHER INFORMATION CONTACT: Austin King, (202-326-3166), Associate
General Counsel for Rulemaking, Office of the General Counsel, Federal
Trade Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Self-Regulatory Organization's Statement of the Background,
Purpose of, and Statutory Basis for, the Proposed Rule
a. Background and Purpose
b. Statutory Basis
II. Self-Regulatory Organization's Statement of the Terms of
Substance of the Proposed Rule and Discussion of Alternatives
III. Self-Regulatory Organization's Summary of Comments Received
Pre-Submission and Its Responses to Those Comments
IV. Legal Authority
V. Effective Date
VI. Request for Comments
VII. Comment and Submissions
VIII. Communications by Outside Parities to the Commissioners or
Their Advisors
IX. Self-Regulatory Organization's Proposed Rule Language
Background
The Horseracing Integrity and Safety Act of 2020 \1\ recognizes a
self-regulatory nonprofit organization, the Horseracing Integrity and
Safety Authority, which is charged with developing proposed rules on a
variety of subjects. Those proposed rules and later proposed rule
modifications take effect only if approved by the Federal Trade
Commission.\2\ The proposed rules and rule modifications must be
published in the Federal Register for public comment.\3\ Thereafter,
the Commission has 60 days from the date of publication to approve or
disapprove the proposed rule or rule modification.\4\
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\1\ 15 U.S.C. 3051 through 3060.
\2\ 15 U.S.C. 3053(b)(2).
\3\ 15 U.S.C. 3053(b)(1).
\4\ 15 U.S.C. 3053(c)(1).
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Pursuant to Section 3053(a) of the Horseracing Integrity and Safety
Act of 2020 and Commission Rule 1.142, notice is hereby given that, on
April 25, 2022, the Horseracing Integrity and Safety Authority
(``HISA'' or the ``Authority'') filed with the Federal Trade Commission
a proposed Registration rule and supporting documentation as described
in Items I, II, III, IV, and IX below, which Items have been prepared
by HISA. The Office of the Secretary of the Commission determined that
the filing complied with the Commission's rule governing such
submissions.\5\ The Commission publishes this notice to solicit
comments on the proposed rule from interested persons.
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\5\ 16 CFR 1.140 through 1.144; see also Fed. Trade Comm'n,
Procedures for Submission of Rules Under the Horseracing Integrity
and Safety Act, 86 FR 54819 (Oct. 5, 2021).
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I. Self-Regulatory Organization's Statement of the Background, Purpose
of, and Statutory Basis for, the Proposed Rule
a. Background and Purpose
The Horseracing Integrity and Safety Act of 2020 (``Act'')
recognizes that the establishment of a national set of uniform
standards for racetrack safety and medication control will enhance the
safety and integrity of horseracing. The Act specifically states that
the Commission, the Authority, and the anti-doping medication control
enforcement agency ``shall have safety, performance, and anti-doping
and medication control authority over covered persons similar to such
authority of the State racing commissions before the program effective
date.'' State racing commissions routinely license participants in
horse racing as a prerequisite for participation in the sport. In the
same manner, Congress mandated in the Act that the Authority require
the registration of Covered Persons: ``As a condition of participating
in covered races and in the care, ownership, treatment, and training of
covered horses, a covered person shall register with the Authority in
accordance with rules promulgated by the Authority and approved by the
Commission in accordance with section 3053 of this title.'' \6\
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\6\ 15 U.S.C. 3054(d)(1).
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In requiring the registration of Covered Persons, Congress
recognized that the effective regulation of horseracing under the Act
requires that Covered Persons participating in Covered Horseraces must
be identifiable as individuals to the Authority. This is necessary for
a number of reasons, including the need to contact a Covered Person to
request information required under Authority rules and to initiate
disciplinary proceedings if a Covered Person fails to comply with the
rules. To this end, the Registration proposed rule requires a Covered
Person to register with the Authority, providing his or her name,
contact information, state licensing status, and other pertinent
information to the Authority. The Registration proposed rule fulfills
Congress's registration mandate by
[[Page 29863]]
establishing the procedures and rules under which Covered Persons
register with the Authority. The Registration proposed rule also
requires Covered Persons to ensure that Covered Horses for which they
are responsible are registered with the Authority. In registering
Covered Horses, Covered Persons must identify the location of the
Covered Horse and provide the equine vaccine and health information
required by Rule 2143 of the Authority's Racetrack Safety Rules. These
requirements serve the vital function of enabling the Authority to
quickly locate a Covered Horse if medication testing is required or if
a Covered Horse's health and safety becomes a concern and to review the
health and vaccine information entered into the Authority's database at
the time of registration.
In developing the Registration proposed rule, the Authority
considered creating a registration system that paralleled existing
state licensing requirements. State licensing schemes routinely require
substantial amounts of information from a license applicant, including
the applicant's licensing and disciplinary history, citizenship status,
criminal history, civil judgments entered against the applicant, and
employment status; similar information is often required regarding an
applicant's spouse. (Attached as supporting documentation are the
licensing rules and applications that the Authority consulted in
developing the Registration proposed rule). Ultimately, the Authority
opted not to fully duplicate state licensing information requirements,
since the Authority may obtain information concerning state licensees
from cooperating state racing commissions, the Association of Racing
Commissioners International, and The Jockey Club. The Authority's
Registration proposed rule therefore creates a narrower and more
streamlined process that focuses primarily on requiring Covered Persons
to provide and update contact information, to register Covered Horses
as necessary, and to agree to comply with the rules, standards, and
procedures developed and approved under 15 U.S.C. 3054(c). Certain
categories of Covered Persons are required to submit additional
information. Veterinarians are required to list the jurisdictions in
which they are currently licensed by state veterinary licensing
authorities. Jockeys are required to provide the names of the jockey
agents who represent them, and jockey agents are in turn required to
identify the jockeys they represent. Racetracks are required to
identify the majority or controlling interests of the Racetrack and to
report any changes in ownership and control to the Authority.
The Registration proposed rule will affect Covered Persons by
requiring them to register with the Authority and provide and update
the information specified in the proposed rule. The Registration
proposed rule also requires Covered Persons to agree to comply with all
rules, standards, and procedures developed and approved under 15 U.S.C.
3054(c). As noted previously, the registration process is necessary for
the effective regulation of Covered Persons, but it is not overly
burdensome and is less extensive than state licensing requirements. The
Registration proposed rule affects Covered Horses by requiring a
Covered Person to register with the Authority all Covered Horses for
which the Covered Person is the Responsible Person. (The Responsible
Person concept is more fully described below in Item II of this Notice,
the ``Self-Regulatory Organization's Statement of the Terms of
Substance of the Proposed Rules''). The safety and welfare of Covered
Horses will be enhanced by their registration with the Authority,
since, as described previously, the Authority will be able to locate a
horse for testing and safety purposes and to review the horse health
information provided during registration. The registration of Covered
Horses and Covered Persons, including racetracks, will further the
purpose of enhancing the safety, welfare, and integrity of Covered
Persons and Covered Horses, and the safe conduct of Covered Horseraces
will be significantly enhanced as a result.
The Registration proposed rule is consistent with the Act in that
it complies with and fulfills the Act's specific mandate in 15 U.S.C.
3054(d)(1) to require the registration of Covered Persons with the
Authority in accordance with rules promulgated by the Authority and
approved by the Commission. The Registration proposed rule provides
Covered Persons with the information and guidance necessary to properly
register with the Authority, establishes certain exemptions to
registration, requires that registration information be updated as
necessary, and provides for the registration of Covered Horses.
b. Statutory Basis
The Horseracing Integrity and Safety Act of 2020, 15 U.S.C. 3051
through 3060.
II. Self-Regulatory Organization's Statement of the Terms of Substance
of the Registration Proposed Rule and Discussion of Alternatives
The Authority's Registration proposed rule was guided by the
purposes and objectives of the Act, in particular the Act's explicit
directive in 15 U.S.C. 3054(d)(1) that Covered Persons be required to
register with the Authority in accordance with rules promulgated by the
Authority and approved by the Commission. The Registration proposed
rule establishes the requirements and procedures for the registration
of Covered Persons.
Covered Persons are required to register for 12-month periods and,
at the end of this period, to review and update registration
information previously submitted to the Authority. The Registration
proposed rule sets forth the information required for a Covered Person
to register, including name and contact information, identification of
the states in which the Covered Person is currently licensed, and the
occupations for which the Covered Person is licensed. The registration
website allows a registrant to upload a copy of a currently valid
racing license, from which the computerized registration system
extracts information that permits the Authority to verify the
registrant's identity and compare it with the databases of The Jockey
Club and the Association of Racing Commissioners International. If the
user is unable to upload a photo of the racing license, the website
will allow the user to manually enter all required information.
Particular provisions have been included regarding certain
categories of Covered Persons. Veterinarians are required to identity
those states in which they are licensed to practice veterinary
medicine. Jockeys are required to provide the names of the jockey
agents who represent them, and jockey agents are similarly required to
identify the jockeys they represent. Racetracks are defined in the Act
as Covered Persons, and are required to provide the racetrack's
physical address, mailing address, phone number, and general delivery
email address. In addition, racetracks are required to provide the name
and contact information for the Director or Officer with the principal
responsibility for conducting Covered Horseraces. This person will
serve as the Authority's primary point of contact in communicating with
the racetrack. Racetracks are also required to identify the majority or
controlling ownership interests of the racetrack.
[[Page 29864]]
The Registration proposed rule includes a provision exempting from
the registration requirement persons performing certain functions at a
racetrack. The exemption is set forth in paragraph (f) of the rule as
follows: ``Vendors of goods or services and racetrack employees or
contractors who do not have access to restricted areas of a Racetrack
in the ordinary course of carrying out their duties are not required to
register with the Authority. For purposes of this rule, mutuel
employees are deemed not to have access to restricted areas of a
Racetrack.''
The Act, in 15 U.S.C. 3054(d)(2), specifically requires that
registration include ``an agreement by the covered person to be subject
to and comply with the rules, standards, and procedures developed and
approved under [15 U.S.C. 3054(c)].'' The Registration proposed rule
includes a provision that requires a Covered Person to agree to these
rules, standards, and procedures, and further states that these rules,
standards, and procedures are set forth in the Authority's Rule 8000
Series. The Authority's registration website also requires the Covered
Person to affirm this agreement and provides a link to the Rule 8000
Series if the Covered Person desires to read the rules.
The Registration proposed rule further requires that the
information provided by a Covered Person be complete and correct, and
it requires Covered Persons to update registration information to
accurately report any material changes in the information required for
registration. The Registration proposed rule also establishes penalties
for failure to register with the Authority, for making a knowingly
false statement or omission of information in an application for
registration with the Authority, and for failure to advise the
Authority of material changes in information provided to the Authority
as required under any provision in Authority rules.
The Act defines Covered Horse at 15 U.S.C. 3051(4).\7\ A key
requirement in the Authority's regulation scheme is that all Covered
Horses shall have at all times a Responsible Person who is ultimately
responsible for the safety and welfare of the Covered Horse. The
definition of Responsible Person was developed by the Racetrack Safety
Committee and is set forth in the Racetrack Safety and Accreditation
Rule 2000 Series.\8\ The Registration proposed rule requires that
Responsible Persons, as defined in Rule 2010 of the Racetrack Safety
Rules, shall ensure that Covered Horses are registered with the
Authority. The Registration proposed rule specifies the information to
be submitted, including the Covered Horse's name and year of birth, the
dam of the Covered Horse, the ID number of the Owner of the covered
Horse, the horse's location and Vaccine and Health Information required
in Rule 2143 of the Racetrack Safety Regulations, and other information
reasonably required by the Authority to fulfill its statutory duties
under the Act. The Registration proposed rule also makes clear that
failure to register a Covered Horse shall constitute a violation and is
subject to the sanctions set forth in Rule 8200 and the disciplinary
procedures set forth in Rule 8300.
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\7\ 15 U.S.C. 3051(4) (``Covered Horse. The term `covered horse'
means any Thoroughbred horse, or any other horse made subject to
this chapter by election of the applicable State racing commission
or the breed governing organization for such horse under section
3054(j) of this title, during the period--(A) beginning on the date
of the horse's first timed and reported workout at a racetrack that
participates in covered horseraces or at a training facility; and
(B) ending on the date on which the Authority receives written
notice that the horse has been retired.'').
\8\ Definition of Responsible Person in Rule 2010: ``Responsible
Person means the individual designated in the registration with the
Authority as the Responsible Person in accordance with the
following: (1) For a Covered Horse that has not yet performed its
first Workout (or competed in a Race, whichever is earlier), the
Responsible Person shall be the Owner of the Covered Horse unless
the Horse is in training in another country. (2) Once in training,
the Responsible Person shall be the licensed Trainer for the Covered
Horse. The licensed Trainer's designation as the Responsible Person
shall be filed with the Authority. The Trainer designation must be
kept current with the Authority. Designation transfers must be in
writing and on record with the Authority prior to the effective date
of the transfer, except for claiming Races in which transfers must
be recorded the same day. (3) If a Covered Horse ceases training for
a period of time, the designation may be transferred to the Owner
prior to the effective date. (4) If the Owner is an entity, the
managing Owner shall be named.''
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III. Self-Regulatory Organization's Summary of Comments Received Pre-
Submission and Its Responses to Those Comments
As encouraged by the Commission's procedural rule, the Authority,
before finalizing this submission to the Commission, made a draft of
the Registration proposed rule available to the public for review and
comment on the HISA website, <a href="https://www.hisausregs.org/">https://www.hisausregs.org/</a>. Comments on
the Registration proposed rule were received from various individuals
and groups in the horseracing industry.
Some commenters urged that accommodation be made for members of the
horseracing industry who do not have access to computers or are not
computer literate.\9\ The Authority recognizes that this can be a
concern. But the registration process is not complex, and assistance is
often available from other members of the industry and from horseracing
organizations such as the Jockey's Guild. Concerns were also expressed
about members of the horseracing industry who do not speak English.\10\
The Authority is developing the website to accommodate the many
Spanish-speaking members of the horseracing industry. One commenter
asked whether a fee will be imposed for registration.\11\ The Authority
will not be imposing registration fees at this time.
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\9\ Thoroughbred Horsemen's Association (``THA'') and the
Jockey's Guild (``Jockey's Guild'').
\10\ THA, Jockey's Guild.
\11\ THA.
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One commenter offered suggested language to be added to the
Registration proposed rule, similar to the more extensive information
requirements of state licensing applications.\12\ Other commenters
asked whether the Authority would collaborate with state racing
commissions in obtaining information pertaining to HISA registrants
that has previously been submitted to state racing commissions.\13\
Some commenters assumed that the HISA registration system would
duplicate the state licensing system in many respects. As noted
elsewhere in this filing, the Registration proposed rule will not
require the extensive licensing, disciplinary, employment, and spousal
information that state racing commissions routinely require, and it
will therefore not duplicate state licensing information requirements.
The Registration proposed rule will focus primarily on the
identification of Covered Persons and Covered Horses. The Authority
will collaborate with the state racing commissions and other
organizations as needed if additional information specific to a
particular individual is required.
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\12\ Racing Officials Accreditation Program.
\13\ THA, Jockey's Guild.
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A commenter asked how information concerning horses will be kept
current, in view of the fact that horse ownership, custody, and control
can change frequently.\14\ The commenter asked whether it is realistic
to assume that owners and trainers will be in frequent contact with
HISA to update ownership and control. The commenter asked whether this
information can be obtained directly from the racetracks through their
internal systems or InCompass. In response to these
[[Page 29865]]
comments, the Authority notes that the InCompass system records the
name of the trainer at the time of entry and of racing but does not
track the identity of the trainer at any other time. The Authority
believes that the registration of horses is vital to securing horse
safety and welfare and that the requirements placed upon Responsible
Persons are not unreasonable or burdensome. The Authority's website
registration system has been specifically designed to be user-friendly
and to make registration a relatively simple and time-efficient
process. The commenter asked several questions as to how personal
information will be maintained and the privacy of rights of individual
secured. The Authority has developed privacy policies and a terms-and-
conditions policy that will govern these matters.
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\14\ THA.
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A commenter asked whether certain classes of individuals are
Covered Persons required to register, including personnel working for
horsemen's organizations and suppliers who have access to certain areas
of the racetrack. In response, the Authority states that the
Registration proposed rule and the exemption provision in paragraph
9000(f) of the rule make clear those persons who are required to
register. Another commenter offered suggestions to clarify the language
in an early draft of the Registration proposed rule concerning persons
who are exempted from registration.\15\ The suggestions were helpful to
the Authority in finalizing the language in the registration exemption.
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\15\ Colonial Downs.
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A commenter asked whether Covered Persons will include jockeys
engaged in quarter horse racing.\16\ Currently, quarter horse racing is
not subject to the Act. Quarter horse jockeys will not be required to
register, unless they participate in thoroughbred races.\17\
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\16\ Jockey's Guild.
\17\ The Act defines jockey as ``a rider or driver of a covered
horse in covered horseraces.'' 15 U.S.C. 3051(12).
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A commenter asked whether the current penalty structure in Rule
8300, which authorizes penalties of up to $50,000.00 for a first
violation, can be tailored to the specific violations of the
Registration proposed rule, including the failure to update contact
information.\18\ The commenter noted that some of the penalties would
be excessive as applied to a person who fails to update contact
information. The Authority believes that the current penalty structure,
which offers considerable flexibility in tailoring penalties to the
nature of a violation, will not result in excessive penalties for
failure to update contact information or other violations.
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\18\ Jockey's Guild.
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A commenter asked whether changes in jockey and agent
relationships, which are currently provided to the racing office or
stewards at the track where the jockey is riding, can be automatically
updated.\19\ In response, the Authority states that it would be
impractical to attempt to obtain this information from every racetrack
in operation in the United States. The HISA website provides a
centralized method of obtaining the information, and it is a simple
process for jockeys and jockey agents to record and update the required
information on the website.
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\19\ Jockey's Guild.
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One commenter asked to be kept informed as to whether horses at the
two-year-old training sales will be considered Covered Horses.\20\
Pursuant to 15 U.S.C. 3051(4) and Rule 2010, a horse is not a Covered
Horse until the horse's first timed and reported workout. Workouts at
two-year-old training sales are not considered timed and reported
workouts. It is possible that the Authority may be addressing this
issue in the anti-doping and medication control rules, which will be
published at a future date.
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\20\ American Association of Equine Practitioners.
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One commenter noted that owners do not always receive photo IDs
from the various state racing commissions by which they are
licensed.\21\ The HISA registration system does not require that a
license contain a photo of the licensee. The commenter also noted that
the National Racing License issued by the National Racing Compact is
not a physical document that can be uploaded. In response to this
comment and to avoid confusion, the Authority deleted a reference to
the National Racing License in the Registration proposed rule.
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\21\ Maryland Racing Commission.
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Several commenters offered suggestions concerning helpful minor
adjustments of the language used in early drafts of the Registration
proposed rule. These comments were carefully reviewed, and several of
the changes were incorporated into the draft Registration proposed rule
as it developed into its final form.\22\
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\22\ The Jockey Club, Racing Officials Accreditation Program.
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IV. Legal Authority
This rule is proposed by the Authority for approval or disapproval
by the Commission under 15 U.S.C. 3053(c)(1).
V. Effective Date
If approved by the Commission, this proposed rule will take effect
on July 1, 2022.
VI. Request for Comments
Members of the public are invited to comment on the Authority's
proposed rule. The Commission requests that factual data on which the
comments are based be submitted with the comments. The supporting
documentation referred to in the Authority's filing, as well as the
written comments it received before submitting the proposed rule to the
Commission, are available for public inspection at <a href="https://www.regulations.gov">https://www.regulations.gov</a> under docket number FTC-2022-0028.
The Commission seeks comments that address the decisional criteria
provided by the Act. The Act gives the Commission two criteria against
which to measure proposed rules and rule modifications: ``The
Commission shall approve a proposed rule or modification if the
Commission finds that the proposed rule or modification is consistent
with--(A) this chapter; and (B) applicable rules approved by the
Commission.'' \23\ In other words, the Commission will evaluate the
proposed rule for its consistency with the specific requirements,
factors, standards, or considerations in the text of the Act as well as
the Commission's procedural rule.
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\23\ 15 U.S.C. 3053(c)(2).
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Although the Commission must approve the proposed rule if the
Commission finds that the proposed rule is consistent with the Act and
the Commission's procedural rule, the Commission may consider broader
questions about the health and safety of horses or the integrity of
horseraces and wagering on horseraces in another context: ``The
Commission may adopt an interim final rule, to take effect immediately,
. . . if the Commission finds that such a rule is necessary to
protect--(1) the health and safety of covered horses; or (2) the
integrity of covered horseraces and wagering on those horseraces.''
\24\ The Commission may exercise its power to issue an interim final
rule on its own initiative or in response to a petition from a member
from the public. If members of the public wish to provide comments to
the Commission that bear on protecting the health and safety of horses
or the integrity of horseraces and wagering on horseraces but do not
discuss whether HISA's proposed rule on Registration is consistent with
the Act or the applicable rules, they should not submit a
[[Page 29866]]
comment here. Instead, they are encouraged to submit a petition
requesting that the Commission issue an interim final rule addressing
the subject of interest. The petition must meet all the criteria
established in the Rules of Practice (Part 1, Subpart D); \25\ if it
does, the petition will be published in the Federal Register for public
comment. In particular, the petition for an interim final rule must
``identify the problem the requested action is intended to address and
explain why the requested action is necessary to address the problem.''
\26\ As relevant here, the petition should provide sufficient
information for the public to comment on, and for the Commission to
find, that the requested interim final rule is ``necessary to protect--
(1) the health and safety of covered horses; or (2) the integrity of
covered horseraces and wagering on those horseraces.'' \27\
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\24\ 15 U.S.C. 3053(e).
\25\ 16 CFR 1.31; see Fed. Trade Comm'n, Procedures for
Responding to Petitions for Rulemaking, 86 FR 59851 (Oct. 29, 2021).
\26\ 16 CFR 1.31(b)(3).
\27\ 15 U.S.C. 3053(e).
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VII. Comment Submissions
You can file a comment online or on paper. For the Commission to
consider your comment, we must receive it on or before May 31, 2022.
Write ``HISA Registration'' on your comment. Your comment--including
your name and your State--will be placed on the public record of this
proceeding, including, to the extent practicable, on the website
<a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Because of the public health emergency in response to the COVID-19
outbreak and the Commission's heightened security screening, postal
mail addressed to the Commission will be subject to delay. We strongly
encourage you to submit your comments online through the <a href="https://www.regulations.gov">https://www.regulations.gov</a> website. To ensure that the Commission considers
your online comment, please follow the instructions on the web-based
form.
If you file your comment on paper, write ``HISA Registration'' on
your comment and on the envelope, and mail your comment to the
following address: Federal Trade Commission, Office of the Secretary,
600 Pennsylvania Avenue NW, Suite CC-5610 (Annex B), Washington, DC
20580, or deliver your comment to the following address: Federal Trade
Commission, Office of the Secretary, Constitution Center, 400 7th
Street SW, 5th Floor, Suite 5610 (Annex B), Washington, DC 20024. If
possible, please submit your paper comment to the Commission by courier
or overnight service.
Because your comment will be placed on the public record, you are
solely responsible for making sure that your comment does not include
any sensitive or confidential information. In particular, your comment
should not contain sensitive personal information, such as your or
anyone else's Social Security number; date of birth; driver's license
number or other State identification number or foreign country
equivalent; passport number; financial account number; or credit or
debit card number. You are also solely responsible for making sure your
comment does not include any sensitive health information, such as
medical records or other individually identifiable health information.
In addition, your comment should not include any ``[t]rade secret or
any commercial or financial information which . . . is privileged or
confidential''--as provided in Section 6(f) of the FTC Act, 15 U.S.C.
46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)--including in
particular competitively sensitive information such as costs, sales
statistics, inventories, formulas, patterns, devices, manufacturing
processes, or customer names.
Comments containing material for which confidential treatment is
requested must be filed in paper form, must be clearly labeled
``Confidential,'' and must comply with FTC Rule 4.9(c), 16 CFR 4.9(c).
In particular, the written request for confidential treatment that
accompanies the comment must include the factual and legal basis for
the request and must identify the specific portions of the comment to
be withheld from the public record. See FTC Rule 4.9(c). Your comment
will be kept confidential only if the General Counsel grants your
request in accordance with the law and the public interest. Once your
comment has been posted publicly at <a href="https://www.regulations.gov">https://www.regulations.gov</a>--as
legally required by FTC Rule 4.9(b), 16 CFR 4.9(b)--we cannot redact or
remove your comment, unless you submit a confidentiality request that
meets the requirements for such treatment under FTC Rule 4.9(c), and
the General Counsel grants that request.
Visit the FTC website to read this document and the news release
describing it. The FTC Act and other laws that the Commission
administers permit the collection of public comments to consider and
use in this proceeding as appropriate. The Commission will consider all
timely and responsive public comments it receives on or before May 31,
2022. For information on the Commission's privacy policy, including
routine uses permitted by the Privacy Act, see <a href="https://www.ftc.gov/siteinformation/privacypolicy">https://www.ftc.gov/siteinformation/privacypolicy</a>.
VIII. Communications by Outside Parties to the Commissioners or Their
Advisors
Written communications and summaries or transcripts of oral
communications respecting the merits of this proceeding, from any
outside party to any Commissioner or Commissioner's advisor, will be
placed on the public record. See 16 CFR 1.26(b)(5).
IX. Self-Regulatory Organization's Proposed Rule Language
9000. Registration of Covered Persons and Covered Horses.
(a) Registration Requirement for Covered Persons. A Covered Person
as defined by 15 U.S.C. 3051(6) shall register with the Authority in
accordance with this rule on the Horseracing Integrity and Safety
Authority website at <a href="https://portal.hisausapps.org/registration">https://portal.hisausapps.org/registration</a>. At the
end of each successive twelve-month period, calculated from the date of
a Covered Person's initial registration, a Covered Person shall be
required to review the accuracy of information previously submitted on
the website and to update the information as necessary. An individual
who is no longer a Covered Person may request the Authority to have his
or her name removed from registration with Authority.
(b) Information Required for Registration of Covered Persons. The
following information shall be provided by all Covered Persons who
register as individuals with the Authority:
(1) The Covered Person's name, physical address, and permanent
mailing address;
(2) The Covered Person's mobile phone number or email address,
or both if available;
(3) Identification of all racing jurisdictions in which the
Covered Person is currently licensed and the occupation(s) for which
the Covered Person is licensed;
(4) An image of at least one currently valid license issued to
the Covered Person by a racing regulatory authority; and
(5) Any other information reasonably required by the Authority
to fulfill its statutory duties under the Act.
(c) Jockeys and Jockey Agents. Jockeys shall identify the Jockey
agents who represent them. Jockey agents shall identify the Jockeys
whom they represent.
(d) Veterinarians. A Covered Person who registers as a veterinarian
shall also list the jurisdictions in which the registrant is currently
licensed by state veterinary licensing authorities.
(e) Racetracks. A Racetrack licensed by a state racing commission
to conduct
[[Page 29867]]
Covered Horseraces as defined by 15 U.S.C. 3051(5) shall register with
the Authority, and shall provide and update as necessary the following
information:
(1) The name and contact information, including email address
and direct phone number, of the Director or Officer with principal
responsibility for conducting Covered Horseraces to serve as the
contact person for the Racetrack;
(2) The Racetrack's physical address, mailing address, phone
number, and general delivery email address; and
(3) Identification of the majority or controlling ownership
interests of the Racetrack. Any change in the majority or
controlling ownership interests or control of a Racetrack shall
constitute a material change and shall be reported to the Authority
within 30 days of the change.
(f) Registration exemptions. Vendors of goods or services and
racetrack employees or contractors who do not have access to restricted
areas of a Racetrack in the ordinary course of carrying out their
duties are not required to register with the Authority. For purposes of
this rule, mutuel employees are deemed not to have access to restricted
areas of a Racetrack.
(g) Agreement with respect to Authority rules, standards, and
procedures. Pursuant to 15 U.S.C. 3054(d) of the Act, a Covered Person
who registers with the Authority shall agree to be subject to and
comply with the rules, standards, and procedures of the Authority
developed and approved under 15 U.S.C. 3054(c). These rules, standards,
and procedures are set forth in the Rule 8000 Series.
(h) Accuracy of and Changes to Registration Information.
(1) Complete and Correct Information. Information provided by a
Covered Person in the course of registration shall be complete and
correct.
(2) Material Changes in Registration Information. A Covered
Person registered with the Authority shall update registration
information to accurately report any material changes in any
information required for registration by the Authority.
(3) Penalties. As set forth in Rule 8100(g), failure to register
with the Authority, making a knowingly false statement or omission
of information in an application for registration with the
Authority, or failure to advise the Authority of material changes in
information provided to the Authority as required under any
provision in Authority rules shall constitute a violation and shall
be subject to the sanctions set forth in Rule 8200 and the
disciplinary procedures set forth in Rule 8300.
(i) Registration of Covered Horses. Responsible Persons as defined
in Rule 2010 shall ensure that Covered Horses as defined by 15 U.S.C.
3051(4) are registered with the Authority. The following information
shall be provided by all Covered Persons who register horses with the
Authority:
(1) The Covered Horse's name and year of birth;
(2) The name of the dam of the Covered Horse;
(3) The ID number of the Owner of the Covered Horse;
(4) The location of the Covered Horse;
(5) The Vaccine and Health Information required by Rule 2143;
and
(6) Any other information reasonably required by the Authority
to fulfill its statutory duties under the Act.
(j) Penalty for Failure to Register a Covered Horse. Failure by a
Responsible Person to register a Covered Horse with the Authority shall
constitute a violation and shall be subject to the sanctions set forth
in Rule 8200 and the disciplinary procedures set forth in Rule 8300.
By direction of the Commission.
Joel Christie,
Acting Secretary.
[FR Doc. 2022-10709 Filed 5-16-22; 8:45 am]
BILLING CODE 6750-01-P
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</html>Indexed from Federal Register on May 17, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.