[Federal Register Volume 76, Number 224 (Monday, November 21, 2011)]
[Rules and Regulations]
[Pages 71872-71877]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-29096]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 
250, 251, 256, 257, 259, 260, 270, 274 and 275

[Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855]


Rescission of Outdated Rules and Forms, and Amendments To Correct 
References

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission (``Commission'') is 
adopting amendments to Commission rules and forms to correct references 
and remove certain rules, forms, and interpretive releases, to conform 
to changes in federal securities laws.

DATES: Effective Date: November 21, 2011.

FOR FURTHER INFORMATION CONTACT: Daniel K. Chang, Senior Counsel, at 
(202) 551-6792, Office of Regulatory Policy, Division of Investment 
Management, U.S. Securities and Exchange Commission, 100 F Street NE., 
Washington, DC 20549-8549.

SUPPLEMENTARY INFORMATION: The Commission is rescinding rules and forms 
adopted under the Public Utility

[[Page 71873]]

Holding Company Act (``PUHCA''),\1\ and revising other rules and forms 
to correct outdated references to PUHCA, correct outdated references 
due to enactment of the Dodd-Frank Wall Street Reform and Consumer 
Protection Act of 2010 \2\ (``Dodd-Frank Act''), and make other 
ministerial corrections.\3\ Congress repealed PUHCA effective 2006,\4\ 
and the Dodd-Frank Act amended various provisions of the federal 
securities laws and removed references to PUHCA from those laws.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 79 (repealed effective 2006).
    \2\ Public Law 111-203, 124 Stat. 1376 (2010).
    \3\ These ministerial corrections consist of removal of 
references to rescinded Form ET and correction of an erroneous 
reference to 15 U.S.C. 77nn that should refer to 15 U.S.C. 77nnn.
    \4\ Public Law 109-58, 119 Stat. 594 (2005).
---------------------------------------------------------------------------

    The Commission is amending: Organizational Rules 1, 2, 20b, 30-5, 
30-6, 30-7, 30-14, 43, 80, 80a, 80c, 80f, 304, 307, 308, 551, and 800; 
Rules of Practice 190 and 210; Informal and Other Procedures Rules 1, 
2, 3, 6, and 9; Regulation S-X, Items 1-01, 3-18, and 3A-05; Regulation 
S-K, Item 405; Regulation C, Items 400, 404, 412, 414, 421, 423, 427, 
430, 431, 436, 460, 470, 471, and 479; and Regulation S-T, Items 11, 
101, 102, 104, 201, 202, 306, 311, 402, and 501, and rules 122 and 176 
under the Securities Act of 1933 (the ``Securities Act''); rules 0-4, 
11d1-1, 13f-1, 14d-4, 14d-7, 16a-1, 16a-2, 16a-3, and 16b-1 under the 
Securities Exchange Act of 1934 (the ``Exchange Act''); Regulation FD, 
Item 100; rules 0-4, 0-6, 7a-29, and 19a-1 under the Trust Indenture 
Act of 1939; rules 0-4 and 8b-32 under the Investment Company Act of 
1940 (``Investment Company Act''); rule 0-4 under the Investment 
Advisers Act of 1940 (``Investment Advisers Act''); the General 
Instructions to Forms 3, 4 and 5; and the General Instructions to Form 
SE. The Commission is removing and reserving 17 CFR part 250, 17 CFR 
part 251, 17 CFR part 256, 17 CFR part 257, and 17 CFR part 259 because 
each solely contains rules, forms, or interpretive releases that 
applied exclusively under PUHCA.

Procedural and Other Matters

    Section 553 of the Administrative Procedure Act (``APA'') provides 
that when an agency for good cause finds that notice and public comment 
are inapplicable, unnecessary, or contrary to the public interest, the 
agency may issue a rule without providing notice and opportunity for 
public comment.\5\ The Commission has determined that there is good 
cause for making today's action final without prior proposal and 
opportunity for comment.\6\ Because Congress repealed PUHCA, the 
Commission's action to amend rules to correct outdated references and 
to eliminate rules, forms, and interpretive releases concerning, and 
authorized by, statutory provisions that are no longer in effect is 
ministerial in nature. Similarly, other changes to the Commission's 
rules to correct outdated or inaccurate references are also ministerial 
in nature. Therefore the Commission is adopting the rule amendments 
without prior notice and comment. For the same reasons, the Commission 
finds good cause for making the rule changes effective upon publication 
in the Federal Register.\7\
---------------------------------------------------------------------------

    \5\ 5 U.S.C. 553(b)(B).
    \6\ Because the Commission is not publishing the rule and form 
amendments in a notice of proposed rulemaking, no analysis is 
required under the Regulatory Flexibility Act. See 5 U.S.C. 601(2) 
(for purposes of the Regulatory Flexibility Act, the term ``rule'' 
means any rule for which the agency publishes a general notice of 
proposed rulemaking).
    \7\ See 5 U.S.C. 553(d) (permitting the publication of a rule to 
be less than 30 days before its effective date, if good cause is 
found).
---------------------------------------------------------------------------

    The amendments the Commission is adopting do not make substantive 
or material modifications to any collection of information requirements 
as defined by the Paperwork Reduction Act of 1995, as amended.\8\
---------------------------------------------------------------------------

    \8\ 44 U.S.C. 3501, 3507. Following the repeal of PUHCA, the 
Commission discontinued the Paperwork Reduction Act information 
collections relating exclusively to PUHCA and rules and forms issued 
thereunder.
---------------------------------------------------------------------------

    The Commission is sensitive to the costs and benefits of its rules. 
The rule amendments the Commission is adopting today are ministerial 
actions that correct or eliminate outdated references and therefore 
will have no separate economic effect, including no effect on 
competition.

Statutory Authority

    We are adopting these amendments consistent with the repeal of 
PUHCA in section 1263 of the Energy Policy Act of 2005 and pursuant to 
the Securities Act, 15 U.S.C. 77a et seq.; the Exchange Act, 15 U.S.C. 
78a et seq.; the Trust Indenture Act, 15 U.S.C. 77aaa et seq.; the 
Investment Company Act, 15 U.S.C. 80a; and the Investment Advisers Act, 
15 U.S.C. 80b.

List of Subjects

17 CFR Part 200

    Administrative practice and procedure, Authority delegations 
(Government agencies), Classified information, Conflicts of interest, 
Government employees, Organization and functions (Government agencies).

17 CFR Part 201

    Administrative practice and procedure.

17 CFR Part 202

    Administrative practice and procedure, Securities.

17 CFR Part 210

    Accountants, Accounting, Securities.

17 CFR Parts 229, 230, 232, 239, 240, 243, and 249

    Reporting and recordkeeping requirements, Securities.

17 CFR Part 250

    Confidential business information, Electric utilities, Holding 
companies, Natural gas, Reporting and recordkeeping requirements, 
Securities.

17 CFR Part 251

    Electric utilities, Holding companies, Natural gas, Securities.

17 CFR Part 256

    Electric utilities, Holding companies, Natural gas, Reporting and 
recordkeeping requirements, Securities, Uniform System of Accounts.

17 CFR Part 257

    Electric utilities, Holding companies, Natural gas, Reporting and 
recordkeeping requirements, Securities, Uniform System of Accounts.

17 CFR Part 259

    Electric utilities, Holding companies, Natural gas, Reporting and 
recordkeeping requirements, Securities.

17 CFR Part 260

    Reporting and recordkeeping requirements, Securities, Trusts and 
trustees.

17 CFR Parts 270 and 274

    Investment companies, Reporting and recordkeeping requirements, 
Securities.

17 CFR Part 275

    Reporting and recordkeeping requirements, Securities.

Text of the Amendments

    For reasons set forth in the preamble, Title 17, Chapter II of the 
Code of Federal Regulations is amended as follows:

[[Page 71874]]

PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND 
REQUESTS

Subpart A--Organization and Program Management

0
1. The authority citation for Part 200, subpart A, continues to read, 
in part, as follows:

    Authority:  15 U.S.C. 77o, 77s, 77sss, 78d, 78d-1, 78d-2, 78w, 
78ll(d), 78mm, 80a-37, 80b-11, and 7202, unless otherwise noted.
* * * * *


Sec.  200.1  [Amended]

0
2. Section 200.1 is amended by:
0
a. Removing the phrase ``Public Utility Holding Company Act of 1935,'' 
from the third sentence of the introductory text;
0
b. Removing the phrase ``public utility holding companies,'' from 
paragraph (b);
0
c. Removing paragraph (h);
0
d. Redesignating paragraphs (i) and (j) as paragraphs (h) and (i); and
0
e. Removing the authority citation at the end of the section.


Sec.  200.2  [Amended]

0
3. Section 200.2 is amended by removing paragraph (c) and redesignating 
paragraphs (d) through (g) as paragraphs (c) through (f).


Sec.  200.20b  [Amended]

0
4. Section 200.20b is amended by removing the phrase ``the 
administration and execution of the Public Utility Holding Company Act 
of 1935,'' from the first sentence of the introductory text and 
removing paragraph (f).


Sec.  200.30-5  [Amended]

0
5. Section 200.30-5 is amended by:
0
a. Removing paragraph (f);
0
b. Redesignating paragraphs (g) through (m) as paragraphs (f) through 
(l); and
0
c. Removing the phrase ``the Public Utility Holding Company Act of 1935 
(15 U.S.C. 79a et seq.) and'' from newly redesignated paragraphs (k) 
and (l).


Sec.  200.30-6  [Amended]

0
6. Section 200.30-6 is amended by removing the authority citation at 
the end of the section.


Sec.  200.30-7  [Amended]

0
7. Section 200.30-7 is amended by removing the phrase ``the Public 
Utility Holding Company Act of 1935, 15 U.S.C. 79a et seq.,'' from the 
introductory text of paragraph (a) and removing the phrase ``section 24 
of the Public Utility Holding Company Act of 1935, 15 U.S.C. 79x,'' 
from paragraph (a)(6).


Sec.  200.30-14  [Amended]

0
8. Section 200.30-14 is amended by removing the phrase, ``the Public 
Utility Holding Company Act of 1935, 15 U.S.C. 79a et seq.,'' from the 
introductory text of paragraph (g)(1).

Subpart B--Disposition of Commission Business

0
9. The authority citation for Part 200, subpart B, continues to read as 
follows:

    Authority:  5 U.S.C. 552b; 15 U.S.C. 78d-1 and 78w.


Sec.  200.43  [Amended]

0
10. Section 200.43 is amended by removing the phrase ``section 18(c) of 
the Public Utility Holding Company Act of 1935 (15 U.S.C. 79r(c)),'' 
from the first sentence of paragraph (b)(2).

Subpart C--Canons of Ethics

0
11. The authority citation for Part 200, subpart C, is revised to read 
as follows:

    Authority:  Secs. 19, 28, 48 Stat. 85, 901, as amended, sec. 
319, 53 Stat. 1173; secs. 38, 211, 54 Stat. 841, 855; 15 U.S.C. 77s, 
77sss, 78w, 80a-37, and 80b-11.

Subpart D--Information and Requests

0
12. The general authority citation for Part 200, subpart D, continues 
to read, in part, as follows:

    Authority:  5 U.S.C. 552, as amended, 15 U.S.C. 77f(d), 77s, 
77ggg(a), 77sss, 78m(F)(3), 78w, 80a-37, 80a-44(a), 80a-44(b), 80b-
10(a), and 80b-11.
* * * * *


Sec.  200.80  [Amended]

0
13. Section 200.80 is amended by removing the phrase ``78m(f)(3), the 
Public Utility Holding Company Act of 1935, 15 U.S.C. 79v(a)'' from the 
third sentence of paragraph (a)(4) and adding in its place the phrase 
``78m(f)(4)''.


Sec.  200.80a  [Amended]

0
14. Section 200.80a is amended by removing the table labeled ``Public 
Utility Holding Company Act of 1935''.


Sec.  200.80c  [Amended]

0
15. Section 200.80c is amended by removing the phrase ``the Public 
Utility Holding Company Act of 1935,'' from paragraph (b)2, Official 
Summary.


Sec.  200.80f  [Amended]

0
16. Section 200.80f is amended by removing the heading and entries in 
the table labeled ``Public Utility Holding Company Act of 1935''.

Subpart F--Code of Behavior Governing Ex Parte Communications 
Between Persons Outside the Commission and Decisional Employees

0
17. The authority citation for Part 200, subpart F, is revised to read 
as follows:

    Authority:  15 U.S.C. 77s, 77sss, 78w, 80a-37, 80b-11, and 7202; 
and 5 U.S.C. 557.

Subpart H--Regulations Pertaining to the Privacy of Individuals and 
Systems of Records Maintained by the Commission

0
18. The authority citation for Part 200, subpart H, continues to read, 
in part, as follows:

    Authority:  5 U.S.C. 552a(f), unless otherwise noted.


Sec. Sec.  200.304, 200.307, 200.308  [Amended]

0
19. Sections 200.304, 200.307 and 200.308 are amended by removing the 
authority citations following the sections.
* * * * *

Subpart K--Regulations Pertaining to the Protection of the 
Environment

0
20. The authority citation for Part 200, subpart K, continues to read 
as follows:

    Authority: 15 U.S.C. 78w(a)(2).


0
21. Section 200.551 is revised to read as follows:


Sec.  200.551  Applicability.

    In the event of extraordinary circumstances in which a Commission 
action may involve major Federal action significantly affecting the 
quality of the human environment, the Commission shall follow the 
procedures set forth in Sec. Sec.  200.552 through 200.554 of this 
part, unless doing so would be inconsistent with its statutory 
authority under the Federal securities laws.

Subpart M--Regulation Concerning Conduct of Members and Employees 
and Former Members and Employees of the Commission

0
22. The authority citation for Part 200, subpart M, continues to read 
as follows:

    Authority:  15 U.S.C. 77s, 77sss, 78w, 80a-37, 80b-11; E.O. 
11222, 3 CFR, 1964-1965 Comp., p. 36; 5 CFR 735.104; 5 CFR 2634; and 
5 CFR 2635, unless otherwise noted.


0
23. In Sec.  200.80(b), in the table, remove the following entries: 
Form ET, wherever it appears; Rule 1(a); Rule 1(b); Rule 1(c); Rule 2; 
Rule 3; Rule 7; Rule 7(d); Rule 20(b); Rule 20(c); Rule 20(d); Rule 23; 
Rule 24; Rule 26; Rule 29; Rule 44; Rule 45; Rule 47(b); Rule

[[Page 71875]]

52; Form 53; Rule 54; Rule 57(a); Rule 57(b); Rule 58; Rule 62; Rule 
71(a); Rule 72; Rule 83; Rule 87; Rule 88; Rule 93; Rule 94; Rule 95; 
Rule 100(a); Uniform System of Accounts for Mutual Service Companies 
and Subsidiary Service Companies, Public Utility Holding Company Act of 
1935; Preservation and Destruction of Records of Registered Public 
Utility Holding Companies and of Mutual and Subsidiary Service 
Companies; Form U5A; Form U5B; Form U5S; Form U-1; Form U-13-1; Form U-
6B-2; Form U-57; Form U-9C-3; Form U-12(I)-A; Form U-12(I)-B; Form U-
13E-1; Form U-R-1; Form U-13-60; Form U-3A-2; Form U-3A3-1; Form U-7D; 
Form U-33-S; Form ID, 259.602, 3235-0328; and Form SE, 259.603, 3235-
0327.

PART 201--RULES OF PRACTICE

Subpart D--Rules of Practice

0
24. The authority citation for part 201, subpart D, is revised to read 
as follows:

    Authority:  15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 
77sss, 77ttt, 78c(b), 78d-1, 78d-2, 78l, 78m, 78n, 78o(d), 78o-3, 
78s, 78u-2, 78u-3, 78v, 78w, 80a-8, 80a-9, 80a-37, 80a-38, 80a-39, 
80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-11, 80b-12, 7202, 7215, 
and 7217.


Sec.  201.190  [Amended]

0
25. Section 201.190 is amended by removing the phrase ``Section 22(b) 
of the Public Utility Holding Company Act of 1935, 15 U.S.C. 79v(b), 
and Rule 104 thereunder, 17 CFR 250.104;'' from the first sentence of 
paragraph (a).

0
26. Section 201.210 is amended by revising paragraph (b) to read as 
follows:


Sec.  201.210  Parties, limited participants and amici curiae.

* * * * *
    (b) Intervention as a party--(1) Generally. In any proceeding, 
other than an enforcement proceeding, a disciplinary proceeding, a 
proceeding to review a self-regulatory determination, or a proceeding 
to review a Board determination, any person may seek leave to intervene 
as a party by filing a motion setting forth the person's interest in 
the proceeding. No person, however, shall be admitted as a party to a 
proceeding by intervention unless it is determined that leave to 
participate pursuant to paragraph (c) of this section would be 
inadequate for the protection of the person's interests. In a 
proceeding under the Investment Company Act of 1940, any representative 
of interested security holders, or any other person whose participation 
in the proceeding may be in the public interest or for the protection 
of investors, may be admitted as a party upon the filing of a written 
motion setting forth the person's interest in the proceeding.
    (2) Intervention as of right. In proceedings under the Investment 
Company Act of 1940, any interested State or State agency shall be 
admitted as a party to any proceeding upon the filing of a written 
motion requesting leave to be admitted.
* * * * *

PART 202--INFORMAL AND OTHER PROCEDURES

0
27. The general authority citation for Part 202 is revised and the 
specific authority for Sec.  202.5 is removed to read, in part, as 
follows:

    Authority:  15 U.S.C. 77s, 77t, 77sss, 77uuu, 78d-1, 78u, 78w, 
78ll(d), 80a-37, 80a-41, 80b-9, 80b-11, 7201 et seq., unless 
otherwise noted.
* * * * *


Sec.  202.1  [Amended]

0
28. Section 202.1 is amended by removing the phrase ``250,'' from 
paragraph (b).


Sec.  202.2  [Amended]

0
29. Section 202.2 is amended by removing the phrase ``matters under the 
Public Utility Holding Company Act of 1935 and'' in the last sentence.


Sec.  202.3  [Amended]

0
30. Section 202.3 is amended by:
0
a. Removing the phrase ``and the Public Utility Holding Company Act of 
1935'' from the first sentence of paragraph (a);
0
b. Removing the phrase ``, and filings under the Public Utility Holding 
Company Act of 1935 which are also routed to the Division of Investment 
Management.'' from the seventh sentence of paragraph (a); and
0
c. Removing the phrase ``the Public Utility Holding Company Act of 
1935,'' from the last sentence of paragraph (b)(1).


Sec.  202.6  [Amended]

0
31. Section 202.6 is amended by removing the authority citation at the 
end of the section.


Sec.  202.9  [Amended]

0
32. Section 202.9 is amended by removing the phrase ``250.110,'' from 
the first sentence of footnote 1.

PART 210--FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL 
STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 
1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 
1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975

0
33. The authority citation for Part 210 continues to read, in part, as 
follows:

    Authority:  15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 
77aa(25), 77aa(26), 77nn(25), 77nn(26), 78c, 78j-1, 78l, 78m, 78n, 
78o(d), 78q, 78u-5, 78w, 78ll, 78mm, 80a-8, 80a-20, 80a-29, 80a-30, 
80a-31, 80a-37(a), 80b-3, 80b-11, 7202 and 7262, unless otherwise 
noted.


Sec.  210.1-01  [Amended]

0
34. Section 210.1-01 is amended by adding the word ``and'' at the end 
of paragraph (a)(2), removing paragraph (a)(3), and redesignating 
paragraph (a)(4) as paragraph (a)(3).


Sec.  210.3-18  [Amended]

0
35. Section 210.3-18 is amended by removing the authority citation 
following the section.


210.3A-05  [Removed]

0
36. Section 210.3A-05 is removed in its entirety.

PART 229--STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES 
ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND 
CONSERVATION ACT OF 1975--REGULATION S-K

0
37. The authority citation for Part 229 continues to read, in part, as 
follows:

    Authority:  15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z-2, 
77z-3, 77aa(25), 77aa(26), 77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj, 
77nnn, 77sss, 78c, 78i, 78j, 78l, 78m, 78n, 78n-1, 78o, 78u-5, 78w, 
78ll, 78mm, 80a-8, 80a-9, 80a-20, 80a-29, 80a-30, 80a-31(c), 80a-37, 
80a-38(a), 80a-39, 80b-11, and 7201 et seq.; and 18 U.S.C. 1350, 
unless otherwise noted.
* * * * *

0
38. Section 229.405 is amended by revising the introductory text and 
removing the phrase ``or section 17 of the Public Utility Holding 
Company Act'' from paragraph (a)(1).
    The revision reads as follows:


Sec.  229.405  (Item 405) Compliance with section 16(a) of the Exchange 
Act.

    Every registrant having a class of equity securities registered 
pursuant to section 12 of the Exchange Act (15 U.S.C. 78l) and every 
closed-end investment company registered under

[[Page 71876]]

the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) shall:
* * * * *

PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933

0
39. The authority citation for Part 230 is revised by removing the 
specific authority for Sec.  230.473 to read, in part, as follows:

    Authority:  15 U.S.C. 77b, 77c, 77d, 77f, 77g, 77h, 77j, 77r, 
77s, 77z-3, 77sss, 78c, 78d, 78j, 78l, 78m, 78n, 78o, 78t, 78w, 
78ll(d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37, 
unless otherwise noted.
* * * * *


Sec. Sec.  230.122 and 230.176  [Amended]

0
40. Sections 230.122 and 230.176 are amended by removing the authority 
citations at the end of the sections.

PART 230--REGULATION C--REGISTRATION

0
41. The authority citation for Part 230, Regulation C, Registration, is 
revised by removing the specific authority for Sec.  230.499 to read, 
in part, as follows:

    Authority:  Sections 230.400 to 230.499 issued under secs. 6, 8, 
10, 19, 48 Stat. 78, 79, 81, and 85, as amended (15 U.S.C. 77f, 77h, 
77j, 77s).
* * * * *

0
42. Sections 230.400, 230.404, 230.414, 230.421, 230.423, 230.427, 
230.430, 230.431, 230.436, 230.460, 230.470, 230.471, and 230.479 are 
amended by removing the authority citations following the sections.


Sec.  230.412  [Amended]

0
43. Section 230.412 is amended by removing the phrase ``the Public 
Utility Holding Company Act of 1935,'' from the second sentence in 
paragraph (b).

PART 230--INVESTMENT COMPANIES; BUSINESS DEVELOPMENT COMPANIES

0
44. The authority citation for Part 230, Investment Companies; Business 
Development Companies, Sec. Sec.  230.480 through 230.485 is removed. 
The source and note remain unchanged.

PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR 
ELECTRONIC FILINGS

0
45. The authority citation for Part 232 continues to read, in part, as 
follows:

    Authority:  15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77z-3, 
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c), 
80a-8, 80a-29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *


Sec.  232.11  [Amended]

0
46. Section 232.11 is amended by removing the definition of the term 
``Public Utility Act.''


Sec.  232.101  [Amended]

0
47. Section 232.101 is amended by removing and reserving paragraphs 
(c)(12), (c)(13), and (c)(14).


Sec.  232.102  [Amended]

0
48. Section 232.102 is amended by removing the phrase ``Rule 22 under 
the Public Utility Holding Company Act (Sec.  250.22 of this 
chapter),'' from the second sentence of paragraph (a) and removing 
paragraph (f).


Sec.  232.104  [Amended]

0
49. Section 232.104 is amended by removing the phrase ``section 16 of 
the Public Utility Act (15 U.S.C. 79p),'' from the first sentence of 
paragraph (d).


Sec.  232.201  [Amended]

0
50. Section 232.201 is amended by removing the phrases ``259.604,'' and 
``259.601,'' from note 1 to paragraph (a).


Sec.  232.202  [Amended]

0
51. Section 232.202 is amended by removing the phrase ``259.603,'' from 
note 1 to Sec.  232.202.


Sec.  232.306  [Amended]

0
52. Section 232.306 is amended by removing the phrase ``259.603,'' from 
paragraphs (b) and (c).


Sec.  232.311  [Amended]

0
53. Section 232.311 is amended by:
0
a. Removing paragraphs (c), (d), and (e); and redesignating paragraphs 
(f) through (i) as paragraphs (c) through (f);
0
b. In newly redesignated paragraph (e)(1), removing the phrases 
``259.604,'' and ``259.601,''; and
0
c. In newly redesignated paragraph (e)(2), removing the phrase ``(a) 
through (g)'' and adding in its place the phrase ``(a) through (d)''.


Sec.  232.501  [Amended]

0
54. Section 232.501 is amended by removing the phrase ``Public Utility 
Act section 16 (15 U.S.C. 79p),'' from paragraph (c)(2); and removing 
the phrase ``the Public Utility Act'' from the second sentence of 
paragraph (c)(3).

PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

0
55. The authority for Part 239 is amended by revising the specific 
authority for Sec. Sec.  239.63 and 239.64 to read as follows:

    Authority:  15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 
77sss, 78c, 78l, 78m, 78n, 78o(d), 78u-5, 78w(a), 78ll, 78mm, 80a-
2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 
80a-30, and 80-37, unless otherwise noted.
* * * * *
    Sections 239.63 and 239.64 are also issued under 15 U.S.C. 77f, 
77g, 77h, 77j, 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 
78w(a), 80a-8, 80a-24, 80a-29, and 80a-37.
* * * * *

PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 
1934

0
56. The authority for Part 240 is amended by revising the specific 
authorities for Sec.  240.14d-1 and Sec.  240.14e-2 to read as follows:

    Authority:  15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i, 
78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78p, 78q, 
78s, 78u-5, 78w, 78x, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 
80b-3, 80b-4, 80b-11, and 7201 et seq.; 18 U.S.C. 1350; 12 U.S.C. 
5221(e)(3); and Pub. L. 111-203, Sec.  939A, 124 Stat. 1376 (2010), 
unless otherwise noted.
* * * * *
    Section 240.14d-1 is also issued under 15 U.S.C. 77g, 77j, 
77s(a), 77ttt(a), 80a-37.
    Section 240.14e-2 is also issued under 15 U.S.C. 77g, 77h, 
77s(a), 77sss, 80a-37(a).
* * * * *


Sec.  240.0-4  [Amended]

0
57. Section 240.0-4 is amended by removing the authority citation at 
the end of the section.


Sec.  240.11d1-1  [Amended]

0
58. Section 240.11d1-1 is amended by removing the phrase ``, or as a 
stockholder of a company distributing such security in order to 
effectuate the provisions of section 11 of the Public Utility Holding 
Company Act of 1935'' from the first sentence of paragraph (d) and by 
removing the authority citation at the end of the section.


Sec.  240.13f-1  [Amended]

0
59. Section 240.13f-1 is amended by removing the phrase ``13(f)(3) of 
the Act (15 U.S.C. 78m(f)(3))'' from the second sentence of paragraph 
(c) and adding in its place the phrase ``13(f)(4) of the Act (15 U.S.C. 
78m(f)(4))''.


Sec. Sec.  240.14d-4 and 240.14d-7  [Amended]

0
60. Sections 240.14d-4 and 240.14d-7 are amended by removing the 
authority citations following the end of each section.


Sec.  240.16a-1  [Amended]

0
61. Section 240.16a-1 is amended by removing paragraph (a)(5)(i) and 
redesignating paragraphs (a)(5)(ii) and (a)(5)(iii) as paragraphs 
(a)(5)(i) and (a)(5)(ii).

[[Page 71877]]

Sec.  240.16a-2  [Amended]

0
62. Section 240.16a-2 is amended by removing the phrase ``section 17(a) 
of the Public Utility Holding Company Act of 1935 (15 U.S.C. 79q(a)) 
or'' from the first sentence of the introductory text; and removing the 
phrase ``Public Utility Holding Company Act of 1935 and the'' from the 
third sentence of the introductory text.


Sec.  240.16a-3  [Amended]

0
63. Section 240.16a-3 is amended by removing the phrase ``either 
section 17(a) of the Public Utility Holding Company Act of 1935 (15 
U.S.C. 79q(a)) or'' from paragraph (d).


Sec.  240.16-1  [Amended]

0
64. Section 240.16b-1 is amended by removing the designation ``(a)'' 
from paragraph (a) and removing paragraph (b).

PART 243--REGULATION FD

0
65. The authority for Part 243 continues to read as follows:

    Authority:  15 U.S.C. 78c, 78i, 78j, 78o, 78w, 78mm, and 80a-29, 
unless otherwise noted.


Sec.  243.100  [Amended]

0
66. Section 243.100 is amended by removing the phrase ``13(f)(5) of the 
Securities Exchange Act of 1934 (15 U.S.C. 78m(f)(5))'' from paragraph 
(b)(1)(ii) and adding in its place the phrase ``13(f)(6) of the 
Securities Exchange Act of 1934 (15 U.S.C. 78m(f)(6))''.

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

0
67. The authority for Part 249 continues to read, in part, as follows:

    Authority:  15 U.S.C. 78a et seq. and 7201 et seq.; and 18 
U.S.C. 1350, unless otherwise noted.
* * * * *

0
68. Amend Form 5 (referenced in Sec.  249.105) by:
0
a. Removing ``, except that a single statement shall be filed with 
respect to the securities of a registered public utility holding 
company and all of its subsidiary companies'' from General Instruction 
1(c).
0
b. Removing and reserving General Instruction 3(a)(ii).

    Note-- The text of Form 5 does not and this amendment will not 
appear in the Code of Federal Regulations.

PART 250--[REMOVED AND RESERVED]

0
69. Part 250 is removed and reserved.

PART 251--[REMOVED AND RESERVED]

0
70. Part 251 is removed and reserved.

PART 256--[REMOVED AND RESERVED]

0
71. Part 256 is removed and reserved.

PART 257--[REMOVED AND RESERVED]

0
72. Part 257 is removed and reserved.

PART 259--[REMOVED AND RESERVED]

0
73. Part 259 is removed and reserved.

PART 260--GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 
1939

0
74. The authority citation for part 260 continues to read as follows:

    Authority:  15 U.S.C. 77eee, 77ggg, 77nnn, 77sss, 77ll(d), 80b-
3, 80b-4, and 80b-11.


0
75. Sections 260.0-4, 260.0-6 and 260.7a-29 are amended by removing the 
authority citations at the end of the sections.


Sec.  260.19a-1  [Amended]

0
76. Section 260.19a-1 is amended by:
0
a. Removing the quotation marks before and after the phrase ``file with 
the indenture trustee all reports required to be filed with the 
Commission pursuant to Section 13 or Section 15(d) of the Securities 
Exchange Act of 1934.''
0
b. Removing the phrase ``77nn(a)(1)'' and adding in its place the 
phrase ``77nnn(a)(1)''.

PART 270--RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

0
77. The authority citation for part 270 continues to read, in part, as 
follows:

    Authority:  15 U.S.C. 80a-1 et seq., 80a-34(d), 80a-37, and 80a-
39, unless otherwise noted.
* * * * *


Sec. Sec.  270.0-4 and 270.8b-32  [Amended]

0
78. Sections 270.0-4 and 270.8b-32 are amended by removing the 
authority citations at the end of the sections.

PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

0
79. The general authority for Part 274 continues to read, in part, as 
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m, 
78n, 78o(d), 80a-8, 80a-24, 80a-26, and 80a-29, unless otherwise 
noted.
* * * * *

0
80. Amend Form 3 (referenced in Sec. Sec.  249.103 and 274.202) by:

    Note-- The text of Form 3 does not and this amendment will not 
appear in the Code of Federal Regulations.


0
a. Removing and reserving General Instructions 1(a)(iii) and 4(a)(ii).
0
b. Removing the phrase ``, except that a single statement shall be 
filed with respect to the securities of a registered public utility 
holding company and all of its subsidiary companies'' from General 
Instruction 2(c).

0
81. Amend Form 4 (referenced in Sec. Sec.  249.104 and 274.203) by:

    Note-- The text of Form 4 does not and this amendment will not 
appear in the Code of Federal Regulations.

0
a. Removing the phrase ``, except that a single statement shall be 
filed with respect to the securities of a registered public utility 
holding company and all of its subsidiary companies'' from General 
Instruction 1(c).
0
b. Removing and reserving General Instruction 3(a)(ii).

0
82. Amend the Form SE (referenced in Sec. Sec.  239.64, 249.444, 269.8 
and 274.403) by removing the phrase ``the Public Utility Holding 
Company Act of 1935,'' from Form SE General Instruction 1.A. and from 
the second sentence of Form SE General Instruction 1.B.

    Note: The text of Form SE does not and this amendment will not 
appear in the Code of Federal Regulations.

PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

0
83. The authority citation for part 275 continues to read, in part, as 
follows:

    Authority:  15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-
2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, and 80b-11, unless 
otherwise noted.
* * * * *


Sec.  275.0-4  [Amended]

0
84. Section 275.0-4 is amended by removing the authority citation at 
the end of the section.

    Dated: November 4, 2011.

    By the Commission.

Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-29096 Filed 11-18-11; 8:45 am]
BILLING CODE 8011-01-P