[List of CFR Sections Affected (LSA), March 1997] [From the U.S. Government Publishing Office, www.gpo.gov] TITLE 17--COMMODITY AND SECURITIES EXCHANGES Chapter I--Commodity Futures Trading Commission (Parts 1--199) Page 1 Fee schedules.................................................96-19830 Clarification.................................................96-50431 Advisory.......................................................97-7675 1.10 (a)(2)(i)(A), (B), (ii)(A), (B), (3)(i), (ii)(A), (b)(1), (2)(i), (ii)(A), (c), (d)(2)(v), (3) (f) heading, (1), (g)(5), (j)(8)(i)(B) and (ii)(B) revised; (d)(2)(vi) redesignated as (d)(2)(vii); new (d)(2)(vi) added; (g)(3) and (i) removed................................97-4639 (b)(2)(iii) added; (c), (d)(4), (g)(1) and (2) revised; eff. 4-7-97........................................97-10444 1.12 (b)(2) amended; (b)(3) redesignated as (b)(4); new (b)(3), (f)(4) and (5) added; (g) introductory text, (1) and (2) revised.....................................................96-19185 (b)(4) revised.................................................97-4640 1.17 (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2), (B)(2), (viii)(A)(2) and (3)(ii)(B) amended; (e)(1)(iii), (h)(2)(vi)(C)(3), (vii)(A)(3), (B)(3), (viii)(A)(3), (3)(ii)(C), (v)(C) and (D) redesignated as (e)(1)(iv), (h)(2)(vi)(C)(4), (vii)(A)(4), (B)(4), (viii)(A)(4), (B)(4), (viii)(A)(4), (3)(ii)(D), (v)(D) and (E); (a)(1), (c)(5)(xiii), new (h)(2)(vii)(A)(4) and new (B)(4) revised; new (e)(1)(iii), (h)(2)(vi)(C)(3), (vii)(A)(3), (C), (viii)(3), (3)(ii)(C) and (v)(C) added......................96-19186 (d) introductory text revised; (d)(3) removed..................97-4641 1.18 (a) and (b) revised.........................................97-4641 1.35 (d)(7) revised.............................................96-43001 1.41 (c) revised; eff. 4-7-97...................................97-10433 (b) introductory text, (1) through (5) and concluding text redesignated as (b)(1)(i) introductory text, (A) through (E) and (ii); new (b)(1)(i) amended; new (b)(1)(ii) revised; new (b)(2), new (3) and new (4) added; eff. 4- 7-97........................................................97-10439 1.41b (b) revised; eff. 4-7-97..................................97-10439 1.52 (a) revised.................................................97-4641 1.58 Revised....................................................96-19187 3 Technical correction..........................................96-26253 Authority citation revised.....................................97-4641 3.33 (c)(1) revised..............................................97-4642 3.34 (b)(3)(ii) removed; (b)(3)(iii) introductory text and (A)(3) revised.....................................................96-20131 3 Appendix A amended............................................96-58628 4 Interpretation......................................96-42146, 96-65940 Comment period extension......................................96-54731 Technical correction..........................................96-56271 5 Fee schedules.................................................96-19830 Authority citation revised....................................97-10440 5.1 Added; eff. 4-7-97..........................................97-10440 5 Appendix D amended; eff. 4-7-97...............................97-10441 10.84 (b) amended...............................................96-21954 10.102 (e)(2) amended...........................................96-21954 15.00 (b)(1)(ii) revised; eff. 4-14-97...........................97-6113 15.01 (d) revised; eff. 4-14-97..................................97-6113 (d)(1) corrected..............................................97-13301 18.03 Added; eff. 4-14-97........................................97-6114 18.04 Introductory text revised; (d) removed; eff. 4-14-97......................................................97-6114 Corrected.....................................................97-13301 19.00 (a)(1) revised; eff. 4-14-97...............................97-6114 (a)(1) corrected..............................................97-13301 30 Appendix C amended...........................................96-64989 Appendix C amended...............97-8877, 97-10447, 97-10449, 97-10450 31 Fee schedules................................................96-19830 31.13 (m) revised; eff. 4-7-97..................................97-10445 140.20 (a) amended..............................................96-21955 140.24 (a)(6) amended...........................................96-21955 140.735-8 (b)(3), (c)(2), (e) and (f) amended...................96-21955 (b)(3) corrected..............................................97-13302 143 Authority citation revised..................................96-55566 143.1 Revised...................................................96-55566 143.8 Added.....................................................96-55566 145.5 (d)(1)(i)(G) removed.......................................97-4642 147.3 (b)(4)(i)(A)(7) removed....................................97-4642 156.4 Added.....................................................96-41498 Chapter II--Securities and Exchange Commission (Parts 200--399) 200.30-3 (a)(6) revised...........................................97-542 (a)(61) and (62) added.........................................97-1385 200.30-4 (a)(11) added..........................................96-20721 200.30-5 (a)(8)(ii)(B) amended..................................96-49011 [[Page 32]] 200.30-7 (a)(3) corrected.......................................96-15338 200.30-14 (k) added.............................................96-56892 200.80 (c)(3) added.............................................96-24654 201 Technical correction........................................96-59930 201.1001 (Subpart E) Added......................................96-57774 202.3a Introductory text amended................................96-49959 202.8 Added......................................................97-4105 210 Authority citation revised.........................97-6063, 97-12749 210.1-02 (d) revised; eff. 4-17-97..............................97-12749 210.3-05 (a)(3) and (b) revised.................................96-54514 210.3-16 Removed................................................96-30401 210.4-05 Removed................................................96-30401 210.4-06 Removed................................................96-30401 210.4-08 (n) added; eff. 4-11-97.................................97-6063 210.4-10 (b) revised; (c) through (h) removed; (i) and (j) redesignated as (c) and (d).................................96-30401 210.11-01 (b) and (c) revised...................................96-54514 211 Staff Accounting Bulletin No. 97 added......................96-40721 228 Authority citation revised...................................97-6064 228.10 (g) added; eff. 4-11-97...................................97-6064 228.310 (c) and (d)(1) revised; (d)(2) removed; (d)(3) redesignated as (d)(2)......................................96-54515 Note 2 amended; eff. 4-11-97...................................97-6064 228.405 (a) amended; (a)(1) and (2) revised.....................96-30391 228.502 (a)(2) revised..........................................96-24654 (d)(1) introductory text and (i) revised; (d)(2) amended.......................................................97-542 228.508(i) amended; (j) added.....................................97-543 (j) corrected.................................................97-11323 228.601 (c)(1)(vi) Note 1 and Note 2 amended....................96-24654 Table amended; (b)(7), (14) and (28) removed..................96-30401 228.701 (e) added...............................................96-54508 229 Authority citation revised...................................97-6064 229.305 Added; eff. 4-11-97......................................97-6064 229.405 (a)(1) and (2) revised..................................96-30391 229.501 (b) removed; (c) redesignated as (b); new (b)(8) amended 96-30401 229.502 (a)(2) revised..........................................96-24654 (d)(1) introductory text and (i) revised; (d)(2) amended.......................................................97-543 229.508 (k) amended; (l) added....................................97-543 (l) corrected.................................................97-11323 229.601 (c)(1)(vi) Note 1 and Note 2 amended....................96-24654 Table amended; (b)(6), (7), (14) and (28) removed.............96-30401 229.701 (e) added...............................................96-54508 229.801 (a) removed.............................................96-30401 229.802 (a) removed.............................................96-30401 230.111 (a) amended.............................................96-49959 230.120 Revised.................................................96-24654 230.144 (a)(3)(iv) amended; (a)(3)(v) added.....................96-21359 (d)(1), (e)(3)(ii), (iii), (iv) and (k) revised; eff. 4-29-97.................................................97-9244 230.145 (d)(2) and (3) revised; eff. 4-29-97.....................97-9245 230.148 Removed.................................................96-30401 230.236 (a) and (c)(4) amended..................................96-49959 230.252 (h)(2) revised..........................................96-30401 (f) removed...................................................96-49959 (e) revised; (h)(1) amended...................................96-67202 230.253 (b) redesignated as (b)(1); (b)(2) added................96-24654 230.254 (b)(1) amended..........................................96-67202 230.255 (a)(1) amended..........................................96-67202 230.256 Introductory text amended...............................96-67202 230.257 Introductory text amended...............................96-67202 230.259 (a) amended.............................................96-67202 230.300--230.346 Undesignated center heading removed............96-30402 230.300 Removed.................................................96-30402 230.302 Removed.................................................96-30402 230.304 Removed.................................................96-30402 230.306 Removed.................................................96-30402 230.310 Removed.................................................96-30402 230.312 Removed.................................................96-30402 230.314 Removed.................................................96-30402 230.316 Removed.................................................96-30402 230.318 Removed.................................................96-30402 230.320 Removed.................................................96-30402 230.322 Removed.................................................96-30402 230.324 Removed.................................................96-30402 230.326 Removed.................................................96-30402 230.328 Removed.................................................96-30402 230.330 Removed.................................................96-30402 230.332 Removed.................................................96-30402 230.334 Removed.................................................96-30402 230.336 Removed.................................................96-30402 230.338 Removed.................................................96-30402 230.340 Removed.................................................96-30402 230.342 Removed.................................................96-30402 230.344 Removed.................................................96-30402 230.346 Removed.................................................96-30402 230.402 (a) and (c) amended; (e) revised........................96-30402 230.406 Note redesignated as Note 1; Note 2 added; (a) amended; (j) removed.................................................96-30402 230.418 (a)(4) amended............................................97-543 230.420 Existing text designated as (a); (b) added..............96-24655 [[Page 33]] 230.445--230.447 Undesignated center heading removed............96-30402 230.445 Removed.................................................96-30402 230.446 Removed.................................................96-30402 230.447 Removed.................................................96-30402 230.461 (b)(7) amended............................................97-543 230.464 Heading revised; introductory text and (b) amended......96-30402 230.471 Existing text designated as (a); (b) added..............96-30402 230.472 (b) amended.............................................96-30402 230.473 (c) and (d) amended.....................................96-30402 230.481 (h) added...............................................96-24655 230.482 (a)(6) note added; (a)(7) note removed..................96-24655 230.504 (b)(1) revised..........................................96-30402 230.604 (a) amended.............................................96-49959 230.605 (c) redesignated as (c)(1); (c)(2) added................96-24655 230.651 Undesignated center heading and section removed.........96-30402 230.652 Removed.................................................96-30402 230.653 Removed.................................................96-30402 230.654 Removed.................................................96-30402 230.655 Removed.................................................96-30402 230.656 Removed.................................................96-30402 230.702(T) Removed..............................................96-30402 230.703(T) Removed..............................................96-30402 230.902 (a)(1) amended..........................................96-30402 230.1001 Undesignated center heading and section added..........96-21359 231 Interpretive releases.......................................96-24651 232.101 (c)(7) removed; (c)(8) through (20) redesignated as (c)(7) through (19); eff. 5-5-97...................................96-67202 232.301 Revised.................................................96-52284 Revised........................................................97-8878 Corrected.....................................................97-13821 232.304 Heading, (a), (b)(1) and (c) revised....................96-24655 232.311 (c) removed; (d) through (i) redesignated as (c) through (h).........................................................96-30402 239 Authority citation amended...................................97-6070 239.9 Form SB-1 amended.........................................96-67202 239.10 Form SB-2 amended........................................96-67202 239.11 Form S-1 amended; eff. 4-11-97............................97-6070 239.12 Form S-2 amended; eff. 4-11-97............................97-6070 239.14 Form N-2 amended...............................96-24658, 96-49961 239.15A Form N-1A amended.........96-24657, 96-49016, 96-49017, 96-49961 239.17a Form N-3 amended..............................96-24658, 96-49961 239.17b Form N-4 amended..............................96-24658, 96-49961 239.18 Form S-11 amended; eff. 4-11-97...........................97-6071 239.23 Form N-14 amended........................................96-49011 239.25 Form S-4 amended.........................................96-54516 Form S-4 amended; eff. 4-11-97.................................97-6071 239.34 Form F-4 amended.........................................96-54516 Form F-4 amended; eff. 4-11-97.................................97-6071 239.36 Form F-6 amended.........................................96-30403 239.37 Form F-7 amended...............................96-24655, 96-30403 Form F-7 corrected............................................97-11323 239.38 Form F-8 amended...............................96-24655, 96-30403 Form F-8 corrected............................................97-11323 239.39 Form F-9 amended...............................96-24656, 96-30403 Form F-9 corrected............................................97-11323 239.40 Form F-10 amended..............................96-24656, 96-30403 Form F-10 corrected...........................................97-11323 239.41 Form F-80 amended..............................96-24656, 96-30403 239.90 Form 1-A amended.........................................96-67203 239.91 Form 2-A amended.........................................96-67203 239.101 Removed.................................................96-30403 239.300 Removed.................................................96-30403 239.701 Removed.................................................96-30403 240 Phase-in period extension...................................96-30396 Authority citation amended....................................96-48328 Revised compliance dates......................................96-63709 Authority citation amended...................97-543, 97-6071, 97-12749 Revised compliance dates.......................................97-6468 240.0-9 Revised.................................................96-49959 240.0-11 (c)(1)(ii) revised.....................................96-49959 240.10a-1 (e)(5) introductory text, (6), (10) and (11) amended..................................................97-543 240.10b-6 Removed.................................................97-543 240.10b-6A Removed................................................97-543 240.10b-7 Removed.................................................97-543 240.10b-8 Removed.................................................97-543 240.10b-18 (a)(3)(i) through (vi) redesignated as (a)(3)(ii) through (vii); (a)(3)(i) added; (a)(5) and (6) revised........................................97-543 (a)(3)(i) corrected...........................................97-11323 240.10b-21 Removed................................................97-543 240.10A-1 Undesignated center heading and section added; eff. 4-17-97.........................................97-12749 240.11a-1 (b)(3) amended..........................................97-544 240.11Aa3-1 (a)(4) revised......................................96-48328 Regulation at 61 FR 48328 eff. date delayed to 1-13-97......................................................97-1280 240.11Ac1-1 Revised.............................................96-48328 [[Page 34]] Regulation at 61 FR 48328 eff. date delayed in part to 1-13-97 and in part to 1-13-97.......................97-1280 Regulation at 61 FR 48328 eff. date delayed in part to 1-20-97..............................................97-1385 240.11Ac1-4 Added...............................................96-48331 Regulation at 61 FR 48331 eff. date delayed to 1-13-97......................................................97-1280 Regulation at 61 FR 48331 eff. date delayed to 1-20-97......................................................97-1385 240.12b-7 Removed...............................................96-49959 240.12b-11 (b) amended; (d) revised.............................96-30403 240.12b-12 (e) added............................................96-24656 240.12g-1 Amended...............................................96-21356 240.12g-4 (a)(1)(ii) and (2)(ii) amended........................96-21356 240.12h-3 (b)(1)(ii) and (2)(ii) amended........................96-21356 240.13a-1 Amended...............................................96-49959 240.13a-13 Heading and (c) revised..............................96-30403 240.13a-17 Removed..............................................96-30403 240.13d-7 Removed...............................................96-49959 240.13d-101 Amended.............................................96-49959 240.13d-102 Amended.............................................96-49959 240.13e-3 (e)(3) amended........................................96-24656 240.13e-4 (e)(1)(ii)(A) revised.................................96-24656 (h)(5) revised................................................96-68589 (h)(5)(i) amended...............................................97-544 (h)(5)(i) corrected...........................................97-11323 240.13e-102 Amended.............................................96-24656 Amended.........................................................97-544 240.14a-3 (b)(2) redesignated as (b)(2)(i); (b)(2)(ii) added....96-24656 (b)(5)(iii) added; eff. 4-11-97................................97-6071 240.14a-5 (d) redesignated as (d)(1); (d)(2) added..............96-24656 240.14a-6 (i) revised...........................................96-49960 240.14a-7 Note added............................................96-24657 240.14a-101 Amended.............................................96-49960 Amended; eff. 4-11-97..........................................97-6071 240.14c-4 (d) added.............................................96-24657 240.14c-5 (g) revised...........................................96-49960 240.14c-7 (c) revised...........................................96-24657 240.14c-101 Amended.............................................96-49960 240.14d-1 (d) revised...........................................96-30403 240.14d-5 Authority citation removed............................96-24656 Note added....................................................96-24657 240.14d-102 Amended.............................................96-24657 Amended.........................................................97-544 240.14d-103 Amended.............................................96-24657 240.15c3-1 (a)(7) removed; (c)(2)(x) revised; eff. 9-1-97.......................................................97-6480 240.15c3-1a Revised; eff. 9-1-97.................................97-6481 240.15d-1 Amended...............................................96-49960 240.15d-13 Heading and (c) revised..............................96-30403 240.15d-17 Removed..............................................96-30404 240.16a-1 (a)(3) and (c)(3) revised; (c)(5) and (6) amended; (c)(7) added................................................96-30391 240.16a-2 (b) and (d)(2) revised................................96-30392 240.16a-3 (f)(1)(i) and (g) revised; (f)(1)(ii) and (iii) redesignated as (f)(1)(iii) and (iv); new (f)(1)(ii) and (j) added.......................................................96-30392 (i) revised...................................................96-30404 240.16a-4 (b), (c) and (d) revised..............................96-30392 240.16a-6 (a) revised; (c) removed..............................96-30392 240.16a-8 (a)(1) revised; (b)(3) note added.....................96-30392 240.16a-9 (a) revised...........................................96-30393 240.16a-11 Added................................................96-30393 240.16a-12 Added................................................96-30393 240.16a-13 Added................................................96-30393 240.16b-1 (c) removed...........................................96-30404 240.16b-2 Removed...............................................96-30393 240.16b-3 Revised...............................................96-30393 240.16b-4 Removed...............................................96-30404 240.16b-6 (b) note added........................................96-30394 240.17a-2 (a), (b) introductory text, (1), (c) introductory text, (1) and (d) revised........................97-544 240.17a-4 (f) revised; eff. 4-14-97..............................97-6473 240.24b-2 Note added; (g) removed...............................96-30404 240.31-1 Note and (f) revised; eff. 1-1-97; revised; eff. 9-1-97; note revised; eff. 10-1-97..................................96-68594 241 Interpretive releases.......................................96-24651 242 Added.........................................................97-544 242.100 Corrected...............................................97-11323 242.102 (b)(7)(ii) corrected....................................97-11323 242.104 Regulation at 62 FR 548 eff. date corrected in part to 4-1-97.................................97-11321 (f)(2)(i) and (j)(2)(ii) corrected............................97-11323 (f)(2)(i) corrected...........................................97-13213 249.103 Form 3 amended..........................................96-30394 249.104 Form 4 amended..........................................96-30394 249.105 Form 5 amended..........................................96-30395 249.210 Form 10 amended; eff. 4-11-97............................97-6072 249.220f Form 20-F amended; eff. 4-11-97.........................97-6072 [[Page 35]] 249.240 Form 40-F amended.......................................96-49960 249.308 Form 8-K amended..............................96-54508, 96-54516 249.308a Form 10-Q amended......................................96-54509 Form 10-Q amended; eff. 4-11-97................................97-6078 249.308b Form 10-QSB amended....................................96-54509 249.310 Form 10-K amended.............................96-30404, 96-54509 Form 10-K amended; eff. 4-11-97................................97-6079 249.310b Form 10-KSB amended....................................96-54509 249.310c Removed................................................96-30404 249.323 (a) amended.............................................96-21356 249.330 Form N-SAR amended......................................96-49961 249.501 Form BD revised.........................................96-37361 Regulation at 61 FR 37361 compliance date suspended...........96-47412 250.1 (d) removed...............................................96-49961 250.45 (b)(4) revised............................................97-7915 250.52 (b) revised...............................................97-7915 250.58 Added.....................................................97-7916 250.94 (b) removed..............................................96-49961 250.106 Removed.................................................96-49961 250.107 Removed.................................................96-49961 259.208 Added....................................................97-7917 259.404 Form U-7D amended.......................................96-49961 270 Compliance date suspension..................................96-42786 270.0-5 (d) removed.............................................96-49961 270.0-8 Revised.................................................96-49961 270.3a-4 Added..................................................97-15109 270.6c-10 Revised...............................................96-49016 270.8b-6 Removed................................................96-49961 270.8b-12 (f) added; authority citation removed.................96-24657 270.11a-3 (a)(3) revised........................................96-49016 270.12b-1 (b)(1) revised........................................96-49011 270.12d3-1 Regulation at 61 FR 13982 compliance date suspended 96-42786 270.17f-6 Added.................................................96-66212 270.24e-2 (a) revised...........................................96-68595 270.24f-2 (a)(3) removed; (a)(4) redesignated as (a)(3); new (a)(3) revised..............................................96-49961 270.30a-1 Amended...............................................96-49961 270.30b1-1 Amended..............................................96-49961 270.30b1-3 Amended..............................................96-49961 270.30d-1 (c), (d)(2) and (e) amended...........................96-24657 270.30d-2 Amended...............................................96-24657 270.31a-1 Compliance date suspension............................96-42786 271 Interpretive releases.......................................96-24651 274.11A Form N-1A amended.........96-24657, 96-49016, 96-49017, 96-49961 274.11a-1 Form N-2 amended............................96-24658, 96-49961 274.11b Form N-3 amended..............................96-24658, 96-49961 274.11c Form N-4 amended..............................96-24658, 96-49961 274.101 Form N-SAR amended......................................96-49961 275.0-5 (d) removed; (e) redesignated as (d)....................96-49962 275.203-3 Removed...............................................96-49962 275.204-1 (c) stayed............................................96-68503 276 Interpretive releases.......................................96-24651 279.3 Stayed....................................................96-68503 300.300 (a) and (c) amended; eff. 4-7-97........................97-10451 300.301 (a)(2)(i) amended; eff. 4-7-97..........................97-10451 Chapter IV--Department of the Treasury (Parts 400--499) 400 Authority citation revised..................................96-48348 400.1 (e) added.................................................96-48348 404.4 (a)(1) revised; eff. 4-30-97...............................97-7155 420 Added.......................................................96-48348 420.4 (a)(3) corrected..........................................96-52498 420.5 Corrected.......................................96-52498, 96-53996 420 Appendix B corrected........................................96-52498 Proposed Rules: 1.............96-19869, 96-28806, 96-55235, 96-59386, 96-66241, 96-68175 .....................................................97-2334, 97-13564 4...............................................................96-44009 5.....................................................96-59386, 96-68175 15..............................................................96-37409 16..............................................................96-37409 17..............................................................96-37409 18..............................................................96-37409 19..............................................................96-37409 31..............................................................96-55235 145.............................................................96-66949 147.............................................................96-66949 156.............................................................96-19869 200--399 (Ch. II)...............................................96-65191 ...............................................................97-1301 200.............................................................96-65440 210...................................................96-16674, 96-45730 228.....................96-16672, 96-16674, 96-17108, 96-47706, 96-65440 .............................................97-3152, 97-9258, 97-9276 229...............................96-16672, 96-16674, 96-17108, 96-65440 .............................................97-3152, 97-9258, 97-9276 230..........96-25601, 96-30405, 96-43400, 96-47706, 96-54518, 96-65440, 96-66621 .......97-3152, 97-4106, 97-7186, 97-9246, 97-9258, 97-9276, 97-10898, 97-10943, 97-13356 [[Page 36]] 232.........................................96-44249, 96-59046, 96-65440 239.....................96-16674, 96-30405, 96-47706, 96-65440, 96-66621 ............................................97-3152, 97-9246, 97-10898 240..........96-16674, 96-17108, 96-18306, 96-25601, 96-30405, 96-36521, 96-37701, 96-43400, 96-44249, 96-45730, 96-47706, 96-48333, 96- 54518, 96-55593, 96-59046, 96-65440 ............................................97-2633, 97-4106, 97-13356 242.............................................................96-17108 249...........96-16672, 96-16674, 96-30405, 96-37701, 96-47706, 96-65440 ...............................................................97-9258 250...................................................96-25601, 96-43400 270.....................96-25601, 96-43400, 96-49022, 96-66621, 96-68100 .................................97-4106, 97-10898, 97-10955, 97-13356 274...................................................96-30405, 96-66621 ..............................................................97-10898 275.........................................96-25601, 96-43400, 96-68503 .....................................................97-4106, 97-13356 279.............................................................96-68503 300.............................................................96-56485