[List of CFR Sections Affected (LSA), December 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) 1 Interpretation................................................97-25470 Fee schedules.................................................97-26384 Advisory..................................97-31507, 97-32859, 97-34165 1.10 (c) amended................................................97-33007 1.23 Revised....................................................97-42400 1.25 Revised....................................................97-42400 1.27 (a)(4) and (b)(2) revised..................................97-42401 1.31 (c)(1)(iii) and (3) revised................................97-24031 1.41a (a)(2) and (3) revised....................................97-17701 4.1 (c) and (d) added...........................................97-39115 4.2 (a) revised.................................................97-18268 4.21 (b) revised................................................97-39115 4.26 (d) revised................................................97-18268 4.31 (b) revised................................................97-39115 4.36 (d) revised................................................97-18268 5 Fee schedules.................................................97-26384 11 Authority citation revised...................................97-17702 11.1 Revised....................................................97-17702 11.2 (a) revised................................................97-17702 12 Advisory.....................................................97-43930 Technical correction..........................................97-45702 15.00 (b) and (l) revised.......................................97-24031 (l) correctly designated......................................97-27659 15.03 Revised...................................................97-61227 Table corrected...............................................97-65203 16.00 (a)(5) revised............................................97-24031 16.01 Heading and (d) revised; (a)(5) and (6) removed; (a)(7) and (c) redesignated as (a)(5) and (b)(3); new (c) added...................................97-24032 16.06 Revised...................................................97-24032 16.07 Revised...................................................97-24032 17.00 (a), (d), (e) and (g) revised.............................97-24032 17.02 (a) revised...............................................97-24033 17.03 Revised...................................................97-24034 17.04 (a) and (b) introductory text revised.....................97-24034 30 Appendix C amended...........................................97-16690 31 Fee schedules................................................97-26384 145 Authority citation revised..................................97-17069 145.0 Revised...................................................97-17069 145.2 Revised...................................................97-17069 145.7 Introductory text added; (a) revised......................97-17069 190 Appendix B amended..........................................97-31710 Chapter II--Securities and Exchange Commission (Parts 200--399) 200.30-1 (m) removed............................................97-36455 (b) and (g)(2) removed; (g)(3) redesignated as (g)(2); (c) through (l) redesignated as (b) through (k).................................................97-47368 200.30-5 (j) removed; (k) and (l) redesignated as (j) and (k).................................................97-36455 200.30-6 (a), (b) and (c) removed; (d) through (h) redesignated as (a) through (e).............................97-47368 202 Policy statement............................................97-15604 Authority citation amended....................................97-16079 202.3a Introductory text amended................................97-47938 202.9 Added.....................................................97-16079 228 Authority citation revised........................97-36455, 97-39761 Technical correction..........................................97-43581 228.10 (a)(1) amended...........................................97-26388 228.601 (a) amended; (c)(1)(ii) note designated as (c)(1)(ii) Note 1; (c)(1)(ii) Note 2 and (2)(iii) note added; (c)(1)(v) revised......................97-36455 228.701 Heading revised; (f) added..............................97-39761 229 Technical correction........................................97-43581 229.601 (a) amended; (c)(1)(ii) note designated as (c)(1)(ii) Note 1; (c)(1)(ii) Note 2 and (2)(iii) note added; (c)(1)(v) revised......................97-36456 229.701 Heading revised; (f) added..............................97-39762 230 Technical correction........................................97-43581 Authority citation corrected; CFR correction..................97-65019 230.135e Added..................................................97-53954 230.146 Added...................................................97-24573 230.401 (c) revised.............................................97-39762 230.404 (a) amended.............................................97-39763 230.405 Amended.......................................97-26388, 97-36456 230.424 (d) amended.............................................97-39763 230.462 (d) added...............................................97-39763 230.463 (a) and (b) revised.....................................97-39763 230.482 (d) revised.............................................97-64978 230.485 (b)(1)(i) and (ii) removed; (b)(1)(iii) through (ix) redesignated as (b)(1)(i) through (vii); (b)(2) introductory text and (d)(2)(ii)(B) and (ii) undesignated text amended.....................................................97-47938 [[Page 80]] 230.497 (f) amended.............................................97-39763 230.502 (c)(2) amended..........................................97-53954 230.901 Note 7 amended..........................................97-53954 230.902 (b)(8) added............................................97-53954 232 Technical correction........................................97-43581 232.10 (b) note revised.........................................97-36456 232.11 (e) and (m) revised......................................97-36456 232.13 (a)(1)(iii) amended......................................97-47938 232.14 Added....................................................97-58649 232.100 Added...................................................97-36456 232.101 (a)(1)(ii), (iii), (iv), (2)(ii), (b)(1), (c)(6) and (7) revised; (c)(19) removed; (d) added.......................................................97-36456 (c)(5) removed; (c)(6) through (18) redesignated as (c)(5) through (17)......................................97-39763 232.102 (d) amended.............................................97-36457 232.201 (b) note designated as (b) Note 1; (b) Note 2 added................................................97-36457 232.202 (d) note designated as (d) Note 1; (d) Notes 2 and 3 added.........................................97-36457 232.301 Corrected...............................................97-16691 Revised.......................................................97-41842 232.303 (a)(2) and (b) revised..................................97-36457 232.304 (b)(2) and (d) revised..................................97-36458 232.307 Revised.................................................97-36458 232.311 (i) added...............................................97-36458 232.601 Undesignated center heading and section added.......................................................97-36458 232.901--232.903 Undesignated center heading removed.....................................................97-36458 232.901 Removed.................................................97-36458 232.902 Removed.................................................97-36458 232.903 Removed.................................................97-36458 239.9 Form SB-1 amended.........................................97-39763 239.10 Form SB-2 amended........................................97-39763 239.11 Form S-1 amended.........................................97-39764 239.12 Form S-2 amended...............................97-36458, 97-39764 239.13 (b)(1) and Form S-3 amended..............................97-26388 Form S-3 amended....................................97-36458, 97-39764 239.15A Form N-1A amended.............................97-47939, 97-64986 239.16 Form S-6 amended.........................................97-47938 239.17a Form N-3 amended..............................97-47939, 97-64986 239.17b Form N-4 amended..........97-47939, 97-47940, 97-64986, 97-64987 239.18 Form S-11 amended........................................97-39764 239.23 Form N-14 amended........................................97-47938 239.25 Form S-4 amended.........................................97-39765 239.31 Form F-1 amended.........................................97-39765 239.32 (b)(2)(i) and Form F-2 amended...........................97-26388 Form F-2 amended....................................97-36459, 97-39765 239.33 (b)(1) and Form F-3 amended..............................97-26388 Form F-3 amended..............................................97-36459 239.34 Form F-4 amended.........................................97-39766 Form F-4 corrected............................................97-43581 239.61 Removed; Form SR removed.................................97-39766 239.144 (c) and Form 144 amended................................97-35340 239.500 Form D amended..........................................97-39766 240 Compliance dates............................................97-18514 Authority citation amended....................................97-35340 Compliance dates revision.....................................97-40732 Technical correction................................97-43581, 97-45289 240.0-1 (a)(5) revised..........................................97-36459 240.12a-8 Added.................................................97-39766 240.12b-2 Amended...............................................97-26389 240.12d1-1--240.12d2-2 Undesignated center heading revised.....................................................97-39766 240.12d1-2 (b) revised; (c) added...............................97-39766 240.12g-3 Revised...............................................97-39767 240.13a-1 Revised...............................................97-39767 240.13a-2 Removed...............................................97-39768 240.13d-2 (c) revised...........................................97-36459 240.13d-101 Amended.............................................97-35340 240.13d-102 Amended.............................................97-35340 240.13e-4 (f)(12) amended.......................................97-36459 240.14a-101 Amended.............................................97-36459 240.14d-1 (c) and (d) redesignated as (e) and (f); new (c) and new (d) added...................................97-53955 240.14d-100 Amended.............................................97-35341 240.14e-1 (e) revised...........................................97-36459 240.15d-3 Revised...............................................97-39768 240.15d-5 (a) revised...........................................97-39768 240.17a-5 (g)(1) correctly revised; CFR correction 97-42664 240.17a-24 Added................................................97-52236 240.17Ad-7 (i) added............................................97-52237 240.17Ad-17 Added...............................................97-52237 249 Technical correction........................................97-43581 249.103 Amended.................................................97-35341 249.104 Amended.................................................97-35341 249.105 Amended.................................................97-35341 249.208a (c) revised; (d) added; Form 8-A amended 97-39768 249.208b Removed; Form 8-B removed..............................97-39769 249.210 Form F-10 amended.......................................97-39769 249.220f Form 20-F amended......................................97-39769 249.308a Form 10-Q amended......................................97-39769 249.308b Form 10-QSB amended....................................97-39770 249.310 Form 10-K amended.......................................97-26389 [[Page 81]] Form 10-K amended.............................................97-39770 249.310b Form 10-KSB amended..........................97-26389, 97-39770 249.1100 Form MSD amended.......................................97-35341 249b.100 Form TA-1 amended......................................97-35341 249b.102 Form TA-2 amended......................................97-52237 260.0-2 (g) revised.............................................97-36459 269.2 Amended; Form T-2 amended.................................97-35342 270 Authority citation amended........................97-47938, 97-64978 270.2a-7 Revised................................................97-64978 270.2a41-1 (a) introductory text revised........................97-64985 270.2a51-1 Added................................................97-17526 270.2a51-2 Added................................................97-17528 270.2a51-3 Added................................................97-17528 270.3c-1 Added..................................................97-17529 270.3c-5 Added..................................................97-17529 270.3c-6 Added..................................................97-17529 270.10f-3 Revised...............................................97-42408 270.12b-1 (g) revised...........................................97-51765 270.12d3-1 (d)(7)(v) revised....................................97-64986 270.17a-9 Introductory text amended.............................97-64986 270.17f-5 Revised...............................................97-26932 270.18f-3 (c) and (e)(2)(iii) revised...........................97-51765 270.24e-1 Amended...............................................97-47938 270.24e-2 Removed...............................................97-47938 270.24f-1 Removed...............................................97-47938 270.24f-2 Revised...............................................97-47938 270.31a-1 (b)(1) amended........................................97-64986 270.34b-1 (b) revised...........................................97-64986 274.11a Form N-1A amended.............................97-47939, 97-64986 274.11b Form N-3 amended..............................97-47939, 97-64986 274.11c Form N-4 amended....................97-47939, 97-47940, 97-64987 274.24 Form 24F-2 revised.......................................97-47940 Form 24F-2 amended............................................97-64688 275 Authority citation revised..................................97-28132 275.203(b)(3)-1 Revised.........................................97-28132 275.203A-1 Added................................................97-28133 275.203A-2 Added................................................97-28133 275.203A-3 Added................................................97-28134 275.203A-4 Added................................................97-28134 275.203A-5 Added................................................97-28134 275.204-1 Revised...............................................97-28135 275.204-2 (a) introductory text revised; (k) added 97-28135 275.205-3 Heading and (a) revised...............................97-28135 275.206(3)-2 (a) introductory text revised......................97-28135 275.206(4)-1 (a) introductory text revised......................97-28135 275.206(4)-2 (a) introductory text revised......................97-28135 275.206(4)-3 (a)(1)(ii)(C) amended..............................97-28135 275.206(4)-4 (a) introductory text revised......................97-28135 275.222-1 Added.................................................97-28135 275.222-2 Added.................................................97-28136 279.1 Form ADV amended..........................................97-28136 (d) corrected.................................................97-33008 279.3 Revised...................................................97-28136 Proposed Rules: 1.....................................................97-47612, 97-66569 3...............................................................97-59624 30..............................................................97-47612 32..........................................97-31375, 97-33379, 97-59624 33..........................................97-47612, 97-59624, 97-66569 190...................................................97-19530, 97-47612 200.............................................................97-67940 202.............................................................97-38495 230...........97-24160, 97-32705, 97-38495, 97-45359, 97-61933, 97-62273 232...................................................97-36467, 97-38495 239...................................................97-24160, 97-38495 240..........97-30485, 97-36467, 97-40316, 97-50682, 97-61933, 97-62732, 97-67940, 97-67996, 97-68011, 97-68018 249...................................................97-36467, 97-67940 270...............................97-24160, 97-24161, 97-38495, 97-61933 274...................................................97-24160, 97-38495 275...................................................97-61866, 97-61882 279.............................................................97-61866