[List of CFR Sections Affected (LSA), February 1999] [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 Technical correction..........................................97-51124 1.3 (gg)(2)(iv) revised.........................................97-32730 1.12 (b)(2) revised.............................................97-32731 (a)(1) and (e) revised; (h)(1) and (2) redesignated as (i)(1) and (2); (b)(4), (c), (d), (f)(1) through (5), (g)(2) and new (i)(2) amended; new (h) added.................................97-45715 1.17 (c)(5)(iii) removed........................................97-32726 (a)(1)(i)(B), (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2), (B)(2), (viii)(A)(2), (3)(ii)(B) and (v)(B) revised...................97-32731 1.35 (a-1)(1), (2)(i) and (4) revised; (a-1)(5) added...........97-45709 (a-1)(5)(i)(D), (ii)(H) and (I) corrected.....................97-49955 1.41 (k)(1) revised.............................................97-33848 (f)(10) added....................................................98-22 1.55 (a)(1) revised.............................................97-52157 1.63 (a)(2) revised................................................98-23 1.69 Added.........................................................98-23 (a)(8) corrected...............................................98-3340 3.11 (c)(1)(i)(A), (B), (ii)(A), (B), (C) and (2)(ii) revised; (c)(1)(i)(C) and (ii)(D) removed; (c)(1)(ii)(E) redesignated as (c)(1)(ii)(D)................................................98-1727 3.12 (d)(1)(iv), (v), (d)(3), (i)(1)(v) and (2) revised; (d)(1)(vi) and (i)(1)(vi) removed; (i)(1)(vii) redesignated as (i)(1)(vi).......................98-1727 3.13 Added; interim.............................................97-18830 3.14 Added; interim.............................................97-18831 3.40 (a) revised.................................................98-1728 3.44 (a)(2) and (3) revised......................................98-1728 4.24 (j)(1)(v) corrected........................................97-24390 (v)(3) introductory text revised; eff. 4-30-99................97-58303 4.25 (c)(5) introductory text revised; eff. 4-30-99.............97-58303 10.1 (d) amended; (e) through (h) redesignated as (f) through (i); new (e) added...............................................97-55791 10.9 (b) revised................................................97-55791 10.12 (a)(2) revised............................................97-55791 10.21 Revised...................................................97-55791 Corrected.....................................................97-68829 10.22 (b) introductory text amended; (b)(1) and (2) added.......97-55791 10.24 (a), (b) and (c) revised..................................97-55791 10.26 (b) amended...............................................97-55791 10.41 (f) and (g) redesignated as (g) and (h); new (f) added....97-55791 10.42 (b) and (c) redesignated as (c) and (e); (a), new (c) and new (e)(1) revised; new (b), (d) and (f) added..............97-55792 (b)(7) and (c)(1)(iii) corrected..............................97-68829 10.66 (b) revised...............................................97-55793 (b) corrected.................................................97-68829 10.68 (a)(1), (2), (b)(3), (c) heading and (1) revised; (c)(2), (e)(1) and (f) amended......................................97-55794 (c)(2) heading and (f) corrected..............................97-68829 10.84 (b) revised...............................................97-55794 Heading corrected.............................................97-68829 10.101 (b)(1) revised...........................................97-55794 10.102 (a) and (d)(2) revised; (b)(3) redesignated as (b)(4); new (b)(3) and (5) added; (e)(1) and (2) amended................97-55794 (e) correctly designated......................................97-58811 (a)(1), (2) and (b)(3) corrected..............................97-68829 10.106 Heading revised; existing text designated as (a); (a) heading, (b) and (c) added..................................97-55795 (c) corrected.................................................97-68829 10.110--10.113 (Subpart I) Added................................97-55795 Correctly designated..........................................97-58811 10.111 Heading corrected........................................97-68829 10 Appendix A added.............................................97-55796 Appendix A corrected..........................................97-68829 32.2 Revised; interim...........................................97-18832 32.13 Added; interim............................................97-18832 33.4 Introductory text amended; interim.........................97-18834 (a)(2) removed................................................97-32732 33.7 (b) amended................................................97-32732 140.99 Added....................................................97-68181 140.735-4 (b)(3) and (c)(5) introductory text revised...........97-32733 145 Authority citation revised.....................................98-25 145.5 Introductory text, (d)(1)(i)(B) through (F) and (H) amended; (d)(1) introductory text removed; (g) revised...........................................98-25 145.6 (a) amended..................................................98-26 [[Page 20]] 145.9 (d)(1) and (e)(1) amended; (d)(4), (6), (7) and (8) revised; (d)(10) removed; (d)(11) redesignated as (d)(10)........................................98-26 145 Appendixes A and B amended.....................................98-27 147.3 (b)(4)(i) introductory text removed; (b)(4)(i)(A)(2) through (6) and (8) amended....................98-27 Chapter II--Securities and Exchange Commission (Parts 200--399) 200.30-3 (a)(7)(iv) amended; (a)(7)(v), (64), (65) and (66) added 97-59394 201.102 (e)(1)(iv) added........................................97-57172 201.210 (a)(1) and (c) introductory text revised; (c)(3) added 97-63405 201.221 Heading, (a) and (d) revised............................97-63405 202.3 (b) revised; eff. 4-21-99.................................97-70916 210.3-03 (e) amended.............................................98-1734 210.12-16 Table amended..........................................98-1734 229.101 (b) introductory text, (1) and (d) revised; (c)(1) introductory text, (i), (ii), (iv), (v) and instructions amended...........................98-1734 229.102 Amended..................................................98-1735 230.157 Heading and (b) revised.................................97-35514 230.497 (k)(2)(ii) corrected....................................97-19286 230.498 (b) and (c)(3) corrected................................97-19286 231 Interpretive releases.......................................97-41404 232.101 (a)(1)(iii) revised; (b)(7) removed; (b)(8) redesignated as (b)(7)................................98-2849 232.301 Revised.................................................97-29105 239.15A Form N-1A corrected.....................................97-19286 240.0-10 Heading, (a), (b), (e), (g)(2), (3) and (i) revised; (h)(2) and (3) redesignated as (h)(3) and (4); (h)(2), (j) and (k) added...................................................97-35514 240.3a1-1 Added; eff. 4-21-99...................................97-70917 240.3b-12 Added.................................................97-59394 240.3b-13 Added.................................................97-59395 240.3b-14 Added.................................................97-59395 240.3b-15 Added.................................................97-59395 240.3b-16 Added; eff. 4-21-99...................................97-70918 240.6a-1 Heading, (a) and (b) revised; eff. 4-21-99.............97-70918 240.6a-2 Revised; eff. 4-21-99..................................97-70918 240.6a-3 Revised; eff. 4-21-99..................................97-70919 240.8c-1 (b)(1) revised.........................................97-59395 240.11a1-6 Added................................................97-59396 240.11Ac1-1 (c)(5)(ii)(A), (B) introductory text, (1) and (2) redesignated as (c)(5)(ii)(A)(1), (2) introductory text, (i) and (ii); new (c)(5)(ii)(A)(2)(ii) amended; new (c)(5)(ii)(B) added; eff. 4-21-99.........................................97-70919 240.14a-4 (c) introductory text and (1) revised; (c)(2) through (5) redesignated as (c)(4) through (7); new (c)(2) and (3) added.......................................................97-29118 (c)(2)(iii) corrected.........................................97-50622 240.13f-1 (a) redesignated as (a)(1); (a)(2) added 98-2849 240.13f-2 Removed................................................98-2849 240.14a-5 (e) revised; (f) added................................97-29118 (d) corrected.................................................97-46881 240.14a-8 Revised...............................................97-29119 (c), (h)(2), (i)(2) note, (5) and (9) corrected...............97-50622 (m)(2) corrected..............................................97-50623 240.14a-101 Amended..............................................98-1735 240.15a-1 Added.................................................97-59396 240.15b1-1 (a) revised..........................................97-59397 240.15b9-2 Added................................................97-59397 240.15c2-1 (b)(1) revised.......................................97-59397 240.15c2-5 (d) added............................................97-59397 240.15c3-1 (a) introductory text amended; (a)(5) and (c)(15) added 97-59397 240.15c3-1f Added...............................................97-59398 240.15c3-3 (a)(1) revised; (h) amended..........................97-59399 240.15c3-4 Added................................................97-59400 240.17a-3 (a)(4)(vi) and (10) amended...........................97-59401 240.17a-4 (b)(8) introductory text and (xv) amended; (b)(10) added 97-59401 (b)(1) revised; (b)(10) added; eff. 4-21-99...................97-70919 240.17a-5 (e)(5) added..........................................97-37673 (e)(5)(vi) added..............................................97-59213 (o) added.....................................................97-59401 240.17a-11 (b) redesignated as (b)(1); (b)(2) and (c)(4) added; (c) introductory text, (e) introductory text and (h) amended; (c)(3) revised..............................................97-59401 240.17a-12 Added................................................97-59401 240.17Ad-18 Added...............................................97-37693 (f) added.....................................................97-58635 [[Page 21]] 240.17a-23 Removed; eff. 4-21-99................................97-70920 240.19b-4 (e) through (h) redesignated as (f) through (i); new (e) added.......................................................97-70967 240.19b-5 Added; eff. 4-21-99...................................97-70920 240.36a1-1 Added................................................97-59404 240.36a1-2 Added................................................97-59404 240.819 Form 19b-4 amended......................................97-70967 241 Interpretative releases...........................97-17943, 97-41404 242 Authority citation revised..................................97-70921 Heading revised; eff. 4-21-99.................................97-70921 242.300--242.303 Undesignated center heading and sections added; eff. 4-21-99................................................97-70922 242.301 Eff. in part 4-1-00.....................................97-70922 249 Technical correction........................................97-42229 249.1 Revised; eff. 4-21-99.....................................97-70925 249.1a Removed; eff. 4-21-99....................................97-70933 249.220f Form 20-F amended.......................................98-1735 249.325 Form 13F revised.........................................98-2849 Form 13F corrected.............................................98-5865 249.326 Removed..................................................98-2853 249.617 Amended.................................................97-59404 Form X-17A-5 corrected........................................97-63143 249.618 Added...................................................97-37674 249.619 Added...................................................97-37694 249.636 Removed; eff. 4-21-99...................................97-70933 249.637 Added; eff. 4-21-99.....................................97-70933 249.638 Added; eff. 4-21-99.....................................97-70943 249.820 Added...................................................97-70967 249.821 Added; eff. 4-21-99.....................................97-70946 270 Compliance date extension...................................97-29345 Compliance date extension......................................98-5156 270.0-10 Revised................................................97-35514 271 Interpretive releases.......................................97-41404 274.11A Form N-1A corrected.....................................97-19286 274.24 Form 24F-2 amended.......................................97-62937 274 Appendix A corrected........................................97-19286 275 Authority citation revised..................................97-39027 275.0-7 Revised.................................................97-35515 275.202 (a)(1)-1 amended.........................................98-2567 275.203A-1 (b)(2), (c) and (d) amended..........................97-39716 275.203A-2 Introductory text, (b) introductory text, (1) and (3) revised; (e) added..........................................97-39715 (d)(2) and (3) amended........................................97-39716 275.203A-3 Introductory text and (a) revised....................97-39715 275.203A-5 Removed..............................................97-39716 275.204-1 (c) added..............................................98-2567 275.205-3 Revised...............................................97-39027 275.205-5 Added.................................................97-54312 275.206(4)-3 (a)(1)(ii)(D) amedned..............................97-39716 276 Interpretive releases.............................97-39508, 97-41404 279.1 Form ADV amended..........................................97-39716 Form ADV amended...............................................98-2121 279.3 Removed...................................................97-39716 279.9 Added.....................................................97-54312 Chapter IV--Department of the Treasury (Parts 400--499) 405.2 (a)(11) and (12) redesignated as (a)(15) and (16); new (a)(11) through (14) added.........................98-1737 Proposed Rules: 1-199 (Ch. I).........................................97-33297, 97-41982 1.......................97-24142, 97-30668, 97-38525, 97-42600, 97-49883 3...............................................................97-51048 5...............................................................97-38537 10....................................................97-16453, 97-30675 15...............................................................98-5200 17....................................................97-38525, 97-49883 ...............................................................98-5200 18....................................................97-38525, 97-49883 30....................................................97-39779, 97-51051 ...............................................................98-1566 34..........................................97-26114, 97-34335, 97-49681 35..........................................97-26114, 97-34335, 97-49681 150...................................................97-38525, 97-49883 200--299 (Ch. II)...............................................97-72217 200.........................................97-67174, 97-67331, 97-69136 201.....................97-23504, 97-29301, 97-33305, 97-39054, 97-46716 202.............................................................97-67174 210...................................................97-35886, 97-67174 ...............................................................98-6261 228.............................................................97-67174 ...............................................................98-6261 229.........................................97-35886, 97-67174, 97-67331 ...............................................................98-6261 230.....................97-29168, 97-36136, 97-67174, 97-67331, 97-69136 ...............................................................98-6261 232.........................................97-67174, 97-67331, 97-69236 239.........................................97-67174, 97-67331, 97-69136 ...............................................................98-6261 240..........97-19430, 97-19693, 97-23504, 97-23584, 97-29301, 97-32628, 97-35886, 97-36138, 97-37709, 97-37710, 97-47209, 97-54404, 97- 59911, 97-63222, 97-67174, 97-67331, 97-69136 ...............................................................98-6261 242...................................................97-23504, 97-29301 249...........97-23504, 97-23584, 97-29301, 97-35886, 97-67174, 97-69136 ...............................................................98-6261 260.............................................................97-69136 ...............................................................98-6261 270...................................................97-40231, 97-69236 274.............................................................97-69236 [[Page 22]] 275.............................................................97-36632 ...............................................................98-5722 279.............................................................97-36632 ...............................................................98-5722 405.............................................................97-53326