[List of CFR Sections Affected (LSA), February 2002] [From the U.S. Government Publishing Office, www.gpo.gov] [[Page 21]] TITLE 17--COMMODITY AND SECURITIES EXCHANGES Chapter I--Commodity Futures Trading Commission (Parts 1--199) 1 Fee schedule..................................................01-32737 Order.........................................................01-34110 Authority citation revised....................................01-42269 1.1 Revised.....................................................01-42269 1.3 (gg)(3) and (uu) added......................................01-20744 Introductory text revised.....................................01-42269 (g) added.....................................................01-53516 1.10 (a)(2) and (j)(8) revised..................................01-53516 1.12 (b)(2) revised.............................................01-20744 1.17 (a)(1)(i)(B) revised; (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2), (B)(2), (viii)(A)(2), (3)(ii)(B) and (v)(B) amended.....................................................01-20744 (a)(1)(ii) redesignated as (a)(1)(iii); new (a)(1)(ii) added 01-53517 1.32 Revised....................................................01-41133 1.33 (g) added..................................................01-53517 1.37 (a) redesignated as (a)(1); (a)(2) added...................01-20744 (c) and (d) added.............................................01-42269 1.41 Removed....................................................01-42269 1.41b Removed...................................................01-42269 1.43 Removed....................................................01-42269 1.45 Removed....................................................01-42269 1.46 (a) introductory text and (e) revised; (d)(4) through (7) and (9) removed.................................................01-53517 1.50 Removed....................................................01-42269 1.51 Removed....................................................01-42269 1.55 (d) and (f) revised........................................01-53518 1.68 Added......................................................01-20744 3 Technical correction..........................................01-47059 Authority citation revised....................................01-53518 3.1 (a)(1) and (2) revised......................................01-53518 3.10 (a)(1)(i) revised; (a)(3) added; (d) amended...............01-43082 (a)(2)(ii) removed; (a)(2)(i) redesignated as (a)(2)..........01-53518 3.21 (c) introductory text revised..............................01-53518 3.31 (a) redesignated as (a)(1); (a)(2) added...................01-53518 3.32 Removed....................................................01-53518 3.34 Removed....................................................01-53518 3 Appendix A amended............................................01-53518 Appendix B amended............................................01-53521 4.10 (e)(1) revised.............................................01-53522 4.24 (f)(1)(v) and (h)(2) revised...............................01-53522 4.32 Added......................................................01-53522 4.34 (f)(1)(ii) and (h) revised.................................01-53522 5 Removed; Appendix A redesignated as Appendix A, Part 40 and heading revised; Appendix E redesignated as Appendix C, Part 40..........................................................01-42287 15 Authority citation revised...................................01-42269 15.05 Heading revised; (e) and (h) added........................01-42269 30 Order..............................................01-27859, 01-34110 Compliance date...............................................01-50102 36 Revised......................................................01-42270 37 Added........................................................01-42271 38 Added........................................................01-42277 39 Added........................................................01-45609 Compliance date...............................................01-50102 40 Added........................................................01-42283 Fee schedule..................................................01-42289 Compliance date...............................................01-50103 40 Appendices A and C redesignated from Appendices A and E, Part 5 01-42287 41 Added..............................................01-42287, 01-44511 Heading and authority citation revised........................01-44965 Authority citation added......................................01-43086 41.1 (a), (b) and (f) through (i) added.........................01-44965 41.21--41.25 (Subpart C) Added..................................01-55083 41.31--41.34 (Subpart D) Added..................................01-44965 41.41 Added.....................................................01-43086 140 Authority citation revised..................................02-5939 140.91 (a)(8) added.............................................01-43087 (a)(7) added..................................................01-53523 140.99 (i) amended; (i)(1) and (2) revised; (i)(3) added........01-44967 140.735-1 Revised...............................................02-5939 140.735-2 Revised...............................................02-5939 140.735-2a Added................................................02-5940 140.735-8 (b)(3) revised........................................02-5941 155.3 (b)(2) revised............................................01-53523 155.4 (b)(2) revised............................................01-53523 155.6 Added.....................................................01-53523 160 Added.......................................................01-21252 160.18 (b)(1) revised...........................................01-24061 (a) corrected.................................................01-24183 (a) corrected..................................................02-6790 166 Authority citation revised..................................01-42287 166.5 Added.....................................................01-42287 170 Authority citation revised..................................01-42288 Technical correction..........................................01-47059 170.8 Revised...................................................01-42288 170.15 Revised..................................................01-43083 180 Removed.....................................................01-42288 [[Page 22]] 190.01 (bb) revised.............................................01-20745 Chapter II--Securities and Exchange Commission (Parts 200--399) 200 Comment period extended.....................................01-38370 200.30-3 (a)(72) added; interim.................................01-27796 (a)(73) added.................................................01-31840 (a)(74) added.................................................01-35842 (a)(73)(i) and (ii) amended; (iii) added......................01-40886 (a)(75) and (76) added........................................01-43721 200.30-4 (a)(12) added..........................................01-35842 200.30-18 (h) and (i) redesignated as (i) and (j); new (h) added 01-35842 202.3 (b)(3) added; authority citation removed..................01-43741 204.1--204.29 Authority citation revised........................01-54130 204.1 (b) revised...............................................01-54130 204.2 (a) revised...............................................01-54130 204.3 (a) removed; (b) through (f) redesignated as (a) through (e); new (b), (c) and (e) revised...........................01-54130 204.4 (a) and (b) removed; (c) and (d) redesignated as new (a) and (b); new (a) revised........................................01-54130 204.5 Introductory text revised.................................01-54130 204.6 (a) and (d) revised.......................................01-54131 204.8 Amended...................................................01-54131 204.9 (c) and (d) revised.......................................01-54131 204.10 Removed..................................................01-54131 204.11 Amended..................................................01-54131 204.30--204.44 (Subpart B) Authority citation revised...........01-54131 204.31 (a) amended..............................................01-54131 204.32 Amended..................................................01-54131 204.33 Introductory text and (c) revised; (f) amended...........01-54131 204.35 (a) amended..............................................01-54131 204.36 (b) amended..............................................01-54131 204.38 (a) amended..............................................01-54132 204.40 (b) introductory text, (2) and (e) amended...............01-54132 204.43 (a) introductory text revised; (a)(6) amended............01-54132 204.44 Amended..................................................01-54132 204.50--204.56 (Subpart C) Authority citation revised...........01-54132 204.50 Revised..................................................01-54132 204.51 Removed..................................................01-54132 204.52 (a) revised; (b) introductory text and (2) amended; (c) added.......................................................01-54132 (c) corrected.................................................01-56383 204.53 Removed..................................................01-54132 Corrected.....................................................01-56383 204.54 (a) introductory text amended; (b) removed; (c) redesignated as new (b); new (b) revised....................01-54132 204.55 Revised..................................................01-54132 204.56 Revised..................................................01-54132 204.60--204.65 (Subpart D) Added................................01-54132 204.75--204.77 (Subpart D) Redesignated as Subpart E............01-54132 204.76 (a) amended..............................................01-54135 204.77 (c) removed; (a) and (b)(5) revised......................01-54135 210 Policy statement............................................01-38149 211 Staff accounting bulletin...................................01-36457 Policy statement..............................................01-38149 Interpretive releases...............................01-48336, 01-49274 228.201 (d) added.................................................02-245 228.601 (b)(10)(ii)(B) redesignated as (b)(10)(ii)(C); new (b)(10)(ii)(B) added......................02-246 229 Authority citation amended....................................02-246 229.201 (d) added; authority citation removed.....................02-246 229.601 (b)(10)(iii)(B) redesignated as (b)(10)(iii)(C); new (b)(10)(iii)(B) added....................02-247 230 Authority citation amended....................................02-230 230.135b Revised..................................................02-230 231 Interpretive releases.............................01-33176, 01-49274 232.301 Revised.......................................01-42942, 01-49830 239.32 Form F-2 amended.........................................01-32539 239.33 Form F-3 amended.........................................01-32539 240 Authority citation amended..............01-21659, 01-43741, 01-55837 Comment period extended.......................................01-38370 Authority citation amended......................................02-247 240.3a4-2 Added; interim........................................01-27796 240.3a4-3 Added; interim........................................01-27796 240.3a4-4 Added; interim........................................01-27796 240.3a4-5 Added; interim........................................01-27796 240.3a4-6 Added; interim........................................01-27796 240.3a5-1 Added; interim........................................01-27798 240.3a55-1 Added................................................01-44514 240.3a55-2 Added................................................01-44514 240.3a55-3 Added................................................01-44514 240.3b-17 Added; interim........................................01-27798 240.3b-18 Added; interim........................................01-27798 240.6a-2 (e) revised; (f) added; authority citation removed.....01-43741 [[Page 23]] 240.6a-3 (c) added; authority citation removed..................01-43741 240.6a-4 Added..................................................01-43741 240.14a-3 (b)(9) revised; authority citation removed.......................................................02-247 240.14a-101 Amended...............................................02-247 240.15a-7 Added; interim........................................01-27799 240.15a-8 Added; interim........................................01-27799 240.15a-9 Added; interim........................................01-27799 240.15a-10 Added................................................01-45146 240.15b2-2 (e)(2) and (3) amended; (e)(4) added.................01-45147 240.15b11-1 Added...............................................01-45147 240.17a-3 (a)(6), (7), (12)(i) introductory text and (ii) revised; (a)(12)(i)(a) through (h) redesignated as (a)(12)(i)(A) through (H); (a)(17) through (22), (f) and (g) added; authority citation removed; eff. 5-2-03.....................01-55838 (a) introductory text, (5), (11)(ii), (12)(i)(A) through (F) and (H) amended; eff. 5-2-03......................................01-55840 240.17a-4 Authority citation removed............................01-55838 (a), (b) introductory text, (1), (4), (c), (d), (e) introductory text and (j) revised; (e)(5) through (8), (k) and (l) added; eff. 5-2-03...................................................01-55840 (b)(7), (e)(1), (f)(3)(ii) and (vii) amended; eff. 5-2-03.....01-55841 240.17a-24 Added................................................01-35843 240.17Ad-7 (f) revised; authority citation removed..............01-21659 240.19b-4 (a) revised...........................................01-43743 240.19b-7 Added.................................................01-43743 240.31-1 Revised.................................................02-3058 (a), (d), (e) and Preliminary Note amended; (f) and (g) added................................................02-5202 241 Interpretive releases...................01-22921, 01-33176, 01-49274 Interpretive releases.............................................02-8 242.303 (d) amended; eff. 5-2-03................................01-55841 248.2 Existing text designated as (a); (b) added................01-45147 248.3 (m)(5) and (6) amended; (m)(7) added; (n)(2)(i) removed; (n)(2)(ii) and (iii) redesignated as new (n)(2)(i) and (ii) 01-45147 249.1a Correctly removed; CFR correction........................01-36701 249.10 Form 1-N added...........................................01-43743 249.220f Form 20-F amended......................................01-32539 249.310 Form 10K amended..........................................02-247 249.310b Form 10-KSB amended......................................02-248 249.501b Form BD-N added........................................01-45147 249.819 Revised; Form 19b-4 amended.............................01-43743 249.822 Form 19b-7 added........................................01-43744 251 Interpretive releases.......................................01-33176 257 Authority citation added....................................01-29474 257.1 (e) through (h) and authority citation removed; new (e) added; (i) through (m) redesignated as (f) through (j)......01-29474 257.2 Authority citation removed................................01-29474 270 Technical correction........................................01-30311 Compliance date...............................................01-50102 270.2a-7 (a)(5), (11) and (20) revised..........................01-36161 270.5b-3 Added..................................................01-36161 270.12d3-1 (d)(8) note removed..................................01-36162 270.31a-2 (f)(1) and (2) revised; (f)(3) redesignated as (f)(4); new (f)(3) added............................................01-29228 271 Interpretive releases.......................................01-33177 274 Compliance date.............................................01-50102 274.101 Form N-SAR amended......................................01-36162 275 Technical correction........................................01-30311 275.204-2 (g)(1) and (2) revised; (g)(3) added; authority citation removed.....................................................01-29228 242.303 (d) amended; eff. 5-2-03................................01-55841 Chapter IV--Department of the Treasury (Parts 400--499) 450 Authority citation revised..................................01-28655 450.2 (e) revised...............................................01-28655 (e) table corrected...........................................01-29888 Proposed Rules: 1...........................................01-45221, 01-50786, 01-55608 3...........................................01-27476, 01-33494, 01-45221 4...............................................................01-45221 15..............................................................01-64383 35..............................................................01-65858 39..............................................................01-24308 41...........01-20118, 01-27560, 01-29517, 01-34864, 01-36218, 01-37932, 01-45904, 01-50720, 01-50786, 01-55608, 01-56902, 01-58007 140.........................................01-20118, 01-29517, 01-45221 155...................................................01-36218, 01-45221 170...................................................01-27476, 01-33494 190...................................................01-50786, 01-55608 [[Page 24]] 202.............................................................01-26978 230...................................................01-50744, 01-66839 232.............................................................01-50744 239.............................................................01-50744 240..........01-26978, 01-27560, 01-34042, 01-34864, 01-38390, 01-45904, 01-49877, 01-50744, 01-50786, 01-55608 242...............................01-50720, 01-55608, 01-56902, 01-58007 248.............................................................01-34042 249.........................................01-26978, 01-34042, 01-50744 269.............................................................01-50744 270.........................................01-57602, 01-57614, 01-58412