[List of CFR Sections Affected (LSA), November 2003] [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) 1.35 (a-1)(5) revised...........................................03-34794 4.5 (c)(2)(i) and (ii) removed; (c)(2)(iii) and (iv) redesignated as (c)(2)(i); new (c)(2)(i), (ii) and (f)(2) revised; (g) added..........................03-47230 4.7 (a)(2)(vi), (3)(vii) and (d)(1)(vii) revised 03-47231 4.10 (m) added..................................................03-42967 4.12 (b)(3)(vi) revised.........................................03-47231 4.13 (c) and (d) redesignated as (d) and (e); (a)(1)(iv) amended; (a)(2), (b), new (d) and (e) revised; introductory text, (a)(3), (4), (5), new (c) and (f) added..................................03-47231 (e)(2)(i)(B) and (ii) corrected; (e)(iii) added 03-52837 Introductory text corrected...................................03-59113 4.14 Introductory text and (a)(10) added; (a)(8) and (c) revised; (a)(9)(ii) amended.........................03-47233 (a)(8)(iii)(A)(2) and (c)(2) corrected........................03-52837 (a)(8)(i)(D) corrected........................................03-59114 4.21 (a) revised................................................03-47234 4.22 (a) introductory text, (c) introductory text, (h)(1) and (3) revised; (a)(4), (c)(6), (i) and (j) added...............................................03-47234 (c) corrected; (j) introductory text, (A), (B) and (ii) redesignated as (j)(1), (1)(i), (ii) and (2).....................................................03-52837 4.25 (a)(1)(ii)(H) added........................................03-42967 4.31 (a) revised................................................03-47235 (a) corrected.................................................03-59114 4.35 (a)(7) and (8) redesignated as (a)(8) and (9); new (a)(7) added.......................................03-42967 (a)(1)(viii) revised..........................................03-47235 4 Appendices A and B added......................................03-47236 Appendix A corrected..........................................03-52837 Appendix B corrected..........................................03-53430 18.04 correctly removed: CFR correction.........................03-48549 30 Order........................................................03-39006 Authority citation revised....................................03-40499 Technical correction..........................................03-46446 30.5 Introductory text, (a) and (b) revised; (e) removed.....................................................03-40499 30 Appendix D redesignated from Part 40 Appendix C; new Appendix D revised...................................03-33624 Appendix C amended............................................03-58587 40 Appendix C redesignated as Part 30 Appendix D 03-33624 42 Added........................................................03-25159 Chapter II_Securities and Exchange Commission (Parts 200_399) 200.30-13 Revised...............................................03-50954 201.100--201.900 (Subpart D) Authority citation revised.....................................................03-35788 201.161 (a) amended; (b) introductory text and (1) revised; (b)(2) redesignated as (c)(1); new (b)(2) and (c)(2) added.....................................03-35788 201.230 (d) amended.............................................03-35789 201.360 (a) redesignated as (a)(1); (a)(2) and (3) added.......................................................03-35789 201.450 (a) amended.............................................03-35789 201.900 (a)(1)(i) removed; (a)(1)(ii), (iii) and (iv) redesignated as new (a)(1)(i), (ii) and (iii); new (a)(1)(iii) revised..............................03-35789 202.3a (c) added................................................03-50955 210 Authority citation revised..................................03-36660 210.1-02 (a) redesignated as (a)(1); (a)(2) added; authority citation removed..................................03-36660 210.2-02 Heading, (a) heading, (b) heading, (c) heading and (d) heading revised; (f) added..................03-36660 210.3-01 (e)(1) and (i)(2) revised..............................03-17880 210.3-12 (g)(1) revised.........................................03-17881 211 Staff accounting bulletin...................................03-26840 228 Policy statement............................................03-15939 Authority citation revised......03-18817, 03-36660, 03-64968, 03-67008 228.307 Revised.................................................03-36660 228.308 Added...................................................03-36661 228.401 (f) added...............................................03-18817 (e)(2)(iv) amended............................................03-36661 (g) added.....................................................03-67008 228.601 (a)(1) amended; Exhibit table, (b)(7), (11) heading and (27) through (98) revised..................03-36661 228.703 Added...................................................03-64968 229 Policy statement............................................03-15939 Authority citation revised......03-18817, 03-36663, 03-64969, 03-67009 [[Page 66]] 229.307 Revised.................................................03-36663 229.308 Added...................................................03-36663 229.401 (h) Instruction 3 revised; (i) added....................03-18817 (h)(2)(iv) amended............................................03-36663 (j) added.....................................................03-67009 229.601 (a)(1) amended; Exhibit table and (b)(27) through (98) revised........................................03-36663 229.703 Added...................................................03-64969 230 Authority citation revised..................................03-57777 230.110 (b) revised.............................................03-25798 230.134 (a)(3)(iii), (13) and authority citation removed; (a)(3)(iv) and (14) redesignated as new (a)(3)(iii) and (13); new (a)(3)(iii) amended; (e) revised........................................03-57777 230.156 (b)(2)(i) revised; authority citation removed.....................................................03-57777 230.482 Revised.................................................03-57777 232 Technical correction........................................03-53289 232.12 (b) revised..............................................03-25799 232.13 (a)(4) added.............................................03-25799 232.101 (a)(1)(iii) revised; (b)(4) removed; (b)(5) through (10) redesignated as (b)(4) through (9).................................................03-25799 232.104 (a) revised.............................................03-25799 232.201 (a) introductory text revised...........................03-25799 232.301 Revised.......................................03-24346, 03-44878 239 Authority citation amended..................................03-25799 239.15a Form N-1A amended.......................................03-57780 239.17a Form N-3 amended..............................03-57780, 03-57781 239.17b Form N-4 amended..............................03-57781, 03-57782 239.17c Form N-6 amended........................................03-57782 239.62 Removed..................................................03-25799 239.144 (c) amended.............................................03-25799 240 Authority citation revised....03-18818, 03-36665, 03-64970, 03-67009 Authority citation amended....................................03-46451 240.0-2 (b) revised.............................................03-25799 240.10A-3 Added.................................................03-18818 240.10b-18 Revised..............................................03-64970 240.12b-15 Revised..............................................03-36665 240.13a-14 (c) removed; (d), (e) and (f) redesignated as (c), (d) and (e); (a), (b), new (c), (d) introductory text and (e) revised; new (f) added......................................03-36665 240.13a-15 Revised..............................................03-36666 240.13b2-2 Revised..............................................03-31830 240.14a-101 Amended...................................03-18821, 03-67009 240.15d-14 (c) removed; (d), (e) and (f) redesignated as (c), (d) and (e); (a), (b), new (c), (d) introductory text and (e) revised; new (f) added......................................03-36666 240.15d-15 Revised..............................................03-36667 240.16a-3 (k) added; (h) revised................................03-25799 240.17a-5 (c)(1) introductory text amended; (c)(2) introductory text and (3) revised; (c)(5) added.......................................................03-46452 241 Policy statement........................03-25283, 03-32311, 03-65822 244 Policy statement............................................03-15939 249 Policy statement............................................03-15939 Authority citation amended..........................03-18821, 03-36667 Authority citation revised..........................03-64972, 03-67010 249.103 Form 3 amended..........................................03-25800 249.104 Form 4 amended..........................................03-25801 249.105 Form 5 amended..........................................03-25802 249.220f Form 20-F amended..................03-18821, 03-36668, 03-64972 249.240f Form 40-F amended............................03-18822, 03-36670 249.308 Authority citation revised..............................03-64972 249.308a Form 10-Q amended..................03-36667, 03-64974, 03-67011 249.308b Form 10-QSB amended................03-36667, 03-64974, 03-67011 249.310 Form 10-K amended.............................03-36668, 03-64974 249.310b Form 10-KSB amended..........................03-36668, 03-64974 249.330 Form N-SAR amended......................................03-36672 249.331 Form N-CSR amended........03-18822, 03-36672, 03-64975, 03-67011 249.445 Removed.................................................03-25800 250.21 (b)(1) revised...........................................03-25800 259.601 Removed.................................................03-25800 260.0-5 (b) revised.............................................03-25800 269.6 Removed...................................................03-25800 270 Authority citation amended..................................03-36671 270.0-11 Added..................................................03-25146 270.3a-8 Added..................................................03-37052 270.8b-15 Amended...............................................03-36671 270.23c-1 (a)(11) revised; eff. 7-15-04.........................03-64975 270.30a-2 Revised...............................................03-36671 (a) and (b) amended...........................................03-67011 270.30a-3 Revised...............................................03-36671 270.34b-1 Introductory text note added; (a) and (b)(1)(i) revised; (b)(1)(ii)(A), (B), (C), [[Page 67]] (iii)(A) through (E), (2) and (3) amended...................03-57779 274 Authority citation amended..................................03-36672 274.11A Form N-1A amended.......................................03-57780 274.11b Form N-3 amended..............................03-57780, 03-57781 274.11c Form N-4 amended..............................03-57781, 03-57782 274.11d Form N-6 amended........................................03-57782 274.101 Form N-SAR amended......................................03-36672 274.128 Form N-CSR amended........03-18822, 03-36672, 03-64975, 03-67011 274.201 Removed; eff. 7-15-04...................................03-64975 274.202 Form 3 amended..........................................03-25800 274.203 Form 4 amended..........................................03-25801 Form 4 corrected..............................................03-37044 274.401 Removed.................................................03-25803 275.0-4 (a) revised.............................................03-42248 275.04 (a) revised..............................................03-42248 275.203-1 (d) amended...........................................03-42248 275.203-3 (b)(3) and note amended...............................03-42248 275.203A-6 Removed..............................................03-42248 275.204-1 Note added; (b) revised; (d) amended..................03-42248 275.206(4)-2 Revised............................................03-56700 Corrected.....................................................03-61555 279.1 Form ADV amended................................03-42249, 03-56701 279.2 Form ADV-W amended........................................03-42249 279.3 Form ADV-H amended........................................03-42250 Proposed Rules: 1...........................................03-38655, 03-40835, 03-46516 36..............................................................03-66032 210.............................................................03-61720 239.........................................03-54644, 03-58226, 03-61720 240..........03-15688, 03-27722, 03-36951, 03-48724, 03-54590, 03-60784, 03-61720, 03-62872, 03-62910, 03-62972 242.............................................................03-62972 249...................................................03-54590, 03-60784 270.............................................................03-61720 274.........................................03-58226, 03-60784, 03-61720 275.............................................................03-58226