[List of CFR Sections Affected (LSA), March 2008] [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) 1.3 (xx) and (yy) added.........................................07-63978 1.55 (f) revised................................................07-63979 1.56 (a) removed................................................07-63979 2 Authority citation revised....................................07-29247 2.4 Added.......................................................07-29247 3.1 (f) removed.................................................07-63979 3.10 (d) added..................................................07-35920 (c) revised...................................................07-63979 3.12 (b) revised................................................07-63103 (h)(1)(ii) and (iii)(D) amended; (h)(1)(iv) added.............07-63979 3.31 (c)(1) introductory text and (2) revised...................07-63104 3.33 (f) introductory text revised..............................07-35920 4.10 (a) removed................................................07-63979 15.00 (g) removed...............................................07-63979 18 Authority citation revised...................................07-60771 18.05 Revised...................................................07-60771 21.02 (f) amended; (g) redesignated as (i); new (g) and (h) added 07-50211 21.04 Added.....................................................07-50211 30 Technical correction.........................................07-17989 30 Appendix C amended...........................................07-50646 36.3 (b)(3)(ii) revised..........................................08-8604 38 Appendix B suspended in part.................................07-65658 40.1 (a) through (g) revised.....................................08-8604 40.2 Heading, (a) introductory text, (1) and (2) revised......................................................08-8605 40.3 (a) introductory text revised...............................08-8605 40.4 (a) and (b)(2) revised......................................08-8605 40.5 (a) introductory text and (c) introductory text revised.................................................08-8605 40.6 (a)(2), (c) introductory text, (1), (3) introductory text, (i) and (ii)(B) amended; heading, (a) introductory text, (2), (c)(2)(iii) and (iv) revised; (c)(2)(vii), (viii), (ix), (3)(ii)(G) and (H) added.......................08-8605 140.2 Heading, introductory text and (c) revised................07-16269 145.6 (a) revised...............................................07-16269 150.............................................................07-66097 166.1 (b) removed...............................................07-63979 171.9 (b) revised...............................................07-42277 Chapter II_Securities and Exchange Commission (Parts 200_399) 200 Authority citation revised..................................07-16955 Technical correction..........................................07-33881 200.30-1 (e)(17) added..........................................07-16955 (e)(18) added..................................................08-7206 202.3a Revised...................................................08-6013 210.1-02 (a)(2) revised; (p) through (bb) redesignated as (q) through (cc); new (p) added.................................07-35320 (a)(4) added; (p) removed; (q) through (cc) redesignated as (p) through (bb)..................................................07-44927 (w) Note added.................................................08-1009 210.2-02 (f) revised............................................07-35321 210.2-02T Heading revised; eff. 8-27-07 to 6-30-09..............07-35321 210.3-01 (b), (c) introductory text and (f) revised.......................................................08-952 210.3-05 (b)(2)(iv) revised.......................................08-952 210.3-10 (h)(3) and (4) revised...................................08-952 (i) introductory text and (12) revised.........................08-1009 210.3-12 (a) and (d) revised......................................08-952 210.3-14 (b) revised; authority citation removed 08-953 210.4-01 (a)(3)(i)(A) and (B) revised.............................08-953 210.4-01 (a)(2) revised..........................................08-1009 210.8-01 Undesignated center and section added....................08-953 210.8-02 Added....................................................08-953 210.8-03 Added....................................................08-953 210.8-04 Added....................................................08-953 210.8-05 Added....................................................08-953 210.8-06 Added....................................................08-953 210.8-07 Added....................................................08-953 210.8-08 Added....................................................08-953 210.10-01 (b)(6) and (c) introductory text revised 08-956 211 Staff accounting bulletin.........................07-63484, 07-74168 228 Removed; eff. 3-15-09.........................................08-956 228.308 (a)(4) and (b) revised..................................07-35321 229.10 (f) added..................................................08-956 229.101 (a)(2) introductory text, (i), (ii) and (iii) introductory text revised; (h) added....................08-957 229.102 Amended...................................................08-957 229.201 (a)(1)(ii) and (2) revised; instructions amended.......................................................08-957 229.301 (c) added; authority citation removed.....................08-958 [[Page 26]] 229.302 (c) added.................................................08-958 229.303 (a) and (b) instructions amended; (d) added.........................................................08-958 229.305 (e) revised...............................................08-958 229.308 (a)(4) and (b) revised..................................07-35321 229.401 (b) instructions amended..................................08-958 229.402 (l) through (r) added.....................................08-958 229.404 (c)(1) introductory text revised; (d) added.........................................................08-964 229.407 (a)(1)(iii) and (d)(4)(i)(B) revised; (g) added.........................................................08-964 229.503 (e) added.................................................08-964 229.504 Instructions amended......................................08-964 229.512 (e) introductory text revised.............................08-964 229.601 (a)(4), Exhibit Table, (b)(4)(ii), (v), (10)(iii)(C)(6), (13) introductory text, (i), (15), (19) and (22) revised; (c) added........................08-965 229.701 (e) revised...............................................08-967 229.1118 (b)(2) revised...........................................08-967 230 Authority citation revised..................................07-20414 Authority citation amended....................................07-71566 230.110 (a) revised...............................................08-967 230.111 Revised..................................................08-6014 230.138 (a)(2)(i) revised.........................................08-967 230.139 (a)(1)(i)(A)(2) revised...................................08-967 230.144 (g)(2) and (3) and notes redesignated as (g)(3) and (4); preliminary note, (a)(3)(vi), (vii), (b), (c), (d)(1), (3)(i), (iii), (vii), (viii), (e) introductory text, (1) introductory text, (2), (3), (f), (g)(1), new (3), (h) and (i) revised; (a)(3)(viii), (4), (d)(3)(ix), (x) and new (g)(2) added; (j) and (k) removed.............................................07-71566 230.145 (c), (d) and (e) revised; authority citation removed....07-71570 230.146 (b)(1) and (2) revised..................................07-20414 230.158 (a)(1)(i), (2)(i) and (b) revised.........................08-967 230.175 (b)(1) introductory text, (i) and (2) revised.......................................................08-967 230.190 (a)(2) and (3) revised; (a)(4) added....................07-71571 230.401 (g)(1) amended; (g)(3) added............................07-73551 230.405 Amended...................................................08-968 230.415 (a)(3) revised............................................08-968 230.428 (b)(2)(ii), (iii), (iv) and (4) revised...................08-969 230.430B (f)(4) introductory text, (ii) and (i) revised.......................................................08-969 230.430C (d) revised..............................................08-969 230.455 Revised...................................................08-969 230.502 (b)(2)(i)(B)(1), (2), (ii)(A), (B) and (iii) revised.................................................08-969 (c) revised; eff. 9-15-08.....................................08-10615 230.503 Revised; eff. 9-15-08...................................08-10615 230.503T Added; eff. 9-15-08 to 3-16-09.........................08-10615 230.701 (g)(3) amended..........................................07-71571 (e)(4) revised.................................................08-1009 230.903 (b)(3)(iii)(A), (B) introductory text and (iv) revised 07-71571 232 Authority citation revised..................................07-39299 232.100 (a) revised; eff. 9-15-08...............................08-10616 232.101 (a)(1)(x) and (xi) amended; (a)(1)(xii) added...........07-16955 (a)(1)(xi), (xii), (b)(8)(ii), (9) and (c)(6) amended; (a)(1)(xiii) and (b)(10) added; eff. 9-15-08, 9-15-08 to 3-16-09 and 3-16-09 in part........................................................08-10616 232.104 (a) revised; eff. 9-15-08...............................08-10616 232.201 (a) introductory text revised...........................08-10616 232.202 (a) introductory text revised; eff. 9-15- 08..........................................................08-10616 232.301 Revised.................................................07-46561 232.401 (a), (b)(1)(ii) and (iii) amended; (b)(1)(iv) added; (d)(1)(i) and (2)(i) revised................................07-39299 (a) and (b)(1)(iv) correctly amended..........................07-48742 239 Authority citation revised..................................07-39299 239.0-1 (b) revised...............................................08-970 239.9 Removed.....................................................08-970 239.10 Removed....................................................08-970 239.11 Form S-1 amended...........................................08-970 239.13 Form S-3 amended.........................................07-73551 Form S-3 amended................................................08-970 239.15a Form N-1A amended.......................................07-39300 Form N-1A correctly amended...................................07-48742 239.16b Form S-8 amended..........................................08-970 239.18 Form S-11 amended..........................................08-971 239.25 Form S-4 amended..................................08-971, 08-1009 239.33 Form F-3 amended.........................................07-73551 239.34 Form F-4 amended..........................................08-1009 239.42 Revised; Form F-X amended..................................08-972 239.90 Form 1-A amended...........................................08-972 239.144 (b) revised.............................................07-71571 Form 144 amended..............................................07-45111 239.500 Revised; eff. 9-15-08...................................08-10626 [[Page 27]] 239.500T Added; eff. 9-15-08 to 3-16-09.........................08-10616 240.0-2 (a) revised...............................................08-973 240.0-9 Revised..................................................08-6014 240.0-12 (c) amended..............................................08-973 240.3a4-2 Removed...............................................07-56554 240.3a4-3 Removed...............................................07-56554 240.3a4-4 Removed...............................................07-56554 240.3a4-5 Removed...............................................07-56554 240.3a4-6 Removed...............................................07-56554 240.3a5-2 Added.................................................07-56567 240.3a5-3 Added.................................................07-56567 240.3b-6 (b)(1) introductory text, (i) and (2) revised.......................................................08-973 240.3b-9 Removed................................................07-56568 240.3b-17 Removed...............................................07-56554 240.10a-1 Undesignated center heading and section removed.......07-36359 (a)(4)(ii) and (b)(iii) revised.................................08-973 240.10A-3 (a)(5)(i)(A) revised....................................08-973 240.12b-2 Amended.....................................07-35321, 07-44927 Amended.........................................................08-973 240.12b-23 (a)(3)(i) and (b) revised..............................08-974 240.12b-25 Heading, (a) and (b)(2)(ii) revised....................08-974 240.12g3-2 (d)(1) and (2) revised; (e) and (f) added............07-16955 240.12g-4 (a) revised; authority citation removed...............07-16956 240.12h-1 (d) amended; (f) and (g) added........................07-69566 240.12h-3 (b)(1)(ii), (c) and (d) amended; (b)(2) and authority citation removed; (b)(3) redesignated as new (b)(2).........07-16956 (e) revised.....................................................08-975 240.12h-6 Added.................................................07-16956 240.13a-10 (c), (d)(2)(ii), (iii), (e) introductory text, (1), (2), (4), (c) and (e) Note and (j)(2) introductory text revised.....................08-975 240.13a-13 Heading, (a), (c) introductory text and (d) revised...................................................08-975 240.13a-14 (a) revised............................................08-976 240.13a-15 (c) revised..........................................07-35321 240.13a-16 (a)(3) revised.........................................08-976 240.13a-20 (a) introductory text revised..........................08-976 240.13d-101 Amended.............................................07-45111 240.13d-102 Amended.............................................07-45112 240.14a-2 (b)(6) added...........................................08-4458 240.14a-3 (a) revised...........................................07-42237 (b) introductory text Note removed; (b)(1), Note 1, Note 2 heading, (5)(ii), (10), Note and (d) revised.......................................................08-976 240.14a-5 (f) revised; authority citation removed 08-977 240.14a-7 Note 3 removed........................................07-42238 240.14a-8 (i)(8) revised........................................07-70456 (e)(1) revised..................................................08-977 240.14a-16 (a), (d)(3), (f)(2)(i), (ii), (h), (j)(3) and (n) revised; (f)(2)(iii) added..................................07-42238 240.14a-17 Added.................................................08-4458 240.14a-101 Amended.............................................07-42238 Amended.........................................................08-977 240.14b-1 (d) introductory text revised; (d)(5) added...........07-42238 240.14b-2 (d) introductory text revised; (d)(5) added...........07-42239 240.14c-2 (d) revised...........................................07-42239 240.14c-3 (d) revised...........................................07-42239 (a)(2) Note removed.............................................08-977 240.14c-101 Amended...............................................08-977 240.14d-3 (a)(3)(i) revised; authority citation removed.......................................................08-977 240.14d-100 Amended.............................................07-45112 240.15a-6 (a)(4)(i) revised.....................................07-56568 240.15a-7 Removed...............................................07-56554 240.15a-8 Removed.....................................07-56554, 07-56568 240.15a-9 Removed...............................................07-56568 240.15a-11 Removed..............................................07-56568 240.15b1-1 (b) revised; authority citation removed 08-4692 240.15b3-1 (a) revised; (c) removed..............................08-4692 240.15b6-1 (a) revised...........................................08-4692 240.15Ba2-2 (a) revised; (e) removed.............................08-4692 240.15Bc3-1 (b) revised.............................................4692 240.15Ca1-1 (c) revised..........................................08-4693 240.15Ca2-1 (a) revised; (c) removed.............................08-4693 240.15Cc1-1 (a) revised..........................................08-4693 240.15d-10 (c), (d)(2)(ii), (iii), (e) introductory text, (1), (2), (4), (c) and (e) Note, (f) and (j)(2) introductory text revised 08-978 240.15d-13 Heading, (a), (c) introductory text, (d) and (e) revised...........................................08-978 240.15d-14 (a) revised............................................08-979 240.15d-15 (c) revised..........................................07-35322 240.15d-20 (a) introductory text revised..........................08-979 240.15d-21 (a)(1) revised.........................................08-979 [[Page 28]] 240.17a-3 Undesignated text following (a)(12)(i)(H) amended........................................08-4693 240.17g-1--240.17g-6 Undesignated center heading added..........07-33620 240.17g-1 Added.................................................07-33620 240.17g-2 Added.................................................07-33620 240.17g-3 Added.................................................07-33620 240.17g-4 Added.................................................07-33620 240.17g-5 Added.................................................07-33620 240.17g-6 Added.................................................07-33620 240.19b-4 (m) revised; eff. 4-28-08.............................08-16189 240.19b-7 Preliminary note and (d) through (g) added; (a) and (b)(1) revised; eff. 4-28-08.................08-16189 241 Interpretive releases.......................................07-35343 242.105 (a) revised; (b) and (c) redesignated as (c) and (d); new (b) added...................................................07-45107 242.200 (g) introductory text revised; (g)(2) removed...........07-36359 (e)(3) revised................................................07-45557 242.201 Added...................................................07-36359 242.203 (b)(3)(i) revised; (b)(3)(ii) through (v) redesignated as (b)(3)(iii), (iv), (vi) and (vii); new (n)(3)(ii) and (v) added.......................................................07-45557 247 Added.......................................................07-56554 249.0-1 (b) revised...............................................08-979 249.103 Amended.................................................07-45112 Form 3 amended................................................07-45113 249.104 Amended.................................................07-45112 Form 4 amended................................................07-45113 249.105 Amended; Form 5 amended.................................07-45112 249.208a Form 8-A amended.........................................08-979 249.210 Form 10 amended...........................................08-979 249.210b Removed..................................................08-980 249.220f Form 20-F amended...............................08-980, 08-1010 249.308 Form 8-K amended..........................................08-980 249.308a Form 10-Q amended........................................08-981 249.308b Removed; eff. 10-31-08...................................08-981 249.310 Form 10-K amended.........................................08-982 249.310b Removed; eff. 3-15-09....................................08-982 249.311 Form 11-K amended.........................................08-982 249.324 Added; Form 15F added...................................07-16958 249.444 Form SE amended...........................................08-982 249.501 Form BD amended.........................................07-20224 Form BD amended................................................08-4693 249.501a Form BDW amended.......................................07-20225 Form BDW amended...............................................08-4693 249.501b Form BD-N amended.......................................08-4693 249.822 Revised; Form 19b-7 revised; eff. 4-28-08 08-16190 249.1100 Form MSD amended........................................08-4693 249.1110 Form MSDW amended.......................................08-4693 249b.300 Added..................................................07-33624 260.0-11 (b)(1) introductory text, (i) and (2) revised.......................................................08-982 260.4d-9 Introductory text revised................................08-983 260.7a-10 Removed................................................08-6014 260.10a-5 (a) revised.............................................08-983 269 Authority citation revised....................................08-983 269.01 (b) revised................................................08-983 270.0-8 Revised..................................................08-6014 270.8b-33 Revised...............................................07-39299 274.11A Form N-1A amended.......................................07-39300 Form N-1A correctly amended...................................07-48742 274.202 Form 3 amended..........................................07-45113 274.203 Form 4 amended..........................................07-45113 275 Authority citation revised..................................07-55042 275.203-1 (d) revised............................................08-4694 275.203-3 (b)(3) and (b) Note revised............................08-4694 275.204-1 (b)(2) and (d) revised.................................08-4694 275.206(3)-3T Added; interim; eff. 9-30-07 to 12-31-09..........07-55042 275.206(4)-8 Added..............................................07-44761 279.1 Form ADV amended...........................................08-4694 279.2 Form ADV-W amended.........................................08-4694 Proposed Rules: 1.....................................................07-15637, 07-18316 3.................................07-15637, 07-18316, 07-20788, 07-45392 ...............................................................08-4499 4.....................................................07-15637, 07-18316 15....................................................07-15637, 07-18316 18..............................................................07-34413 21..............................................................07-34417 30...............................................................08-4499 36..............................................................07-45185 40....................................................07-39764, 07-45185 41..............................................................07-39764 150.........................................07-65483, 07-66097, 07-74213 160.............................................................07-16875 166...................................................07-15637, 07-18316 200.............................................................07-45116 210...........07-35346, 07-37962, 07-39670, 07-45600, 07-53509, 07-71610 ......................................................08-7450, 08-8836 228...............................07-39670, 07-45600, 07-53509, 07-65862 ...............................................................08-7450 229.....................07-39670, 07-45600, 07-53509, 07-65862, 07-71610 ......................................................08-7450, 08-8836 230..........07-36822, 07-37376, 07-37962, 07-39670, 07-45116, 07-45600, 07-53509, 07-65862, 07-67790 ..............................................................08-13404 231.............................................................07-71610 [[Page 29]] ...............................................................08-8836 232.........................................07-37376, 07-63513, 07-67790 239..........07-35118, 07-36822, 07-37376, 07-37962, 07-39670, 07-45116, 07-45600, 07-53509, 07-65862, 07-67790, 07-72274 ..........................................08-10102, 08-13404, 08-14618 240..........07-28908, 07-35346, 07-37608, 07-39670, 07-43466, 07-43488, 07-45600, 07-53509, 07-65862 ..........................................08-10102, 08-13404, 08-15376 241.............................................................07-71610 ...............................................................08-8836 242.............................................................07-45558 248.............................................................07-16875 ..............................................................08-13692 249.....................07-37962, 07-39670, 07-45600, 07-53509, 07-65862 ..................................08-7450, 08-8976, 08-10102, 08-13404 260.............................................................07-39670 269.............................................................07-39670 270.............................................................07-63513 ..............................................................08-14618 274.............................................................07-67790 .....................................................08-8976, 08-14618 275.............................................................07-55126 ..............................................................08-13958 279.............................................................08-13958