[List of CFR Sections Affected (LSA), August 2011] [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) Chapter I Order.......................................11-20835, 11-42508 Authority citation revised....................................11-41056 1 Authority citation revised....................................11-44264 1.3 (zz) added..................................................11-41056 1.49 (d)(3) revised.............................................11-44264 4 Authority citation revised....................................11-44264 4.12 (b)(3) through (6) redesignated as (d)(1) through (4); (b) heading, (1) introductory text, new (d)(1) introductory text, (iii)(A), (B), (iv) and (2)(ii) revised; (b)(2) amended; (c) added...................................................11-28644 4.13 (a)(3)(iv) and (4)(ii)(B) amended; (a)(5) redesignated as (a)(6); new (a)(6)(i) introductory text, (b)(1)(ii) and (2) revised; new (a)(5) added............................................11-28645 4.24 (h)(1)(i) revised..........................................11-44264 15 Authority citation revised...................................11-43862 15.00 Heading and introductory text revised.....................11-43862 20 Added........................................................11-43862 35 Revised......................................................11-49299 39 Authority citation revised...................................11-44473 39.5 Redesignated as 39.8; new 39.5 added.......................11-44473 39.8 Redesignated from 39.5.....................................11-44473 40 Revised......................................................11-44790 40.6 (a) corrected..............................................11-45666 140.94 (a)(5) revised; (a)(6) added.............................11-44474 160 Heading and authority citation revised......................11-43878 160.1 (b) revised...............................................11-43878 160.3 (a) through (v), (w) and (x) redesignated as (t) through (w), (y) and (z); new (s), (x), (y)(6) and (7) added; (a), (n)(1)(i), (ii), (o)(1)(i) and new (y)(4) and (5) revised....................11-43878 160.15 (a)(4) revised...........................................11-43879 160.17 (b) revised..............................................11-43879 160.30 Revised..................................................11-43879 162 Added.......................................................11-43884 165 Added.......................................................11-53200 180 Added.......................................................11-41410 Chapter II_Securities and Exchange Commission (Parts 200_399) 200.30-4 (a)(14) revised........................................11-35349 (a)(16) added.................................................11-39770 200.800 (b) amended; eff. 12-31-12..............................11-46616 202.3a (e) amended..............................................11-28890 210 Heading revised.............................................11-50119 210.1-02 (u) amended............................................11-50119 210.4-01 (a)(3)(i) introductory text and (ii) amended.....................................................11-50119 210.4-08 (h)(3) and Instructions amended........................11-50119 210.4-10 (b) amended............................................11-50119 210.10-01 (a)(7) and (b)(5) amended.............................11-50120 229.10 (c) introductory text and (1)(i) amended; eff. 12-31-12...............................................11-46617 229.101 Instructions amended....................................11-50120 229.201 (d) Instructions amended................................11-50120 229.302 (b) and Instructions amended............................11-50120 229.303 (a)(4)(ii)(A), (C), (D), (5)(ii)(A), (B), (C) and Instructions amended................................11-50120 229.305 Instructions amended....................................11-50120 229.402 (a)(6)(iii), (iv), (c)(2)(ix)(C), (d)(2)(viii), (e)(1)(iii), (k)(2)(vii)(C), (m)(5)(iv), (n)(2)(ix)(C), (r)(2)(vii)(C), (m)(5)(iii) and Instructions amended........................11-50121 229.503 Instructions amended....................................11-50121 229.601 (b)(11) amended.........................................11-50121 229.1204 Instructions amended...................................11-50121 230 Authority citation revised..................................11-46617 230.134 (a) introductory text and (6) revised; (a)(17) removed.............................................11-46617 230.138 (a)(2)(ii)(B)(2) revised................................11-46617 230.139 (a)(1)(i)(A)(1)((ii) and (B)(2)(ii) revised.....................................................11-46617 230.146 (c)T amended............................................11-40229 230.168 (a)(2)(ii)(B) revised...................................11-46617 230.175 (b)(2)(ii) amended......................................11-50121 230.239T (e) amended............................................11-40229 230.240 Added; interim..........................................11-40611 230.467 Heading, (a) and (b) amended; eff. 12-31- 12..........................................................11-46617 230.473 (d) amended; eff. 12-31-12..............................11-46617 232.301 Revised.................................................11-47440 [[Page 44]] 232.405 Preliminary Note 1, (a)(2) introductory text, (3), (4) amd section Note amended; eff. 12-31-12....................................................11-46617 239 Authority citation revised..................................11-46617 239.13 Undesignated text heading following (b)(1), (b)(2) and (5) revised......................................11-46617 Form S-3 amended..............................................11-46618 239.15A Form N-1A amended.......................................11-50123 239.17a Form N-3 amended........................................11-50123 239.17b Form N-4 amended........................................11-50123 239.17c Form N-6 amended........................................11-50123 239.25 Form S-4 amended...............................11-46619, 11-50121 239.33 (b)(2) revised; Form F-3 amended.........................11-46619 239.34 Form F-4 amended.........................................11-46620 239.37 (h)(3) amended; eff. 12-31-12............................11-46620 Form F-8 amended..............................................11-46620 239.39 Removed; eff. 12-31-12...................................11-46620 239.40 (c)(4) and Form F-10 amended; eff. 12-31-12 11-46620 239.90 Form 1-A amended.........................................11-50121 240 Authority citation amended..............11-34363, 11-34590, 11-46620 Order.........................................................11-36287 Interpretive release..........................................11-38293 Authority citation revised....................................11-41685 240.0-12 (b) revised............................................11-43891 240.3b-6 (b)(2)(ii) amended.....................................11-50122 240.12a-10T (b) amended.........................................11-40229 240.12a-11 Added; interim.......................................11-40611 240.12h-1 (h)T amended..........................................11-40229 (i) added; interim............................................11-40612 240.12h-3 (b)(1) introductory text amended; (b) Note added..................................................11-52555 240.12h-6 (i) Note added........................................11-52555 240.13h-1 Added.................................................11-47002 240.14a-101 Note E(2)(ii) revised...............................11-46620 240.15b12-1T Added (temporary)..................................11-41685 240.15d-22 Revised..............................................11-52555 240.17h-1T (a)(1)(vii) amended..................................11-50122 240.19b-4 (a) redesignated as (a)(1); (a)(2) added 11-20509 (f)(4) introductory text amended; (f)(4)(i) and (ii) redesignated as (f)(4)(i)(A) and (B); (f)(4) introductory text and new (i)(B) amended; (f)(4)(ii)(A) and (B) added; interim 11-41062 240.21F-1 Undesignated center heading and section added.......................................................11-34363 240.21F-2 Added.................................................11-34363 240.21F-3 Added.................................................11-34363 240.21F-4 Added.................................................11-34363 240.21F-5 Added.................................................11-34363 240.21F-6 Added.................................................11-34363 240.21F-7 Added.................................................11-34363 240.21F-8 Added.................................................11-34363 240.21F-9 Added.................................................11-34363 240.21F-10 Added................................................11-34363 240.21F-11 Added................................................11-34363 240.21F-12 Added................................................11-34363 240.21F-13 Added................................................11-34363 240.21F-14 Added................................................11-34363 240.21F-15 Added................................................11-34363 240.21F-16 Added................................................11-34363 240.21F-17 Added................................................11-34363 249 Authority citation amended..................................11-34371 249.220f Form 20-F amended......................................11-50122 249.240f (a) introductory text and (b)(4) introductory text amended; Note following (a) introductory text redesignated as (a) Note; eff. 12-31-12...............................................11-46620 249.240f Form 40-F amended; eff. 12-31-12.......................11-46621 Form 40-F amended.............................................11-50123 249.308 Form 8-K amended........................................11-50123 249.323 Form 15 amended.........................................11-52556 249.327 Added...................................................11-47004 249.328T Form 17-H amended......................................11-50123 249.819 Form 19b-4 amended; interim.............................11-41063 249.1800--249.1801 (Subpart S) Added............................11-34371 260.4d-11T Amended..............................................11-40229 260.4d-12 Added; interim........................................11-40612 270.3a-8 (b)(9) amended.........................................11-50123 274.11A Form N-1A amended.......................................11-50123 274.11b Form N-3 amended........................................11-50123 274.11c Form N-4 amended........................................11-50123 274.11d Form N-6 amended........................................11-50123 275 Authority citation revised..................................11-39701 Authority citation amended....................................11-43011 275.0-7 (a)(1) amended..........................................11-43011 275.202(a)(11)-1 Removed........................................11-43011 275.202(a)(11)(G)-1 Added.......................................11-37994 275.202(a)(30)-1 Added..........................................11-39701 275.203-1 (e) added.............................................11-43011 275.203(b)(3)-1 Removed.........................................11-43011 275.203(b)(3)-2 Removed.........................................11-43011 275.203(l)-1 Added..............................................11-39702 275.203(m)-1 Added..............................................11-39703 275.203A-1 Revised..............................................11-43011 275.203A-2 (a) removed; (b) through (f) redesignated as [[Page 45]] new (a) through (e); new (d)(2), (3) and (4) redesignated as (d)(2)(i), (ii) and (3); new (d)(2) introductory text added; new (a)(1), (c)(1), (d)(1), (2)(i), (ii) revised; new (a)(2) introductory text, (e)(1)(ii), (iii), (2) and (3) amended.........................................11-43012 275.203A-3 (a)(4) revised; (d) and (e) added....................11-43012 275.203A-4 Removed..............................................11-43012 275.203A-5 Added; eff. 7-21-11; (b) and (c) added; eff. 9-19-11................................................11-43012 275.204-1 Heading, (b), (a) and (b) Note and (c) revised.....................................................11-43013 275.204-2 (a)(14)(ii) amended; (e)(3)(ii) revised; (l) removed;................................................11-43013 275.204-4 Added.................................................11-43013 275.206(4)-5 (a)(1), (2) introductory text, (i), (d) and (f)(9) revised; (f)(2)(i) amended...................11-43013 275.222-1 Heading and (b) amended...............................11-43014 275.222-2 Revised...............................................11-43014 279.1 Form ADV amended..........................................11-43014 279.3 Form ADV-H amended........................................11-43014 279.4 Form ADV-NR amended.......................................11-43014 279.8 Form ADV-E amended........................................11-43014 Proposed Rules: 1--199 (Ch. I)..........11-23221, 11-25274, 11-35372, 11-38328, 11-44507 1...11-27802, 11-29818, 11-32880, 11-33066, 11-45724, 11-45730, 11-47529 5...............................................................11-33066 7...............................................................11-33066 8...............................................................11-33066 15..............................................................11-33066 18..............................................................11-33066 21..............................................................11-33066 22..........................................11-31518, 11-33818, 11-35141 23............11-23732, 11-27621, 11-27802, 11-45724, 11-45730, 11-47529 36..............................................................11-33066 39....................................................11-45730, 11-47529 41..............................................................11-33066 46..............................................................11-22833 140...................................................11-27802, 11-33066 145.............................................................11-33066 155.............................................................11-33066 166.............................................................11-33066 190.........................................11-31518, 11-33818, 11-35141 200--399 (Ch. II)...........................11-23221, 11-44507, 11-44508 200.............................................................11-30048 229.........................................11-18966, 11-25273, 11-47948 230...............................11-31518, 11-34920, 11-47948, 11-49698 232.............................................................11-33420 239...................................................11-31518, 11-47948 240..........11-18966, 11-25273, 11-26550, 11-29818, 11-32880, 11-33420, 11-34920, 11-37572, 11-42396 242.............................................................11-26550 246...................................................11-24090, 11-34010 248.............................................................11-21170 249...............................11-26550, 11-33420, 11-37572, 11-47948 249b............................................................11-33420 260.............................................................11-34920 275.............................................................11-27959 400--499 (Ch. IV)...............................................11-39315