[List of CFR Sections Affected (LSA), March 2012] [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, 11-80233 1 Authority citation revised.....11-41056, 11-44264, 11-69429, 11-71683, 11-78798 Policy statement..............................................11-77670 Authority citation revised.....................................12-2625 1.3 (zz) added..................................................11-41056 (c) and (d) revised; (k) removed; (aaa) through (fff) removed 11-69429 (z) revised...................................................11-71683 (aa)(6) added..................................................12-2625 1.12 (f)(1) removed.............................................11-69430 1.25 Revised....................................................11-78798 1.47 Removed....................................................11-71684 1.48 Removed....................................................11-71684 1.49 (d)(3) revised.............................................11-44264 3 Authority citation revised.....................................12-2626 3.1 (f) and (g) added............................................12-2626 (f) corrected..................................................12-3590 3.2 Heading revised; (c)(3) added................................12-2626 3.4 (a) revised..................................................12-2626 3.10 Heading, (a)(1)(i), (b)(1) and (d) revised; (a)(1)(iii), (iv) and (v) added..............................12-2626 3.21 (c) introductory text, (1)(iv), (2)(i) and (4)(i) revised; (c)(1)(v) added..............................12-2627 3.30 (a) revised.................................................12-2627 3.31 (a)(1), (b) and (c)(2) revised..............................12-2628 3.33 (a) introductory text, (b) introductory text, (6)(vi), (vii) and (e) revised; (b)(6)(viii) and (ix) added...............................................12-2628 4 Authority citation revised..........................11-44264, 11-71174 Authority citation revised.....................................12-9822 Authority citation amended....................................12-17332 4.5 (c)(2)(iii) and (5) added; eff. 4-24-12.....................12-11283 (c)(2)(iii) and (5) correctly added...........................12-17328 4.6 (a)(3) added; eff. 4-17-12...................................12-9822 4.7 (a)(3)(ix), (x) and (b)(3) revised; eff. 4-24- 12..........................................................12-11284 (a)(3)(ix), (x) and (b)(3) correctly revised..................12-17329 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 (a)(3)(ii)(B)(1), (2), (b)(1)(ii) and (e)(2) introductory text revised; (a)(4) removed; (b)(4) redesignated as (b)(5); new (b)(4) added; eff. 4-24-12.........................................12-11284 (a)(3)(ii)(B)(1), (2), (b)(1)(ii) and (e)(2) correctly revised; (a)(4) correctly removed; (b)(4) correctly redesignated as (b)(5); new (b)(4) correctly added......................................12-17329 4.14 (a)(8)(i)(D) revised; (a)(8)(iii)(D) redesignated as (a)(8)(iii)(E); new (a)(8)(iii)(D) added; eff. 4-24-12..........................12-11284 (a)(8)(i)(D) correctly revised; (a)(8)(iii)(D) correctly redesignated as (a)(8)(iii)(E); new (a)(8)(iii)(D) correctly added..............................12-17330 Heading revised; (i)(3) redesignated as (i)(4); new (i)(3) added; (j)(1) amended; eff. 4-25-12 12-17332 4.24 (h)(1)(i) revised..........................................11-44264 (b)(5) added; eff. 4-24-12....................................12-11285 (b)(5) correctly added........................................12-17330 4.27 Added......................................................11-71174 Revised; eff. 7-2-12..........................................12-11285 Correctly revised; eff. 7-2-12................................12-17330 4.34 (b)(4) added; eff. 4-24-12.................................12-11285 (b)(4) correctly added........................................12-17330 4 Appendix A revised; eff. 4-24-12..............................12-11286 Appendix C added; eff. 4-24-12................................12-11337 5 Authority citation revised....................................11-56106 5.1 (d)(1)(i), (e)(1), (f)(1), (g) introductory text, (h)(1) and (j) amended.................................................11-56106 5.3 (a)(4)(i)(A) amended........................................11-56106 5.10 (a)(1) introductory text and (c)(2) amended................11-56106 [[Page 18]] 5.11 (a)(1) introductory text, (2) introductory text and (d)(2) amended.....................................................11-56107 5.18 (a)(1)(ii) amended.........................................11-56107 12.26 (c) revised...............................................11-63188 15 Authority citation revised...................................11-43862 15.00 Heading and introductory text revised.....................11-43862 20 Added........................................................11-43862 21 Authority citation revised...................................11-69430 21.04 Redesignated as 21.05; new 21.04 added....................11-69430 21.05 Redesignated from 21.04...................................11-69430 21.06 Added.....................................................11-69430 22 Added; eff. 4-9-12............................................12-6371 23 Added.........................................................12-2628 Authority citation revised.....................................12-9822 23.1--23.20 (Subpart A) Heading corrected........................12-3590 23.400--23.451 (Subpart H) Added; eff. 4-17-12...................12-9822 24 Authority citation revised...................................12-17332 24.3a Heading revised; (a), (b)(1) heading, (2)(i) introductory text, (A), (B) introductory text, (1), (2), (3), (4), (C), (ii) and (c)(1) amended; eff. 4-25-12.......................................12-17332 30.7 (c) revised; (g) added.....................................11-78802 30.13 Added.....................................................11-59245 30 Appendix D revised...........................................11-59247 35 Revised......................................................11-49299 39 Authority citation revised...................................11-44473 Revised.......................................................11-69430 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 43 Added.........................................................12-1243 Technical correction...........................................12-2909 45 Added.........................................................12-2197 48 Added........................................................11-80698 49 Added........................................................11-54575 140.94 (a)(5) revised; (a)(6) added.............................11-44474 (a)(6) redesignated as (a)(7); heading, (a)(5) and new (7) revised; new (a)(6) and (8) through (14) added................11-69472 145.5 (d)(1)(viii) and (h) revised; eff. 4-24-12 12-11342 147.3 (b)(4)(i)(H) and (b)(8) revised; eff. 4-24- 12..........................................................12-11342 150.2 Revised...................................................11-71684 151 Added.......................................................11-71685 151.4 Interim in part...........................................11-71626 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 170.16 Added.....................................................12-2629 180 Added.......................................................11-41410 190.01 (w), (y) and (kk)(6) amended; (e) through (oo) redesignated as (f) through (pp); new (e) added; (a) and new (f), (cc, (hh), (ll)(2)(ii), (4), (5) and (pp) revised; eff. 4-9-12.......................................................12-6378 190.02 (d)(1), (3), (6) and (7) amended; eff. 4-9- 12...........................................................12-6378 (a), (b)(1), (2), (d)(11), (e), (f)(1)(i), (ii) and (g)(2)(i) revised; eff. 4-9-12...........................12-6379 190.03 (a)(2) amended; eff. 4-9-12...............................12-6378 (a)(3), (b)(3), (4), (5) and (c) revised; eff. 4-9-12.......................................................12-6380 190.04 (d)(1) revised; eff. 4-9-12...............................12-6380 190.05 (a)(1) and (b)(1) amended; eff. 4-9-12....................12-6378 (b) introductory text revised; eff. 4-9-12.....................12-6381 190.06 (g)(g)(1)(i), (ii), (3) amended; eff. 4-9- 12...........................................................12-6378 (a), (e)(1)(iii), (2), (f)(3)(i) and (g)(2) revised; (e)(1)(iv) removed; (e)(1)(v) redesignated as new (e)(1)(iv); (g)(1)(iii) added; eff. 4-9-12...........................................12-6381 190.07 (e)(1) and (2)(ii)(B) amended; eff. 4-9-12 12-6378 (b)(2)(viii), (ix), (3)(v), (c)(1)(i), (e) introductory text, (1) and (4) revised; (b)(2)(xiii) redesignated as (b)(2)(xiv); new (b)(2)(xiii) added; eff. 4-9-12..............................12-6381 190.09 (b) revised; eff. 4-9-12..................................12-6382 190.10 (d)(1) and (h) amended; eff. 4-9-12.......................12-6378 (a) revised; eff. 4-9-12.......................................12-6382 [[Page 19]] 190 Appendix A revised; eff. 4-9-12..............................12-6382 Appendix B revised; eff. 4-9-12................................12-6386 Chapter II_Securities and Exchange Commission (Parts 200_399) 200 Authority citation amended..................................11-57637 Authority citation amended.....................................12-8095 200.1 Introductory text and (b) amended; (h) and authority citation removed; (i) and (j) redesignated as new (h) and (i) 11-71874 200.2 (c) removed; (d) through (g) redesignated as new (c) through (f).........................................................11-71874 200.13 Heading, (a), (b), (c) and (d) amended...................11-60371 200.16a (b) and (c) amended......................................12-8095 200.17 Introductory text amended................................11-60371 200.20b Introductory text amended; (f) removed..................11-71874 200.20c Removed.................................................11-60372 200.21 (a) amended..........................11-60371, 11-60372, 11-71449 200.21a (a) and (b) amended.....................................11-71449 200.24 Amended..................................................11-60372 200.25 Removed..................................................11-60372 200.30-1 (c) amended............................................12-18684 200.30-3 (a)(80) amended........................................11-60371 (a)(17)(ii) revised...........................................11-67599 200.30-4 (a)(14) revised........................................11-35349 (a)(16) added.................................................11-39770 200.30-5 (f) removed; (g) through (m) redesignated as new (f) through (l); new (k) and (l) amended........................11-71874 200.30-6 Authority citation removed.............................11-71874 200.30-7 (a) introductory text and (6) amended..................11-71874 200.30-13 Amended...............................................11-60372 200.30-14 (g)(1) introductory text amended......................11-71874 200.30-15 Heading and text amended..............................11-60371 200.43 (b)(2) amended...........................................11-71874 200.50--200.72 (Subpart C) Authority citation revised...........11-71874 200.80 (a)(4) amended...........................................11-71874 200.80a Table removed...........................................11-71874 200.80c (b)(2) amended..........................................11-71874 200.80f Table amended...........................................11-71874 200.82a Regulation at 75 FR 56780 eff. date confirmed...........11-58100 200.110--200.114 (Subpart F) Authority citation revised.........11-71874 200.304 Authority citation removed..............................11-71874 200.307 Authority citation removed..............................11-71874 200.308 Authority citation removed..............................11-71874 200.312 (a)(5) and (6) amended; (a)(7), (8) and (9) added; (b) revised; authority citation removed.........................11-57637 200.500--200.511 (Subpart J) Authority citation revised.........11-60372 200.503 Introductory text and (a) amended.......................11-60371 Authority citation removed....................................11-60372 200.504 Introductory text amended...............................11-60371 200.505 (c) amended.............................................11-60371 200.508 (a) amended.............................................11-60371 200.510 (a) amended.............................................11-60371 200.511 (a) amended.............................................11-60371 200.551 Revised.................................................11-71874 200.735-8 (b)(1) introductory text amended; (b)(2) redesignated as (b)(3); new (b)(2) added....................12-13491 200.735-11 (c), (d) and (e) amended.............................11-71450 200.735-15 (a) through (f) amended..............................11-71450 200.735-17 Amended..............................................11-71450 200.800 (b) amended; eff. 12-31-12..............................11-46616 (b) amended...................................................12-18684 200.80 (b) table amended........................................11-71874 201 Authority citation revised..................................11-60372 201.59 Amended..................................................11-60372 201.100--201.900 (Subpart D) Authority citation revised.........11-71875 201.190 (a) amended.............................................11-71875 201.210 (b) revised.............................................11-71875 202 Authority citation amended..................................11-71875 202.1 (b) amended...............................................11-71875 202.2 Amended...................................................11-71875 202.3 (a) and (b)(1) amended....................................11-71875 202.3a (e) amended..............................................11-28890 202.6 Authority citation removed................................11-71875 202.9 Amended...................................................11-71875 204.32 Amended..................................................11-60372 204.34 (d) amended..............................................11-60372 210 Heading revised.............................................11-50119 [[Page 20]] 210.1-01 (a)(2) amended; (a)(3) removed; (a)(4) redesignated as new (a)(3)..................................................11-71875 210.1-02 (u) amended............................................11-50119 210.3-18 Authority citation removed.............................11-71875 210.3A-05 Removed...............................................11-71875 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 229.104 Added...................................................11-81782 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 229.405 Introductory text revised; (a)(1) amended...............11-71875 229.503 Instructions amended....................................11-50121 229.601 (b)(11) amended.........................................11-50121 (a) table amended; (b)(95) added..............................11-81783 229.1204 Instructions amended...................................11-50121 230 Authority citation revised........................11-46617, 11-81805 Authority citation amended....................................11-71876 230.122 Authority citation removed..............................11-71876 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 230.144 (a)(3)(viii) amended....................................11-81805 230.146 (c)T amended............................................11-40229 (b)(1) and (2) revised.........................................12-3597 230.155 (a) amended.............................................11-81805 230.168 (a)(2)(ii)(B) revised...................................11-46617 230.175 (b)(2)(ii) amended......................................11-50121 230.176 Authority citation removed..............................11-71876 230.215 (e) revised.............................................11-81805 230.239T (e) amended............................................11-40229 230.240 Added; interim..........................................11-40611 230.400--230.498 (Regulation C) Authority citation amended......11-71876 230.400 Authority citation removed..............................11-71876 230.404 Authority citation removed..............................11-71876 230.412 (b) amended.............................................11-71876 230.414 Authority citation removed..............................11-71876 230.421 Authority citation removed..............................11-71876 230.423 Authority citation removed..............................11-71876 230.427 Authority citation removed..............................11-71876 230.430 Authority citation removed..............................11-71876 230.431 Authority citation removed..............................11-71876 230.436 Authority citation removed..............................11-71876 230.460 Authority citation removed..............................11-71876 230.467 Heading, (a) and (b) amended; eff. 12-31-12.............11-46617 230.470 Authority citation removed..............................11-71876 230.471 Authority citation removed..............................11-71876 230.473 (d) amended; eff. 12-31-12..............................11-46617 230.479 Authority citation removed..............................11-71876 230.480--230.485 Authority citation removed.....................11-71876 230.500 Added...................................................12-18684 230.501 Authority citation and preliminary notes after undesignated center heading removed; (a)(5) revised; (e)(1)(i) amended.....................................................11-81806 Introductory text amended.....................................12-18685 230.502 Introductory text amended...............................12-18685 232.11 Amended..................................................11-71876 232.13 Regulation at 75 FR 56780 eff. date confirmed............11-58100 232.101 (c)(12), (13) and (14) removed..........................11-71876 [[Page 21]] 232.102 (a) amended; (f) removed................................11-71876 232.104 (d) amended.............................................11-71876 232.201 (a) note 1 amended......................................11-71876 232.202 Note 1 amended..........................................11-71876 232.301 Revised.......................................11-47440, 11-73508 Revised.......................................................12-19078 232.306 (b) and (c) amended.....................................11-71876 232.311 (c), (d) and (e) removed; (f) through (i) redesignated as new (c) through (f); new (e)(1) and (2) amended.............11-71876 232.405 Preliminary Note 1, (a)(2) introductory text, (3), (4) amd section Note amended; eff. 12-31-12.........................11-46617 232.501 (c)(2) and (3) amended..................................11-71876 239 Authority citation revised........................11-46617, 11-81806 Authority citation amended....................................11-71876 239.13 Undesignated text heading following (b)(1), (b)(2) and (5) revised.....................................................11-46617 Form S-3 amended....................................11-46618, 11-81783 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 239.63 Form ID revised..........................................11-55791 239.64 Form SE amended..........................................11-71877 239.90 Form 1-A amended.........................................11-50121 239.500 Heading and (a)(1) and Form D amended...................11-81806 240 Authority citation amended....11-34363, 11-34590, 11-46620, 11-71876 Policy statement....................................11-36287, 11-38293 Authority citation revised....................................11-41685 240.0-4 Authority citation removed..............................11-71876 240.0-12 (b) revised............................................11-43891 240.3b-6 (b)(2)(ii) amended.....................................11-50122 240.11d1-1 (d) amended; authority citation removed..............11-71876 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 240.13a-11 Regulation at 75 FR 56780 eff. date confirmed........11-58100 240.13d-1 Regulation at 75 FR 56780 eff. date confirmed.........11-58100 240.13d-102 Regulation at 75 FR 56780 eff. date confirmed.......11-58100 240.13f-1 (c) amended...........................................11-71876 240.13h-1 Added.................................................11-47002 240.14a-2 Regulation at 75 FR 56780 eff. date confirmed.........11-58100 240.14a-4 Regulation at 75 FR 56781 eff. date confirmed.........11-58100 240.14a-5 Regulation at 75 FR 56782 eff. date confirmed.........11-58100 240.14a-6 Regulation at 75 FR 56782 eff. date confirmed.........11-58100 240.14a-8 Regulation at 75 FR 56782 eff. date confirmed.........11-58100 240.14a-9 Regulation at 75 FR 56782 eff. date confirmed.........11-58100 240.14a-12 Regulation at 75 FR 56787 eff. date confirmed........11-58100 240.14a-18 Regulation at 75 FR 56787 eff. date confirmed........11-58100 240.14a-101 Note E(2)(ii) revised...............................11-46620 Regulation at 75 FR 56788 eff. date confirmed.................11-58100 240.14d-4 Authority citation removed............................11-71876 240.14d-7 Authority citation removed............................11-71876 240.14n-1 Regulation at 75 FR 56788 eff. date confirmed.........11-58100 240.14n-2 Regulation at 75 FR 56788 eff. date confirmed.........11-58100 240.14n-3 Regulation at 75 FR 56788 eff. date confirmed.........11-58100 240.14n-101 Regulation at 75 FR 56788 eff. date confirmed.......11-58100 240.15b12-1T Added (temporary)..................................11-41685 240.15d-11 Regulation at 75 FR 56792 eff. date confirmed........11-58100 240.15d-22 Revised..............................................11-52555 240.15g-1 (c) amended...........................................12-18685 240.15Ba2-6T Amended; interim...................................11-80735 240.15Ga-1 Correctly amended....................................11-54375 240.16a-1 (a)(5)(i) removed; (a)(5)(ii) and (iii) redesignated as new (a)(5)(i) and (ii)......................................11-71876 [[Page 22]] 240.16a-2 Introductory text amended.............................11-71877 240.16a-3 (d) amended...........................................11-71877 240.16b-1 (a) designation and (b) removed.......................11-71877 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 242.101 (b)(10)(i) amended......................................12-18685 242.102 (b)(7)(i) amended.......................................12-18685 242.104 (j)(2)(i) amended.......................................12-18685 243.100 (b)(1)(ii) amended......................................11-71877 249 Authority citation amended..................................11-34371 249.103 Form 3 amended..........................................11-71877 249.104 Form 4 amended..........................................11-71877 249.105 Form 5 amended..........................................11-71877 249.220f Form 20-F amended............................11-50122, 11-81783 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 Form 40-F amended; eff. 12-31-12..............................11-46621 Form 40-F amended...................................11-50123, 11-81784 249.308 Form 8-K amended..............................11-50123, 11-81785 Regulation at 75 FR 56792 eff. date confirmed.................11-58100 249.308a Form 10-Q amended......................................11-81785 249.310 Form 10-K amended.......................................11-81785 249.323 Form 15 amended.........................................11-52556 249.327 Added...................................................11-47004 249.328T Form 17-H amended......................................11-50123 249.444 Form SE amended.........................................11-71877 249.446 Form ID revised.........................................11-55791 249.819 Form 19b-4 amended; interim.............................11-41063 249.1800--249.1801 (Subpart S) Added............................11-34371 250 Removed.....................................................11-71877 251 Removed.....................................................11-71877 256 Removed.....................................................11-71877 257 Removed.....................................................11-71877 259 Removed.....................................................11-71877 260.0-4 Authority citation removed..............................11-71877 260.0-6 Authority citation removed..............................11-71877 260.4d-11T Amended..............................................11-40229 260.4d-12 Added; interim........................................11-40612 260.7a-29 Authority citation removed............................11-71877 260.19a-1 Amended...............................................11-71877 269.7 Form ID revised...........................................11-55791 269.8 Form SE amended...........................................11-71877 270.0-4 Authority citation removed..............................11-71877 270.3a-8 (b)(9) amended.........................................11-50123 270.8b-32 Authority citation removed............................11-71877 270.17j-1 (a)(8) amended........................................11-81806 271 Policy statement............................................11-55237 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 274.202 Form 3 amended..........................................11-71877 274.203 Form 4 amended..........................................11-71877 274.402 Form ID revised.........................................11-55791 274.403 Form SE amended.........................................11-71877 275 Authority citation revised..................................11-39701 Authority citation amended....................................11-43011 275.0-4 Authority citation removed..............................11-71877 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 [[Page 23]] 275.203A-2 (a) removed; (b) through (f) redesignated as 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 275.204a-1 (e)(7) amended.......................................11-81806 275.204(b)-1 Added..............................................11-71174 275.205-3 (c), (d)(1)(i) and (ii) revised; (e) added; eff. 5-22-12.........................................12-10368 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 279.9 Added.....................................................11-71175 Proposed Rules: 1--199 (Ch. I).........11-23221, 11-25274, 11-35372, 11-38328, 11-44507, 11-65999 1...11-27802, 11-29818, 11-32880, 11-33066, 11-45724, 11-45730, 11-47529 4...............................................................12-11345 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, 11-58176 36..............................................................11-33066 37....................................................11-58186, 11-77728 38....................................................11-58186, 11-77728 39..........................................11-45730, 11-47529, 11-58186 41..............................................................11-33066 43..............................................................12-15460 46..............................................................11-22833 75...............................................................12-8332 140...................................................11-27802, 11-33066 145.............................................................11-33066 155.............................................................11-33066 162.............................................................12-13450 166.............................................................11-33066 190.........................................11-31518, 11-33818, 11-35141 200--399 (Ch. II).......11-23221, 11-44507, 11-44508, 11-56128, 11-79141 200.............................................................11-30048 229...............................11-18966, 11-25273, 11-47948, 11-63573 230...........11-31518, 11-34920, 11-47948, 11-49698, 11-60320, 11-78181 .................................................................12-24 232.............................................................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, 11-65784 242.............................................................11-26550 246...................................................11-24090, 11-34010 248.............................................................11-21170 ..............................................................12-13450 249...........11-26550, 11-33420, 11-37572, 11-47948, 11-63573, 11-65784 249b............................................................11-33420 255.............................................................11-68846 .................................................................12-23 260.............................................................11-34920 270...................................................11-55300, 11-55308 275.............................................................11-27959 400--499 (Ch. IV)...............................................11-39315 400.............................................................11-59592 401.............................................................11-59592 402.............................................................11-59592 403.............................................................11-59592 405.............................................................11-59592 420.............................................................11-59592