[List of CFR Sections Affected (LSA), February 2017] [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 Policy statement.........................................63376 1 Policy statement..........................................54478, 71605 1.20 (g)(4)(i) and (ii) revised....................................53267 3 Policy statement.................................................54478 Authority citation revised.......................................80566 3.3 (f)(2) revised; (h) added......................................80566 3.21 (e) added.....................................................18747 4.7 (b)(2)(v) revised..............................................85154 4.22 (a)(6), (c)(7)(iii), (d)(1) introductory text, (2) and (g)(2) revised........................................................85154 4.27 (c)(2) revised................................................85155 23 Authority citation revised......................................34847 Policy statement.................................................54478 23.160 Added.......................................................34847 23.500 (g) and (i)(1) revised......................................27314 37 Policy statement................................................54478 37.1401 (f) removed; (c), (d), (e) and (h) redesignated as new (d), (e), (f) and (j); (a), (b) and (g) revised; new (c), (h), (i), (k), (l) and (m) added....................................64310 37 Appendix B amended..............................................64312 38.1051 (a), (b), (c), (g), (h) and (i) introductory text revised; (k) through (n) added..........................................64312 39.18 Revised......................................................64336 39.34 (a), (b)(3) and (c) revised..................................64339 43 Policy statement................................................54478 45 Policy statement................................................54478 45 Authority citation revised......................................41772 45.1 Amended.......................................................41772 45.3 Revised.......................................................41772 45.4 (b)(2)(ii) removed; eff. 6-27-16..............................41774 Revised; eff. 7-27-16............................................41774 45.5 Revised.......................................................41775 45.8 Revised.......................................................41777 45.10 Revised......................................................41778 45 Appendix 1 revised..............................................41778 46 Policy statement................................................54478 49.24 (b), (c), (d), (i), (j) and (k) introductory text revised; (l), (m) and (n) added.........................................64315 50.4 (a) revised...................................................71239 143 Authority citation revised.....................................41437 143.8 (a)(1) through (4) and (b) revised; (c) removed; interim.....41437 (a)(1)(ii) introductory text, (2)(ii), (3)(ii) introductory text and (4)(ii) introductory text revised; (a)(1)(iii), (2)(iii), (3)(iii), and (4)(iii) added; interim.....................................7645 150 Authority citation revised.....................................91489 150.1 (d), (e)(2) and (5) revised..................................91489 150.3 (a)(3) amended; (a)(4) removed...............................91489 150.4 Revised......................................................91490 170 Policy statement...............................................54478 Chapter II_Securities and Exchange Commission (Parts 200_399) 200.30-1 (a)(7) and (c) amended....................................83550 200.800 (b) table amended (OMB numbers); eff. 6-1-18...............82009 201.141 (a)(2)(iv), (v) and (3) revised............................50233 201.154 Introductory text added; (b) amended.......................50234 201.161 (c)(2)(iii) revised........................................50234 201.180 (a)(1) introductory text, (i), (2) and (c) introductory text revised...................................................50234 201.220 Revised....................................................50234 201.221 (c) revised................................................50234 201.222 Heading and (b) revised....................................50235 201.230 (a)(1)(vi), (b)(1)(iii) and (c) amended; (b) heading revised; (b)(1)(iv) and (2) redesignated as (b)(1)(v) and (3); new (b)(1)(iv) and (2) added...................................50235 201.232 (a) introductory text and (c) through (f) revised..........50235 201.233 Revised....................................................50236 201.234 (a) and (c) revised........................................50238 201.235 Heading, (a) introductory text, (2), (4) and (5) revised; (b) added......................................................50238 201.250 Revised....................................................50239 201.320 Revised....................................................50239 201.360 Heading, (a)(2), (3), (b) introductory text and (c) revised........................................................50239 201.410 (b) revised; (c) redesignated as (d); new (c) added........50240 201.411 (c) amended; (d) revised...................................50240 201.420 (a) revised; (c) amended...................................50240 201.440 (b) revised................................................50241 [[Page 20]] 201.450 (b), (c) and (d) revised...................................50241 201.900 Revised....................................................50241 201.1001 (Subpart E) Revised; interim..............................43045 201.1001 Revised....................................................5371 210.6-01 Undesignated center heading and section revised...........82010 210.6-02 (e) added.................................................82137 210.6-03 Revised...................................................82010 210.6-03 (m) added.................................................82137 210.6-04 Revised...................................................82011 210.6-05 Revised...................................................82012 210.6-07 Revised...................................................82012 210.6-10 Revised...................................................82013 210.12-12 Revised..................................................82014 210.12-12A Revised.................................................82015 210.12-12B Revised.................................................82015 210.12-12C Removed.................................................82016 210.12-13 Revised..................................................82016 210.12-13A Added...................................................82017 210.12-13B Added...................................................82017 210.12-13C Added...................................................82017 210.12-13D Added...................................................82018 210.12-14 Revised..................................................82018 229.1100 (a) amended...............................................40512 229.1104 (e)(2) amended............................................40512 229.1105 (a)(3)(ii) amended........................................40512 229.1115 Amended...................................................40512 229.1125 Appendix amended..........................................40512 230.147 Revised; eff. 4-20-17......................................83550 230.147A Added; eff. 4-20-17.......................................83551 230.240 Revised; interim...........................................10707 230.405 Amended.............................................28705, 40512 230.456 (c)(3) amended.............................................40512 230.501 (e) introductory text amended; eff. 5-22-17................83553 230.502 (b)(1), (2)(iv), (v) and (vii) amended; eff. 5-22-17.......83553 230.503 (a)(1) amended.............................................83553 230.504 Heading and (b)(2) revised; (b)(3) added...................83553 (b)(2) correctly revised.........................................12067 230.505 Removed; eff. 5-22-17......................................83553 230.507 Heading and (a) amended; eff. 5-22-17......................83553 230.508 (a) introductory text, (2), (3) and (b) amended; eff. 5- 22-17..........................................................83553 232.105 (a) removed; eff. 6-1-18...................................82019 232.301 Revised......................................31502, 43048, 67119 Amended; eff. 6-1-18.............................................82019 Revised.....................................................7647, 9681 232.401 (d)(2)(iii) amended; eff. 8-1-19...........................82019 239.14 Form N-2 amended; eff. in part 8-1-19.......................82022 239.15A Form N-1A amended; eff. in part 8-1-19.....................82021 239.17a Form N-3 amended; eff. in part 8-1-19......................82022 239.17b Form N-4 amended...........................................82023 239.17c Form N-6 amended...........................................82023 239.23 Form N-14 amended...........................................82019 239.45 Form SF-3 amended...........................................40512 239.500 Heading, (a)(1) and Form D amended; eff. 5-22-17...........83553 240 Authority citation revised..............................28705, 30142 Authority citation amended.......................................70900 Technical correction.............................................32643 Policy statement..........................................33374, 49163 240.3a67-10 (a)(5), (6) and (d) added..............................30142 240.3a71-3 (a)(6) through (9) and (c) added........................30142 240.3a71-6 Added...................................................30143 (d)(3) added.....................................................39844 240.3b-4 (c)(1) Instruction redesignated as (c)(1) Note and revised........................................................28705 240.10A-1 (a)(4)(i) amended; eff. 6-1-18...........................82020 240.12a-11 Revised; interim........................................10707 240.12b-25 Heading, (a) and (b)(2)(ii) amended; eff. 6-1-18........82020 240.12g-1 Revised..................................................28705 (b)(1) correctly revised.........................................95458 240.12g-2 Revised..................................................28705 240.12g-3 (a)(2), (b)(2) and (c)(2) revised........................28706 240.12g-4 (a) revised..............................................28706 240.12g5-1 (a)(8) added............................................28706 240.12h-1 (i) revised; interim.....................................10707 240.12h-3 (b)(1) revised...........................................28706 240.13a-10 (h) and Note 1 amended; eff. 6-1-18.....................82020 240.13a-11 (b) introductory text amended; eff. 6-1-18..............82020 240.13a-13 (b)(1) amended; eff. 6-1-18.............................82020 240.13a-16 (a)(1) amended; eff. 6-1-18.............................82020 240.13n-4 (b)(8) amended; (b)(9), (10) and (d) added...............60607 240.13q-1 Revised..................................................49426 240.15d-10 (h) amended; eff. 6-1-18................................82020 240.15d-11 (b) introductory text amended; eff. 6-1-18..............82020 [[Page 21]] 240.15d-13 (b)(1) amended; eff. 6-1-18.............................82020 240.15d-16 (a)(1) amended; eff. 6-1-18.............................82020 240.15Fb1-1 Undesignated center heading revised....................39844 240.15Fh-1 Added...................................................30144 240.15Fh-2 Added...................................................30144 240.15Fh-3 Added...................................................30144 240.15Fh-4 Added...................................................30144 240.15Fh-5 Added...................................................30144 240.15Fh-6 Added...................................................30144 240.15Fi-1 Added...................................................39844 240.15Fi-2 Added...................................................39844 240.15Fk-1 Added...................................................30144 240.15g-9 (c)(2) amended; eff. 5-22-17.............................83553 240.17a-23 Removed; CFR correction.................................18747 240.17Ab2-2 Added..................................................70901 240.17Ad-22 (a), (c)(1) and (d) introductory text revised; (e) and (f) added......................................................70901 241 Interpretive releases..........................................40793 242 Policy statement...............................................94251 242.900 (u) revised; (tt) added....................................53653 242.901 (a)(1), (2)(i), (ii)(E)(2), (3), (4), (3) and (e)(1)(ii) added; (d)(4), (8), (9), (e)(2) and (h) revised................53653 242.902 (c)(6) and (7) revised; (c)(8) added.......................53654 242.905 (a) revised................................................53654 242.906 Revised....................................................53654 242.907 (a)(6) revised.............................................53655 242.908 (a)(1)(i) and (ii) amended; (a)(1)(iii), (iv), (v), (b)(3), (4) and (5) added; (b)(1) and (2) revised..............53655 249 Authority citation revised.....................................37138 Authority citation amended.......................................82020 249.308 Form 8-K amended...........................................40512 Form 8-K amended; eff. 5-22-17...................................83553 249.310 Form 10-K amended; interim.................................37138 249.312 Form 10-D amended..........................................40512 249.322 (a) amended; eff. 6-1-18...................................82020 249.330 Revised; eff. 6-1-18.......................................82020 249.332 Removed; eff. 8-1-19.......................................82020 249b Authority citation amended....................................49427 249b.400 Form SD amended...........................................49427 260.4d-12 Revised; interim.........................................10707 270.8b-16 (a) amended; eff. 6-1-18.................................82020 270.8b-33 Amended; eff. 8-1-19.....................................82020 270.10f-3 (c)(9) removed; eff. 6-1-18..............................82020 270.17j-1 (a)(8) amended; eff. 5-22-17.............................83554 270.22c-1 (a)(3) added.............................................82137 270.22e-4 Added....................................................82264 270.30a-1 Revised; eff. 6-1-18.....................................82020 270.30a-2 Heading and (a) amended; eff. 8-1-19.....................82021 270.30a-3 (b) and (c) amended; eff. 8-1-19.........................82021 270.30a-4 Added; eff. 6-1-18.......................................82021 270.30b1-1 Removed; eff. 6-1-18....................................82021 270.30b1-2 Removed; eff. 6-1-18....................................82021 270.30b1-3 Removed; eff. 6-1-18....................................82021 270.30b1-5 Removed; eff. 8-1-19....................................82021 270.30b1-9 Added...................................................82021 270.30b1-10 Added..................................................82266 270.30d-1 Amended; eff. in part 8-1-19 and in part 6-1-18..........82021 270.31a-2 (a)(2) revised...........................................82138 274 Authority citation amended.......................82021, 82138, 82266 274.11A Form N-1A amended; eff. in part 8-1-19.....................82021 274.11A Form N-1A amended...................................82138, 82266 274.11a-1 Form N-2 amended; eff. in part 8-1-19....................82022 274.11b Form N-3 amended; eff. in part 8-1-19......................82022 274.11c Form N-4 amended...........................................82023 274.11d Form N-6 amended...........................................82023 274.101 Revised; eff. 6-1-18.......................................82023 274.101 Form N-CEN amended.........................................82139 274.101 Amended; eff. 6-1-18.......................................82267 274.128 Form N-CSR amended.........................................82066 274.130 Removed; eff. 8-1-19.......................................82066 274.150 Added......................................................82066 274.150 Form N-PORT amended........................................82267 274.218 Form N-8F amended; eff. 6-1-18.............................82081 274.223 Added......................................................82268 275 Authority citation amended.....................................60457 Policy statement.................................................66526 275.202(a)(11)(G)-1 (e) removed....................................60457 275.203-1 (a) and Note to (a) and (b) amended; (b) and (e) removed; (c) and (d) redesignated as new (b) and (c)...........60457 275.203A-5 Removed.................................................60457 [[Page 22]] 275.204-1 (b)(1) amended; (c) removed; (d) and (e) redesignated as new (c) and (d)................................................60458 275.204-2 (a)(7) revised; (a)(16) amended..........................60458 275.204-3 (g) removed; (h) redesignated as new (g).................60458 275.204A-1 (e)(7) amended; eff. 5-22-17............................83554 279.1 Form ADV amended.............................................60458 Proposed Rules: 1...............................20583, 36484, 71946, 85334, 91252, 96704 ............................................................6356, 8502 3...........................................................51824, 53343 ..................................................................7738 4...........................................................51828, 61147 9...................................................................7738 15.................................................................96704 17.................................................................96704 19.................................................................96704 23..........................................................71946, 91252 ..................................................................6356 37..........................................................38458, 96704 38............................................36484, 38458, 85334, 96704 ..................................................................8502 40..........................................................36484, 85334 ..................................................................8502 49..................................................................8369 50.................................................................39506 140.........................................................91252, 96704 150.........................................................38458, 96704 151................................................................96704 165................................................................59551 170.........................................................36484, 85334 ..................................................................8502 200--399 (Ch. II)..................................................64364 210..................................................23916, 51608, 66898 229...............23916, 41652, 43130, 51608, 58877, 59927, 62689, 66898 230...........................................23916, 43130, 51608, 66898 232.........................................................23916, 62689 239.............................23916, 41652, 51608, 58877, 62689, 66898 240........23916, 37670, 43130, 49432, 51608, 66898, 69240, 70744, 79122 241................................................................20583 242................................................................49432 249.............................23916, 41652, 51608, 58877, 62689, 66898 274.........................................................51608, 66898 275....................................32686, 37670, 43530, 60651, 60653 303................................................................37670